Applied Thermal Engineering 235 (2023) 121253

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Applied Thermal Engineering

journal homepage: www.elsevier.com/locate/apthermeng

Artificial intelligence enabled energy-efficient heating, ventilation and air

conditioning system: Design, analysis and necessary hardware upgrades
Dasheng Lee *, Shang-Tse Lee
Department of Energy and Refrigerating Air-Conditioning Engineering, National Taipei University of Technology, Taipei 10608, Taiwan

A R T I C L E I N F O A B S T R A C T

Keywords: Literature search across different databases showed that the application of artificial intelligence (AI) in heating,
Artificial intelligence (AI) ventilation and air conditioning (HVAC) equipment has been extensively studied. On the commercial front,
Heating, ventilation and air conditioning Internet search suggested that numerous AI-equipped HVAC products have been launched. These products apply
(HVAC)
AI in very different ways, and their energy-saving effects are also different. Such divergence and uncertain
Energy saving
Design thinking
energy-saving effects may hinder AI application. To overcome this difference and accelerate the development of
Hardware upgrade AI applications, the present study proposed a double diamond preferred reporting items for systematic reviews
and meta-analysis (PRISMA) method—an analysis method that combined literature review with design thinking.
Through a process of divergence-convergence-re-divergence, this study described how to design AI functions for
energy-efficient HVAC systems, taking into account more than 1,700 research papers it had reviewed. However,
there was a limitation on the part re-divergence. Because the vast majority of research papers only published
results of successful AI applications, no cases of failed applications were available for review, making it
impossible to re-think profoundly. Instead, this study collected raw data from 88 research papers and used these
data to analyze the effectiveness and ineffectiveness of AI in depth. It was concluded that AI application must be
accompanied by necessary hardware improvements to achieve effective energy savings. AI-enabled energy-
saving effects for chillers, air-handing units, heating systems, and air conditioners, as well as corresponding
hardware upgrades, were discussed.

1. Introduction • Google (hereinafter referred to as G) has used DeepMind AI to

On July 2022, the researchers searched the databases SDOL and IEL
for published research papers using the keywords of “artificial intelli­
gence”; “Heating”, “Ventilation” and “Air conditioning.” This search
yielded a total of 1,785 relevant papers spanning the period from 1997
to 2022. The sheer number of these papers indicated that heating,
ventilation and air conditioning (HVAC) is a widely explored topic.
There are also numerous patent applications concerning HVAC energy
saving. Our previous research found that 31,221 patents related to AI-
based HVAC energy saving had been issued since 2000 [1]. The sheer
number of these patent applications indicates the fast-growing
commercialization of AI. Indeed, some famous companies claim that
the use of AI on their HVAC products or equipment has quantitative
energy-saving effects. These companies, as well as how their HVAC
devices use AI to save energy, are discussed below:
reduce the cooling bill of its data center by 40% [2]. It developed and
operated an adaptive framework to optimize the energy efficiency of
the data center’s chiller system.
• IBM (hereinafter referred to as I) has used machine learning (ML)
and internet of things (IoT) to reduce energy use in cooling systems
[3].
• Johnson Controls (hereinafter referred to as J) has applied AI to
build environments through ML [4].
• LG (hereinafter referred to as L) has unveiled an AI-based air
conditioner, according to the Korea Times [5].
• Panasonic (hereinafter referred to as P) has launched an AI-based
air conditioner with the “ECO” mode, which can save up to 20% of
energy [6].
• Samsung (hereinafter referred to as Sa) has rolled out an auto
cooling technique for split-type air conditioners [7]. The operating
mode can be adjusted automatically by AI.

* Corresponding author.
E-mail address: f11167@ntut.edu.tw (D. Lee).

https://doi.org/10.1016/j.applthermaleng.2023.121253
Received 10 February 2023; Received in revised form 23 May 2023; Accepted 29 July 2023
Available online 5 August 2023
1359-4311/© 2023 The Author(s). Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-
nc-nd/4.0/).
D. Lee and S.-T. Lee Applied Thermal Engineering 235 (2023) 121253

• Siemens has announced the delivery of an AI-based cooling solution
for Tier-IV data centers [8]. It has developed a model predictive
control (MPC) technique that can enable the fault-tolerant control of
AHU variable air volume (VAV) systems and achieve 35% of energy
savings compared with conventional fault-tolerant operation.
Of all the companies mentioned above, Siemens was excluded for
discussion in this study because its AI applications are mainly focus on
fault detection and diagnosis, which is different from what this study
sought to explore. Details about the AI technologies employed by the
other six companies, as well as which HVAC systems they are applied in
and what their energy-saving effects are, are summarized in Table 1.
1.1. Research motivation
The contents of Table 1 provide the rationale of this research. The six
different companies have applied AI in two HVAC devices—namely
chillers and air conditioners—using various methods. Their AI models
use diverse parameters, which included temperature, pressure, the
number of people entering and leaving, indoor heat load, and the users’
life patterns. Among these companies, the energy-saving outcomes vary
widely, from 20% to 73%. Although AI is just beginning to be applied,
there will be a gap between its application and the outcomes it can
achieve. Moreover, uncertain energy-saving outcomes and inappro­
priate ways of application may hinder AI application. In order to address
this gap, the present study conducted a literature review and proposed
an analysis method that combined design thinking with the preferred
reporting items for systematic reviews and meta-analysis (PRISMA)

Table 1
Claimed AI-based energy-saving effects for HVAC systems across different company G to Sa.
AI tech Equipment Energy-saving outcomes

G DeepMind AI uses two additional ensembles of deep neural networks (DNNs) to predict the Chiller system of data center 40% cooling energy saving
temperature and pressure over the next hour.

I ML and IoT data are used to build a thermal model for predicting the indoor temperature and Chiller systemsin commercial buildings 30% cooling energy saving
perform pre-cooling in anticipation of increase in occupancy.

J AI-enhanced OpenBlue platform is used to build a model as an expert system that suggests Chiller system for enterprise campus 27.9% energy saving
better retrofits to buildings.

L AI platform Deep ThinQ can enable a device to learn the user’s lifestyle and the AI dual inverter air conditioner 30% higher energy
environmental conditions. efficiency

P ECO Mode with AI Control auto-adjusts the air conditioner to the optimal level based on heat ECO + AI air conditioner 20% energy saving
load conditions and air-conditioning capacity.

Sa Equipped with AI Auto Cooling, the air conditioner can automatically optimize its various AI auto air conditioner 73% reduction in energy
modes by analyzing the room conditions and usage patterns. consumption

2
D. Lee and S.-T. Lee
method. Through this method, this study reviewed more than 1,000
research papers to investigate the design and performance of AI for
HVAC energy saving. The applications extend beyond the commercial­
ization cases shown in Table 1. Four different HVAC systems, including
chiller system; air handling unit (AHU), fan and fan coils; air condi­
tioner; and heating system or heat pump will be analyzed in this study.
In the analysis process, an input–output model was designed to
examine research papers. After examining all the data obtained from the
research papers retrieved, this study argued that the adoption of AI
should come with hardware upgrades. This argument has not been
raised in the literature. However, an analysis of 88 papers suggested that
to increase the energy efficiency of HVAC systems, their hardware
control response must be improved in line with how AI works. On the
basis of this finding, the researchers compiled the relevant results and
proposed specifications for hardware modification. The results of this
study are expected for inform future research and to accelerate the use of
AI in HVAC systems.
1.2. Research aims and objectives
This study was aimed to explore the use of AI design in energy-
efficient HVAC systems. A literature review was conducted and the
research results of chiller systems applied to different buildings were
analyzed. Afterwards, the energy efficiency of these HVAC systems,
particularly the achievable energy saving ratio with AI adoption, was
analyzed quantitatively. Finally, the data of 88 case study related to AI
application were comprehensively organized to obtain specifications for
necessary hardware modifications for HVAC systems.
The objectives of this study are as follows:
• AI Design—This study proposed an innovative approach to optimize
the AI design of HVAC systems.
• HVAC energy saving analysis—This study quantitatively analyzed
the raw data derived from the existing literature and discussed the
energy-saving effects that can be achieved using the existing AI
technology.
• HVAC hardware upgrade—During the data analysis process, this
study found that innovative AI designs must be matched with
hardware upgrades. The specific hardware specifications were pro­
vided following a review of 88 study cases.
• Others include an AI software program to facilitate design optimi­
zation and a suggestion of a novel AI technique—oscillation control
based on long short-term memory for future development of energy-
efficient HVAC systems.
1.3. Research gap and contributions of this study
Based on the discussions above and the results of a literature review
presented in the next section, the research gap of the existing literature
are summarized as the follows:
Gap 1: After perusing the 35 review papers discussed in the following
Section 2.2, we found that most studies focused on AI design but
demonstrated no design thinking.
Gap 2: The 88 study cases reported in Section 3.2 proved that AI can
achieve improvements in software functionality, but no study thus
far has discussed in depth whether it is necessary to upgrade HVAC
hardware.
In this paper, a novel approach combining PRISMA and design
thinking was proposed to investigate AI-enabled energy-efficient HVAC
systems. The energy-saving effects of AI applications were analyzed
quantitatively. Moreover, after the case studies were analyzed, how
HVAC hardware works with AI was discussed in depth. On the basis of
what is presented above, this study sought to address the research gaps,
with the following contributions:
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Applied Thermal Engineering 235 (2023) 121253
• Contribution 1: We adopted the double diamond PRISMA method to
bring design thinking into future AI developments for HVAC systems.
• Contribution 2: Following an analysis of several case studies, we
concluded that necessary upgrades to HVAC hardware should
correspond to relevant AI control functions.
• Contribution 3: We proposed an optimal design for AI applications
in HVAC energy saving based on an in-depth discussion which
referenced a large sample of research papers and quantitative
analysis.
2. Double diamond PRISMA
This study combines a rigorous PRISMA method with the double
diamond design model. This model was popularized by the British
Design Council in 2005 [9]. The two diamonds constituted a process of
exploring a design problem widely or deeply (divergent thinking) and
taking focused action (convergent thinking) afterwards. Fig. 1 illustrates
the combination of PRISMA and the two diamonds.
As shown in the top portion of Fig. 1, double diamond PSISMA in­
cludes the traditional steps (identification, screening, eligibility, and
included) as colored in blue. It differs from the traditional method in
that it involves a design thinking process which consists of four steps
(discover, define, develop, and deliver), as shown in the bottom portion
of Fig. 1. Composed of PSIMA and double diamond, this method entailed
delivering AI design, analyzing energy-saving performance, and pro­
posing hardware upgrades necessary to make for an energy-efficient
HVAC system.
Discover is the first step of design thinking. This step corresponds to
the identification step of PRISMA, and it starts with a known problem. In
this study, the problem was how to use AI to improve an HVAC system’s
energy efficiency. Moreover, while related literature is typically
discovered using keywords and manually reviewed to yield articles
corresponding to the topic in discussion, the present study simplified
this time-consuming review process by developing and using a natural
language processing (NLP) program (an AI tool). This tool enabled re­
searchers to retrieve AI design elements from the compiled articles.
Define is the second step of design thinking. This step corresponds to
the screening step of PRISMA. In the traditional PRISMA method, the
screening step is normally performed by the person in charge of an ac­
ademic study to identify highly relevant research papers. Such screening
method can easily affect the selection results because of the subjective
interpretation of the researcher. Design thinking believes that in­
dividuals should not rush to solve the problem but attempt to fully un­
derstand the problem from a divergent perspective. This way, insights
can be extracted from various research works and new opportunities be
discovered.
Fig. 1. Illustration of the double diamond PRISMA (dd-PRISMA) for exploring
AI design, performance, and necessary hardware upgrades for HVAC en­
ergy saving.
D. Lee and S.-T. Lee
Taking into account the set problem, this study used two simplest
two keywords “AI” and “HVAC” to perform search in the academic da­
tabases SDOL and IEL. A large number of research papers can be
retrieved through this search process, and AI should be applied to
analyze the contents of the papers efficiently and identify AI design el­
ements. In this way, the large amount of the literature can be incorpo­
rated with the greatest degree of divergence possible. To converge these
AI design elements, review papers can be utilized to define which of the
elements are effective. A large body of existing literature will inevitably
produce a considerable number of review papers. The dd-PRISMA sug­
gested examining these review papers manually, defining effective AI
design elements from the perspectives of other scholars, and developing
methodologies.
A third step is devising a workable solution through the iteration of
design elements in order to compare review results. As shown in Fig. 1,
this study derived four methodologies from 1,785 papers and 25 review
papers. Further details can be found in Section 2.4.
The final step is delivering design. Before the researchers could
deliver the proposed design by design thinking, the dd-PRSIMA asks for
another divergent thinking. As for how to conduct re-diverging discus­
sions, this study suggested referring to research papers with quantitative
data. Corresponding to different methodologies, individual research
papers provide data analogous to prototype performance testing. By
comparing quantitative performance data, the dd-PRISMA can specif­
ically yield the best AI design. In this process, more importantly, pairing
the same methodology with different prototypes reported in papers
makes it possible to find potential problems in the proposed AI design.
This is a characteristic of design thinking. Through an interactive dis­
cussion on convergence and divergence, a good design method can be
found and potential problems in the design clarified. Traditional
research designs, on the other hand, may progress too fast to the
problem-solving phase and ignore the other solutions.
2.1. Discover AI by AI
The first step in design thinking called for the use of AI to auto­
matically review a large number of documents. Therefore, we developed
an information system linked to the SDOL and IEL databases which
searched for documents related to AI and HVAC. We then used a natural
language processing (NLP) program based on Generative Pre-trained
Transformer 3 (GPT-3), a program developed by Open-air, which is an
AI research laboratory established by OpenAI LP (a for-profit corpora­
tion) and its parent company, OpenAI Inc. (a non-profit organization).
This study built upon OpenAI’s open source code to develop a code for
retrieving AI design elements. We obtained the top 25 most discussed
keywords using this NLP program. These keywords were defined as AI
design elements and are listed in Table 2.
Table 2
List of top 25 AI design elements discovered by AI.
Rank Element
1 Neural network(NN or ANN)
2 Machine learning(ML)
3 Expert system
4 Deep learning(DL)
5 Model-based predictive control (MPC)
6 Fuzzy control
7 Agent control
8 Genetic algorithm(GA)
9 Edge computing
10 Support vector machine(SVM)
11 Reinforcement learning(RL)
12 Particle swarm optimization(PSO)
13 Markov model
The source code of NLP is attached in Appendix 1.
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2.2. Review of reviews
After the NLP program was used to retrieve top 25 AI design elements
from review papers, a second step of dd-PRISMA was performed in
which to the papers were reviewed to define useful elements. This study
found 25 review papers related to AI for HVAC energy saving. Through
the human examination of these review papers, the AI design elements
which are supported and extensively studied by academics were further
identified. The review results are described in accordance with the
publication year.
At the early stage, AI applications are mainly about the expert sys­
tem. The earliest review was completed by Madan in 1997 [10]. A total
of 342 publications involving the application of AI in power systems
from the year 1989 onwards were discussed in this study. The AI design
elements supported by this review includes expert systems, GAs, Fuzzy,
ML and KBS. Another element, case-based reasoning (CBR), was also
reported in this review. However, it’s not included in the list of top 25 AI
design elements. CBR is a cognitive approach for modeling the reasoning
process as primarily memory-based. The method still needs human ex­
perts to be the case-based reasoners and solves problems by retrieving
stored “cases” describing similar prior problem-solving episodes. As a
result, CBR has limited application and requires human intelligence if it
is performed.
The advent of ANN technology provides a possible solution to the
application limitations of expert systems. Kalogirou reviewed ANN ap­
plications in 2001 [11], suggesting that AI used to only consist of two
branches—expert systems and ANNs. An expert system based on CBR or
KBS might still need intervention by the human expert. However, the
advent of ANN has made things different. Through neuron computing,
AI can to learn and provide feedback. Although AI is still not comparable
with human experts, at least for now, it can classify and cluster data,
which reduces the time and effort required for human experts.
In 2003, Caldas and Norford’s review of GAs showed that the algo­
rithms were implemented as an optimization procedure based on prin­
ciples of natural genetics and natural selection [12]. In 2008, Mellit and
Kalogirou reviewed AI techniques for renewable energy applications
[13]. They compared different AI techniques, which included expert
systems, ANNs, Fuzzy logic, GAs and hybrid systems. The hybrid systems
indicate ANNs can be combined with expert systems, Fuzzy logic and
GAs. This means that the ANN is a mainstream AI technique and can be
integrated with other AI design elements to deliver more powerful
functions.
In 2009, Dounis and Caraiscos reviewed advanced control systems
for energy and comfort management in a building [14]. In their review,
agent control systems were considered as an effective tool for managing
the user’s preferences for thermal conditions, illuminance, comfort, in­
door air quality, and energy conservation. According to their review
results, the performance of agent control can be enhanced through
Rank Element
14 Knowledge based system(KBS)
15 Decision making system(DMS)
16 Machine vision
17 Regression model
18 Decision tree
19 Evolutionary algorithm(EA)
20 Adaptive network-based fuzzy inference system (ANFIS)
21 Generative Adversarial Network (GAN)
22 Transfer learning
23 Feature learning
24 Natural language processing(NLP)
25 Model free
D. Lee and S.-T. Lee
learning paradigms that include learning feed forward random neural
networks and random neural networks with reinforcement learning and
adaptive learning machines. They proposed granular computing. How­
ever, this proposal does not appear to have been brought into fruition.
In 2011, Moon et al., presented a comparative study of AI-based
thermal control methods [15]. They compared Fuzzy-based control,
ANFIS-based control and ANN-based control methods. The results
showed that two adaptive control methods—ANFIS-based and ANN-
based control—can stabilize thermal conditions by the increased com­
fort period and the decreased deviations from the set point, compared
with Fuzzy-based control. However, they added, there is no control
method that delivers significant energy-saving effects. Fuzzy control
only has the potential to maintain comfortable indoor temperatures.
Mohanraj et al. reviewed the application of ANNs in the energy
analysis of refrigeration, air-conditioning and heat pump systems in
2012 [16]. Except for ANNs, ANFIS and regression models were iden­
tified as effective tools for HVAC energy saving. In 2017, Sellak et al.
searched for research papers related to energy planning and decision
making by expert systems [17]. Mulia et al. presented a review on
building occupancy estimation methods in 2017 [18]. Thieblemont et al.
reviewed predictive control strategies based on weather forecast [19]. In
2016, Okochi and Yao reviewed GA and Fuzzy logic control de­
velopments for an energy-efficient VAV air-conditioning system [20]. In
2018, Abiodun et al. reviewed the state-of-the-art technology in ANN
application [21]. The main methodology is ML, which uses an ANN to
learn from history data, build model or rules for energy-saving control.
In 2019, Mehmood et al. reviewed ANN applications and big data
analysis with respect to achieving energy efficiency and building a
comforting indoor living environment [22]. This review took into ac­
count MPC, ML, and DL, and the application of Fuzzy, GAs, and SVM.
They concluded that fuzzy control is useful for non-linear systems as it is
better at dealing with uncertainty and subjectivity. ANNs are commonly
applied on the basis of ML and DL, both of which can effectively save
energy for HVAC systems. The analytic hierarchy process (AHP) and
simulated annealing (SA) were also discussed in their review. The AHP
can be very useful for decision- making systems because of simple and
systematic nature. SA can avoid the search being trapped in local
minima. Both are computational algorithms and not included in the list
of top 25 AI design elements.
In 2020, Antonopoulos et al. reviewed ANNs and ML for demand
response [23]. GAs, SVMs, regression models, agent control and decision
tree were extensively discussed in their review. Ngarambe et al.
reviewed the development of MPC for thermal comfort in buildings [24].
Cotrufo presented a methodology for the development of MPC in com­
mercial and institutional buildings [25]. Yang et al. studied the use of RL
in sustainable energy and electrical systems [26].
In 2021, Marian-Hernandez et al. presented a review of strategies for
building an energy management system [27]. They focused on MPC for
demand side management, optimization, and fault detection and diag­
nosis. They found that most studies on HVAC systems had prioritized
decreasing the energy consumption of these systems but overlooked
other building subsystem, which may entail higher energy consumption
depending on the usage of the building. The authors suggested that
future research may lead to significant improvements in building sub­
systems. In the same year, Yao and Shekhar also authored a review on
MPC in the HVAC field [28], and concluded that MPC outperforms
conventional controllers such as PID, PI, heuristic control, and so on. In
terms of energy savings, cost consumption minimization, and thermal
comfort maximization, Yao et al. also reported on an adaptive thermal
comfort model which used the k-nearest-neighbors (kNN) algorithm
[29]. Their proposed thermal comfort model can be used to establish
personal indoor thermal comfort environments and promote the devel­
opment of AI technology for air-conditioning systems.
In 2022, Chen et al. reviewed AI techniques used for the fault
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Applied Thermal Engineering 235 (2023) 121253
detection and diagnosis of HVAC systems [30]. They mainly discussed
data-driven methods and ML. Merabet et al., reviewed intelligent
building control systems for thermal comfort and energy efficiency [31].
They examined the implications of a number of AI techniques for energy
saving: ANFIS, autoregressive exogenous (ARX), agent control, distrib­
uted AI & edge computing, decision tree (DT), Fuzzy logic, GA, hidden
markov model (HMM), k-means, kNN, linear regression (regression
model), multi-objective artificial bee colony (MOABC), MPC, and
random forest (FR). Adelekan et al., reviewed AI models for refrigera­
tion, air-conditioning, and heat pump systems [32]. The ANN structures
they discussed were the feedforward neural network (FNN), ANFIS,
radial basis function networks (RBFNs), and recurrent neural network
(RNN). In addition to the ANN structures discussed above, DL and RL
enabled by ANN evolution were deemed as effective AI learning algo­
rithms for energy saving.
Studies in this field have been conducted as recently as 2022 and
2023. For example, Machlev et al. reviewed the development of
explainable AI techniques for energy and power systems [33].
Explainable AI is an interesting development which improves the
explainability of ML models so that their output can be better under­
stood. However, this review pointed out that most ML models which use
explainable AI are traditional ML algorithms, and DL models are rarely
used with this technique. Chen et al. conducted a state-of-the-art review
on interpretable ML for building energy management [34]. Interpretable
ML is similar to explainable AI in that it builds understanding and trust
in ML models. This is also a critical development for AI-assisted HVAC
control, as it enables HVAC managers or operators to trust AI controls.
However, current prevalent techniques can only provide limited inter­
pretability. Further research and development is needed to enhance the
practical applicability of explainable AI.
Fig. 2 summarizes the AI design elements deemed to be effective for
HVAC energy saving from a number of review papers. The top 25 AI
design elements are represented by dark blue squares, whereas AI design
elements not in the top 25 list are denoted by light blue squares. Among
the less popular elements, CBR mainly entails database and similar cases
retrieved by human experts. ML, which is based on ANNs, provides a
better and automatic solution that can make CBR an expert system.
Therefore, CBR was included in the discussion about expert systems.
Both SA and AHP are biased towards algorithms and data analysis. This
study argued that they cannot be included under the category of AI.
MOABC is mainly used for multi-objective optimization; this study
incorporated it into PSO. ARX was incorporated into the regression
model for discussion. HMM, a modified Markov model, is the basic
model of RL; therefore, it was incorporated into RL for discussion. After
the aforementioned elements were removed, the other elements were
discussed exhaustively in the subsequent sections, followed by their
convergence into AI design methodologies.
Before the convergence was discussed, there were many ANN
structures to consider. However, because this study selected keywords
composed of two words, different ANN forms such as the back propa­
gation neural network (BPNN) were also considered as the most dis­
cussed NN elements. This would make the evolution of ANNs overlooked
for discussion. In order to avoid this problem, this study explored the
change in the ANN architecture over the years before presenting further
discussion.
2.3. ANN evolution for HVAC energy saving
This study examined the review papers to discuss the change in the
ANN architecture. The ANN evolution is illustrated in the Fig. 3. It
should be noted that in the figure. Any year corresponding to an ANN
structure does not mean that the structure was invented in that year, but
that there was a review paper examined the use of such structure for
HVAC energy saving.
D. Lee and S.-T. Lee
Fig. 2. AI design elements identified by review papers published between 1997 and 2022.
As shown in Fig. 3, Kalogirou reviewed the use of ANNs in energy
systems in 2001 [11]. The simplified model of an artificial neuron and a
multi-layer feedforward neural network (FNN) were presented for
function approximation, pattern association and recognition, associative
memories and generation of new meaningful patterns. That enables an
energy system to operate with high efficiency. At that time, the devel­
opment of ANNs started with a single neuron cell. The multi-layer
perceptual (MLP) system was formed by stacking multiple neurons.
The input–output direction of neuron transmission only occurs in a
forward manner, which is what called the FNN. The MLP/FNN is a
neuron structure that was discussed early, and it can be successfully
applied in HVAC systems.
In 2008, not only the MLP/FNN but also the radial basis function
network (RBFN) was discuss€ed in review papers. A radial basis function
is a real-valued function whose value depends only on the distance be­
tween the input and a fixed point (the center). The radial basis functions
are used to approximate given functions. For mathematical modeling, an
RBFN is an ABB that uses radial basis functions of the inputs and neuron
parameters. The RBFN can be used in HVAC systems to perform classi­
fication, time series prediction, and system control.
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Applied Thermal Engineering 235 (2023) 121253
In that same year, the recurrent neural network (RNN) was also
widely discussed. It is a class of ANNs where connections between nodes
can form a cycle, allowing output from some nodes to affect the subse­
quent input to the same nodes. That allows for temporal dynamic be­
haviors. Derived from the MLP/FNN, the RNN can use the recurrent cell,
a cell with memory to process variable length sequences of inputs. That
makes the RNN applicable when it comes to handling unsegmented data.
According to a review by Mellit and Kalogirou [13], the RNN was first
proposed for predicting the unstable output electrical signal of stand­
alone or grid-connected photovoltaic systems. As the result, the RNN can
be used to predict an uncertain flow of people and save energy for HVAC
systems.
In 2012, in addition to the MLP/FNN and RBFN, the generalized
regression neural network (GRNN) was discussed by Mohanraj et al.
[16]. It is a four-layer feed forward neural network based on the non-
linear regression theory consisting of an input layer, pattern layer,
summation layer and output layer. The GRNN does not use any no
training parameters such as the learning rate and momentum factor.
Based on an estimation of probability density functions, the GRNN can
yield accurate prediction results without complex parameter
D. Lee and S.-T. Lee
Fig. 3. ANN evolution for HVAC system control and energy saving.
adjustment.
The adaptive neuro fuzzy inference system (ANFIS) was also dis­
cussed in 2012. It combines the learning capabilities of a neural network
and the reasoning capabilities of fuzzy logic. The structure of the ANFIS
consists of five layers (Fig. 3). The first layer is the fuzzy layer. The
condition nodes in this layer are represented by square nodes. The nodes
have × and y inputs. Typically, one of the inputs is the control error and
the other is the derivative of the control error. The second and third
layers are hidden nodes. The fourth layer is the de-fuzzy layer. It also
consists of condition nodes with two inputs. After multiplying the
weighting coefficient obtained through the second and third layer op­
erations, the fifth layer computes the overall network output by the
summation cell. The ANFIS is considered to be a universal estimator that
has learning capability, approximates nonlinear functions and provides
control outputs corresponding to a set of fuzzy IF-THEN rules.
By 2018, the Hopfield neural network (NN) had been reviewed by
Abiodun et al. [21]. The Hopfield NN is a spin neural system (Fig. 3). It is
a multi-connected structure with back feed input cells. Through the
associative memory generated by nodes, the network can provide a
mode for understanding human memory. For HVAC applications, the
Hopfield NN can be used to simulate human behaviors that have an
influence on thermal load.
The self-organizing map (SOM) was introduced in the same year. The
SOM is an ANN trained through competitive learning rather than error
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correction learning. As shown in Fig. 3, the SOM operates in a tow mode
that includes training on the bottom and mapping on the top. The goal of
learning in the SOM is to cause different parts of the network to respond
similarly to certain input patterns. The SOM is often used to generate
maps and approximate the data distribution. That helps to understand
the occupants’ distribution to operate HVAC systems.
In addition to the SOM, the Bayesian network was proposed for
HVAC application. It is a probabilistic graphical model in which the
connection of network nodes is not multiplied by the weighting factor
but depends on Bayesian statistics. The network calculates the posterior
probability by the likelihood function times the prior probability and
divided by evidence inputs from nodes. The Bayesian network can
represent the probabilistic relationships between input and output.
Control algorithms can be performed by inferencing and learning in the
Bayesian network.
In 2019, the applications of the Boltzmann machine were reviewed
Mehmood et al. [22] . The Boltzmann machine is a stochastic spin neural
system that consists of back feed input nodes and probabilistic hidden
nodes (Fig. 3). The Boltzmann network is similar to the Hopfield
network; however, hidden nodes make training more efficient in the
Boltzmann network. For the application of energy-based models, some
studies have indicated that the Boltzmann machine delivers significantly
higher performance and reduces the prediction error by half in com­
parison with the traditional ANN. However, limiting the connectivity
D. Lee and S.-T. Lee
can seriously affect the performance of the Boltzmann machine. In this
case, if the Boltzmann machine is applied to HVAC systems, its unstable
performance may be a fatal factor.
The deep neural network (DNN) for deep learning (DL) was widely
explored in 2020. The adjective “deep” refers to the use of multiple
layers in the network. As shown in Fig. 3, when the DNN is depicted, the
hidden layer is much thicker. The DNN for DL is a modern variation
which permits practical application and optimized implementation.
Combined with Q-learning, the deep Q network (DQN) can determine
the Q-value by the input state of the system. Through Q-learning, an
optimal action can be determined by a given Q-value. The “Q” refers to
the algorithm that computes the rewards for an action taken in a given
state. Using two DQNs as the actor and critic respectively, RL can be
realized and perform trial and error control in HVAC equipment. Unlike
ANN-based ML, which is limited to learning from historical data, RL can
learn directly from the on-site system and reinforce the learning effect.
So far, AI development has been completed. Different learning meth­
odologies—from ML to DL to RL—can be used to achieve optimal con­
trol of HVAC systems.
In 2022, the backpropagation neural network (BPNN) was discussed
in the review work of Chen et al. [30]. Backpropagation is the essence of
neural network training. It involves fine-tuning the weights of neurons
based on the error rate obtained in the previous epoch. Proper tuning of
the weights can ensure low error rates, making for a reliable model.
The year 2022 was when this article was written, and when the re­
searchers also studied the gate regulated unit (GRU), long short term
memory (LSTM) and bi-directional LSTM (Bi-LSTIM). Although no re­
view papers have discussed these three neural networks, a search within
academic databases have yielded case studies. Moreover, the addition of
these three neural networks will make the development of neurons,
Fig. 4. Four major design methodologies (MPC; Fuzzy control; EA; DRL) derived from the top 25 AI design elements and conclusions taken from review papers,
with re-divergent discussion conducted through analysis of case studies.
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particularly those with memory, more complete. Therefore, the GRU,
LSTM and Bi-LSTM were still included in this study. These three neural
networks share the same background color in Fig. 3 that is filled with
purple dots to make them distinguishable.
On the left side of Fig. 3 are a variety of neurons which have been
applied in HVAC systems. Among them, the recurrent cell used by the
RNN has memory which can be fed back for accurate prediction. The
GRU goes further to use cells with different memories. LSTM uses cells
with long and short memories. Bi-LSTM connects hidden layers of
opposite directions to the same output (see Fig. 3). This way, the output
layer can acquire information from past (backward) and future (for­
ward) states simultaneously. All these three neural networks are similar
to the RNN, but they more effective at achieving accurate prediction.
2.4. Four methodologies
After discussing ANN evolution, this study returned to the original
theme of convergence, which is the third step of design thinking, to
develop an AI methodology for HVAC energy saving. This step involved
combining the top 25 AI design elements identified through AI (Table 2)
and those identified by the researchers of the review papers (Fig. 2) for
iteration.
There is no doubt that ANNs have been widely discussed in review
papers for years. ANNs and their implemented ML are also popular
design elements in more than 1,700 research papers, of which 1,003
have focused on ANNs and 996 on ML. The purpose of ML is to build
models for predictive control. ANN-based modeling and model-based
predictive control (collectively referred to as “MPC”) was the first
methodology deduced in this study through the AI-assisted dd-PRISMA.
MPC is the fifth most popular AI design element in academic
D. Lee and S.-T. Lee
discussion. In addition, this study argued that models can be created not
only by using ANN-based ML but also the SVM and regression model.
The SVM and regression model were design elements recognized after
iteration; they were respectively the 10th and 17th most discussed ele­
ments. These two elements were also included under the first AI meth­
odology of this study.
The second methodology in this study originated from the expert
system. An analysis of the review papers suggested that the expert sys­
tem is the focus of early AI development. The system does not use
learning, but perform inference to simulate human experts and establish
control rules. Fuzzy control uses IF-THEN control—is the easiest control
method that is compatible with the inference system. KBS refers to the
knowledge-based system. The ANFIS uses an ANN to learn and establish
inference rules in a way that draws on large volumes of data. Together,
these design elements make up the second AI methodology in this
study—fuzzy control & inference system (collectively referred to as
“Fuzzy”).
The third methodology is control optimization by evolutionary al­
gorithms (collectively referred to as “EA”). EA is a sub-field of AI used
extensively in complex optimization problems and for continuous opti­
mization. GA and PSO are two well-known evolutionary algorithms.
Differential evolution and decision trees also fall into this category.
Finally, DL and RL wrapped in the range of ML, as well as agent
control for implementing trial and error control, were included under
the fourth methodology—deep reinforcement learning and agent-based
trial & error control (collectively referred to as “DRL”). Fig. 4 illustrates
the results of the iteration and summarizes the four methodologies.
As shown in Fig. 4, the AI design elements dicovered by AI were
iterated through a review of review papers and the four methodologies
were derived by linking the elements. Before the final design proposal
(the best idea) was completed, the design thinking method conduct
another divergent thinking was performed by executing actual design
cases, in order to ensure that the design proposal would be obtained by
accounting for various perspectives and attempts. The acutual design
cases are illustrated in the next section.
3. Case study for divergent thinking
In design thinking, possible ideas are created as divergent thinking
and they are subsequently refined and narrowed down to the best idea.
In this study, 88 research papers related to the above four methodologies
were selected as the possible ideas, a process compatible with what is
recommended by PRISMA referred to Fig. 1. The guidelines for selecting
references are described below.
Fig. 5. Input-output model of HVAC systems.
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3.1. Input-output model of HVAC system & inclusion criteria
This study proposed that all HVAC systems adhere to a basic
input–output model as shown in Fig. 5.
As shown in Fig. 5, an HVAC system has three inputs—power,
external heat gain, and internal heat gain. The output is the indoor
temperature control results. The external heat comes from the heat
transfer caused by the outside weather to the building. The internal heat
is generated by the entry and exit of indoor personnel and the waste heat
of indoor equipment. The HVAC system adds or moves heat, Q′hvac , from
the building interior via power input. The idea is to control the indoor
temperature control to the set point. In this process, any HVAC system
that consumes the least power under the same temperature control
profile is the most energy-efficient HVAC system.
Based on the above model, this study adopted design thinking to
determine how AI can be used to improve HVAC system energy effi­
ciency. Case studies that met the following criteria were included for re-
divergent thinking:
• Fits at least one of the four methodologies mentioned in Section 2.4.
• Reports results about energy saving (which may also be zero).
• Specifies data on the basis of the three inputs and one output as
shown on Fig. 5, or at least one of the four data items has useful raw
data.
3.2. The overview of the included case studies
3.2.1. Study cases of MPC
Corresponding to the first methodology ¡ MPC, the following
research papers were included for discussion. Lee and Braun reported
peak cooling load reduction by MPC [35]. The simulation results indi­
cate 30% peak load can be reduced. Ma et al., developed MPC with
thermal storage for building cooling systems [36]. The simulation re­
sults show that one-day electricity bill of the UC Merced Campus can be
cut by 24.5%. Huang et al., developed a robust model predictive control
strategy for improving the control performance of air conditioning
systems [37]. According to the simulation results, the robust MPC can
reduce the control oscillation. However, there’s no energy saving effect
observed in this study. Siroky et al., reported the experimental analysis
of MPC for a building heating system [38]. During two-week compara­
tive test, the energy savings by MPC reach to 15.54 ~ 16.94%. Ac­
cording to their estimation, the maximum energy saving can reach to
28%. Based on similar technology, Siroky et al., implemented AI assisted
control in a large university building (Czech Technology University in
D. Lee and S.-T. Lee
Prague) [39]. During the 2009/2010 heating season, the controlled
achieved 17 ~ 24% energy savings compared to the present controller.
Huang et al., developed a new zone temperature modeling control for
HVAC system at the Terminal One of Adelaide Airport [40]. The simu­
lation results show that accurate temperature prediction can be ach­
ieved by the MLP/FNN. The maximum error is within 1.8 ◦ C. Although
the accurate prediction can be made, there’s no energy saving effect
reported in this study. Wallace developed MPC for a package air
conditioner [41]. The air conditioner was employed for cooling a small
office building. The simulation results indicated 15 ~ 20% energy
saving can be achieved by the predictive control. Ma et al., reported
MPC for the operation of building cooling systems [42]. The experi­
ments show that MPC can achieve reduction in the central plant elec­
tricity cost and improvement of its efficiency (Coefficient of
performance, COP) by 1.5 ~ 11.9%. Sourbron et al., reported the
development of MPC for office buildings with a special heating &
cooling design − The concrete core activation [43]. The electricity
consumption can be reduced by 15%. Ma et al., developed a fast sto­
chastic MPC for AHU control [44]. The simulation results indicate 6.8%
energy saving can be achieved. Aswani et al., reported the reduction of
transient and steady state electricity consumption in HVAC systems by
using learning-based MPC. The real experiments were carried out in the
Berkeley Retrofitted and Inexpensive HVAC Testbed for energy effi­
ciency [45]. The experimental results indicate 30 ~ 70% energy saving
can be achieved. Salsbury et al., developed MPC for a package air con­
ditioning system [46]. MPC brings significant savings comparing to the
pre-programmed control strategies. The simulation results indicate
25.31% energy saving can be achieved. Zhao et al., developed energy
plus MPC for chiller system in a two-story office building − Center for
Sustainable Landscapes in the city of Pittsburgh, Pennsylvania USA [47].
While maintaining the occupant predicted mean vote (PMV) within
(-0.5, +0.5) range, HVAC energy consumption can be reduced by 18.9%.
According to the simulation results, 2.7% energy saving in summer and
28.9% saving in winter. Radecki and Hencey developed MPC for the
heating system in a 2-zone office building [48]. The simulation results
indicate 7.5 ~ 30% energy saving can be achieved. Kim developed an
adaptive multiple MPC for energy management of a chiller system with
thermal energy storage tank [49]. The simulation results indicate 5 ~
13% energy saving can be achieved. Beghi et al., developed a non-linear
MPC for a chiller system with ice thermal energy storage systems [50].
The simulation results indicated 30 ~ 35% energy efficiency improve­
ment. West et al., developed MPC for AHU control [51]. The experi­
mental results indicate 19 ~ 32% energy saving can be achieved in the
two buildings over 51 and 10 days of operation respectively without
substantially affecting occupant thermal satisfaction levels. Dong and
Lam developed a nonlinear MPC for heating and cooling system of a
building [52]. The experiments are carried out for two continuous
months in the heating season and for a week in the cooling season. The
results show that there is a 30.1% measured energy reduction in the
heating season compared with the conventional scheduled temperature
set-points, and 17.8% energy reduction in the cooling season. Klauco
et al., developed MPC for air conditioning control [53]. The simulation
results indicate 3% energy saving can be achieved. Hazyuk et al.,
developed MPC for the thermal comfort control of a solar heated
building [54]. The simulation result indicates 18% energy saving. Feng
et al., developed MPC for radiant slab systems [55]. Compared to the
rule-based method, MPC can reduce the cooling tower energy con­
sumption by 55% and pumping power consumption by 25%. Deng et al.,
developed MPC for a central chiller plant with thermal energy storage
[56]. The simulation results show that 9.7% energy can be saved. Killian
et al., developed cooperative fuzzy MPC for heating and cooling of
buildings [57]. Although the energy saving rate is only 4.3%, the control
system can incorporate multiple variables at the same time, thereby
improving the stability of the control system. Mayer et al., developed
MPC for chiller system with a thermal storage tank [58]. The simulation
results indicate an increased usage of at least 50% of renewable energy
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resources and a cut in energy costs of about 50%. Jafarinejad et al.,
developed MPC for AHU system [59]. Up to 1.23% of the energy was
saved, solely by means of optimizing the timetable. Then, the demand-
driven control strategy is implemented, and by predicting the heating
demand, thermal comfort is maintained while the building energy use is
decreased by 11.65%. Finally, the demand-driven control scheme is
integrated with the optimized course timetable, which leads to an
enhanced controller performance and achieving a saving potential of up
to 18.97%. Javed et al., developed a smart air conditioner with internet
of things (IoT) [60]. The smart controller was capable of identifying
when a room was unoccupied and turning off the HVAC, reducing its
energy consumption up to 19.8%. Sala-Cardoso et al., proposed the
predictive chiller operation by the data-driven loading and scheduling
approach [61]. The effectiveness of the proposed methodology is tested
with experimental data from a multi-chiller installation in a tertiary
sector building, where nearly a 20% average performance increase is
achieved compared to the standard real-time controller of the HVAC
system. Soyguder developed an intelligent system for fan speed control
[62]. There’s no energy saving effect but the control performance can be
improved. Atthajariyakul and Leephakpreeda developed neural
computing model for HVAC systems [63]. The model can predict ther­
mal comfort accurately. Moon and Kim developed ANN-based thermal
control model for an air conditioner [64]. According to the simulation
results, compared to the conventional logic, temperature control with
ANNs saved 0.3 ~ 1.4% of heat supply. Yang et al., applied ANN to
predict the optimal start time for heating system in a building [65].
Beltran et al., developed occupancy thermal based sensing for HVAC
control [66]. The simulation results indicate up to 45% ventilation
power can be saved. Aftab developed automatic HVAC control with real-
time occupancy recognition [67]. The occupancy-based MPC was
deployed in a large public indoor space of a mosque, thereby achieved
significant energy saving up to 3,197 kWh per week. Fayazbakhsh et al.,
developed gray-box model for MPC of an air conditioner connected to a
test chamber [68]. The experimental results indicate 6.6% energy saving
can be achieved by using different high and low set point hysteresis
values. Ruano and Ferreria developed MPC for air conditioner control
[69]. The experimental results indicate energy savings, from 41% to
77%, were obtained. Castilla et al., developed ANN-based thermal
comfort model for HVAC systems [70]. The results indicate more ac­
curate thermal comfort predictions can be made by AI when comparing
with the traditional regression models. Garnier et al., developed MPC for
the multi-zone HVAC system in non-residential building [71]. The
simulation results indicate 5% to 15% energy saving. V. Kirubakaran
et al., developed a PIC32mx series microcontroller platform to perform
MPC for water supply control [72]. This study focuses on the fact that
MPC can eliminate the control oscillation caused by the servo motor, but
no data reported related to energy savings. Lee et al., developed MPC to
determine control profiles of the AHU systems as demand response [73].
The simulation results indicate up to 30.95% energy cost can be saved.
Salakij et al., developed MPC to determine optimal set point schedule for
air conditioner in three different kinds of buildings [74]. The simulation
results indicate 39.0% to 42.6% energy saving can be achieved. Li and
Malkawi reported the development of the multi-objective optimization
for air conditioner control in small and medium size commercial
buildings [75]. The simulation results indicate MPC are able to save
energy costs from 20% to 60%. Personal heating system on the chair was
reported by Katic et al [76]. They used MPC for comfort control only. Lee
developed AI implementation framework to implement AI for chiller
energy saving in a complex three-story building with a semiconductor
production line [77]. The experimental results indicated 37% energy
saving can be achieved. Yang et al., developed MPC to control single coil
AHU for energy saving [78]. The experiment results indicate 20% en­
ergy saving can be achieved. Dey et al., studied different kinds of ANNs
for the modeling of fan coils [79]. The final results indicated the
Bayesian network (Probability neural network) is the most suitable so­
lution for fan coil fault detection and energy saving. J. Ahn and S. Cho
D. Lee and S.-T. Lee
developed a decision-making model to mitigate thermal dissatisfaction
and energy efficiency [80]. The simulation results indicate it reduces
annual energy consumption by about 17.4% for an office building and
about 25.7% for residential buildings. Lee and Tsai developed cloud-
based MPC for a high energy-efficient air conditioner [81]. Experi­
mental results show that with the assistance of AI, energy efficiency can
be improved by another 7.37%. Jang et al., developed the online
learning MPC for chiller system control in a commercial building [82].
The experimental results indicate 18.6% to 44.0% energy costs can be
saved. He et al., reported the development of MPC for variable air vol­
ume system based on LSTM [83]. The simulation results indicate the
control parameters can be tuned automatically by LSTM to make the
system reach the expected response.
The details of the above 47 cases are summarized in Appendix 2.
Except the HVAC system description and the ANN structure to build the
model, referring to the input–output model as shown in Fig. 5, the
external heat gain, internal heat gain, power input and temperature
control output are illustrated in the appendix.
3.2.2. Study cases of fuzzy control
The study cases related to Fuzzy control are briefly introduced as the
following. Clark and Mehta reported a building management system
with KBS for AHU scheduling control [84]. The simulation results
indicate 16.7% electricity saving can be achieved. Alcala et al., devel­
oped fuzzy control of AHU system for test cells [85]. The experimental
results show a 18% improvement in people’s satisfaction. Kolokotsa
compared the performance of five fuzzy controllers include fuzzy P,
fuzzy PID, fuzzy PI, fuzzy PD and adaptive fuzzy PD [86]. The experi­
mental results indicate 20.1% heating and cooling energy saving. Ter­
ziyska et al., developed fuzzy + MPC for a building heating system [87].
Although there’s no energy saving effect, simulations results demon­
strate that a better system performance can be achieved on comparison
to classical PID control. Kumanan et al., presented the design and
implementation of an intelligent controller for a split type air condi­
tioner [88]. Comparing with On-Off control, fuzzy control can save 2.9%
and 21.4% energy in winter and summer respectively. Teng et al.,
developed T-S fuzzy controllers for an AHU system [89]. The computing
time can be saved from 0.2005 sec to 0.0822 sec by using two different
methods. Jazizadeh et al., developed thermal comfort driven HVAC
operations by using fuzzy control [90]. The experimental results showed
a 39% reduction in daily average air flow. Moon compared the perfor­
mance of AI-based thermal comfort control algorithms in a double-skin
building [91]. The simulation results show that if comfortable thermal
condition is the principal interest, then the FL or ANFIS algorithm could
be the proper solution, and if energy saving for space heating and system
operation stability is the main concerns, then the ANN-based algorithm
may be applicable to provide stable and comfort control. Killian et al.,
compared fuzzy control with MPC for heating and cooling of buildings
[57]. The simulation results show 0.21% to 0.53% energy saving. Liang
and Du developed an intelligent controller for a air conditioner[92]. The
simulation results demonstrate that within 12 h, the cooling power
consumed by the intelligent system and constant air volume system are
25.93KWh and 28.93KWh respectively, and hence, 10.37% cooling
power can be saved. Alcala et al., developed fuzzy control system for air
conditioner and AHU control [93]. The fuzzy logic controller was opti­
mized by GA. The real experiments were carried out in two different test
results. The experimental results in one test cell show that fuzzy control
can save energy from 11.36% to 13,34%. It’s noted that the real
experimental results show higher energy saving effects than simulations.
The experimental results in the other test cell, the optimized fuzzy
controller can save energy up to 29.93%. Aguilera et al., developed
thermal adaptive control technology for an open-plan office [94].
Thermal preferences were learned by fuzzy logic used to calculate a set
point implemented in the fan coil control system. Although there’s no
energy saving effect, the accurate measurements and occupants’ thermal
expectation can be satisfied by the fuzzy controller. Homod et al.,
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Applied Thermal Engineering 235 (2023) 121253
developed TS fuzzy model of a ventilation fan unit to control indoor
thermal comfort based on PMV and predicted percentage of dissatis­
faction (PPD) [95]. Although there’s no energy saving effect, a good
modeling capability was achieved. Hussain developed fuzzy logic
controller for the air conditioning system of a hotel [96]. The fuzzy
controller was optimized by GA. With the assistance of Energy Plus
model, 18.1% saving of heating energy and 16.1% saving of cooling
energy has been proven in one-year test. It’s noted that with the help of
GA, PMV can be kept within the limits of |PMV|≤0.7. Li et al., reported a
experimental study of fuzzy control for AHU in a building [97]. In this
study, the wristband device’s physiological data is utilized to propose a
thermal sensation prediction-based fuzzy control method of indoor
temperature to improve the indoor environment’s thermal comfort and
achieve an energy saving of air-conditioning system. The experimental
results indicate 20.07% and 10.73% savings in daily energy consump­
tion compared with the temperature set point-based control and thermal
sensation feedback-based control, respectively. Lee and Tsai developed
cloud-based fuzzy control for a high energy-efficient air conditioner
[81]. Experimental results show that with fuzzy control, energy effi­
ciency can be improved by another 3.46%. Lee developed AI imple­
mentation framework to implement AI for chiller energy saving in a
complex three-story building with a semiconductor production line
[77]. Although there’s no energy saving effect, motor control by fuzzy
logic can avoid overshooting and make smooth control of water pumps
and fans.
The details of the above 17 cases are summarized in Appendix 3.
Except the HVAC system description and the AI methodology, referring
to the input–output model as shown in Fig. 5, the external heat gain,
internal heat gain, power input and temperature control output are
illustrated in the Appendix 3.
3.2.3. Study cases of EA
Study cases related to control optimization by evolutionary algo­
rithms (EA) include the following: Komareji et al., developed a simpli­
fied optimal control method for AHU with the air-to-air heat exchange
scheme [98]. The simulation results indicate the simplified optimal
control strategy can save up to 82% energy consumption (Volume flow
rate reduction: 43.5%) of water pump while comparing with the con­
stant flow rate control. Li and Ren developed an optimal scheduling
program for the chilled water system of a large shopping mall [99]. The
improved genetic algorithm is used in the optimum scheduling scheme.
The computation results show that the building energy consumption can
be decreased by about 7.4 %. Chinnakani et al., compared control per­
formances of On-Off, PID and optimal controller for a heating system
[100]. The simulation results indicate that the optimal control system to
control PMV index in a facility is the best suited choice to regulate
thermal comfort. 8.21% energy can be saved. Congradac and Kulic used
ANNs and GA to optimize chiller operation [101]. The 9 ~ 12% energy
saving can be achieved. Jahedi and Ardehali developed wavelet-based
ANN for improving control performance of a chiller system [102]. The
simulation results indicate overshooting of traditional control can be
suppressed effectively by wavelet neural network. Bengea et al., devel­
oped fault-tolerant optimal control for AHU with VAV boxes [103]. The
simulation results indicate 4.2% to 4.7% power demand can be reduced
under the fault conditions. Wang and Jin reported a model-based
optimal control of a chiller system by using GA [104]. The simulation
results show that 1.1, 0.2, 0.9 and 39.8% energy saving can be achieved
in four test days with four weather conditions include sunny summer,
cloudy summer, sunny spring and sunny winter, respectively. Huang
and Lan used GA to optimize controller parameters for HVAC systems
[105]. The simulation results show that the GA-based optimization
procedures are useful for automatic tuning of PID controllers for HVAC
systems, yielding minimum overshoot and minimum settling time.
Alcala et al., reported fuzzy control optimized by GA for AHU energy
saving [93]. The real experiment results indicated that, comparing to
On-Off control, the GA optimized fuzzy control can save 12.1% energy.
D. Lee and S.-T. Lee
Yang et al., applied ANN to predict the optimal start time for heating
system in a building [65]. Nam et al., reported a proactive energy-
efficient optimal ventilation system by using AI [106]. The proactive
optimal ventilation system for the platform of a target subway station
presented a decrease of 96 tons of CO2 per year to help address climate
change. According to indoor air quality conditions from clean to mod­
erate, energy savings varied from 5.58% to 15.65%.
The details of the above 12 cases are summarized in Appendix 4.
Except the optimal method, the external heat gain, internal heat gain,
power input and temperature control output are illustrated in the Ap­
pendix 3.
3.2.4. Study cases of DRL
The study cases related to deep reinforcement learning (DRL) and
model free predictive control (MFPC) are listed in the following. Dala­
magkidis et al., developed linear reinforcement learning control system
for the chiller system in a building [107]. The simulation results indicate
the energy saving effects can be increased from 24.6%, 37.9% to 48.3%
year by year by using the reinforcement learning on test site. Wei et al.,
developed deep reinforcement learning for multi-zone HVAC control
[108]. The simulation results indicate the energy cost can be saved from
4.9% to 71.2% while maintaining the room temperature in desired
range. Du et al., developed a determined deep policy gradient controller
for a residential air conditioner equipped with a thermal energy storage
tank [109]. The simulation results indicate 15% energy can be saved.
Gupta et al., developed DRL-based controller for house heating system
[110]. The simulation results indicate energy cost can be saved from 5%
to 12%. Yu et al., developed multi-agent DRL for AHU control in the
commercial building [111]. The simulation results indicate 51% energy
cost saving can be achieved. Lee et al., implemented the MFPC system
for the chiller system in a hospital, office building and factory [112]. The
real experimental results indicate 29.9% to 34.2% energy saving can be
achieved. Lin et al., presented an agent-based model for the office air
conditioning system control [113]. The simulation results indicate the
energy saving potentials range from 11.8% to 14.2% with respect to the
peak-valley pricing and critical peak pricing. Klein et al., developed
multi-agent control system for energy and comfort management in a
complex building [114]. The simulation results indicated 5% energy
saving can be achieved.
4. Results and discussions
By summarizing the discussions on 25 review papers and the AI
design elements derived from the more than 1,700 papers through NLP,
this study identified four AI design methodologies. On the basis of dd-
PRISMA (Fig. 1), these methodologies would be analyzed in depth and
Fig. 6. Energy saving effects reported by 88 case studies encompassing four
different AI design methodologies.
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discussed divergently to obtain the final design. Energy-saving perfor­
mance was the first factor to analyze.
4.1. Energy savings effects among four AI methodologies
The energy saving effects reported by the 88 case studies are sum­
marized in Fig. 6.
Since 2001, Review have discussed ANNs extensively (Fig. 2).
Moreover, as Fig. 3 clearly suggests, MPC was the main driver behind AI
developments for making HVAC systems energy-efficient. Fig. 6 com­
pares the energy savings of different AI design methodologies by per­
centage. It is clear that the energy-saving effects of MPC are higher than
any of the other three methodologies.
We compared the energy/energy cost saving percentages of the cases
summarized in Fig. 6 as some cases, such as the AHU energy saving by AI
reported in [39], only reported the savings of a single component but not
the whole system. Therefore, comparisons based on absolute energy
savings would result in the energy saving effect of the whole system
being higher than that of a single component. Comparing energy saving
percentages avoids this discrepancy and compares the effects that
different AI technologies can achieve.
The analyses of the cases shown in Fig. 6 were divided into simula­
tion and experimental results. It should be noted that MPC cases ob­
tained by actual experiments showed higher percentages than those
obtained by simulations. This can be qualitatively explained by the fact
that a model constructed by ANNs can continue to learn and improve, so
the application of AI in real situations yields more satisfactory results
than the simulated results expected by researchers in the first place.
This study further performed a quantitative analysis of the high en­
ergy saving percentage achieved through MPC. In order to conduct this
analysis, the cases selected for this study must conform to the
input–output model introduced in Section 3.1. That is, these cases must
provide relevant data that could be simulated to establish a quantitative
analytical model. An input–output models for the four different HVAC
systems (the chiller system, AHU, heating system, and air conditioner)
was created and illustrated in Fig. 7.
On the basis of Fig. 7(a), the input–output model of the chiller system
can be expressed by Eq. (1):
W′*COP(Q′HVAC ) = Q′HVAC
dT(t) T(t) − T∞
= mc + − Q′Equip + mOcc hi − m′Occ ho (1)
dt Rth
where, as shown in Fig. 7(a), W′ is the input of electricity power to the
chiller system, COP is the coefficient of performance of the chiller sys­
tem, Q′HVAC is the cooling/heating power applied to the building
through the cooling water flowing in and out, mc is the thermal mass
and specific heat in the indoor environment, T(t) is the indoor temper­
ature, T∞ is the outdoor temperature, Q′Equip is the heat dissipated by the
equipment in the indoor environment by the equipment, mocc is the mass
of the occupants, hi is the enthalpy in equilibrium with the indoor
environment, m′occ is the mass of people entering and leaving, and ho is
the enthalpy in Equilibrium with the indoor environment.
The AHU, fan, and fan coil were used to deliver air into the air-
conditioned space. The electricity power, W′, can be expressed by Eq.
(2):
√ ̅̅̅̅̅̅
(2)
3
W′ = m′Air
where m′Air is the rate of the delivered airflow. The cooling/heating
power, Q′HVAC , can be expressed by Eq. (3):
[ ]
Q′HVAC = m′Air *Cp * Tsup − T(t) (3)
where Tsup is the temperature of the supplied air flow.
On the basis of Fig. 7(b), the input–output model of the air
D. Lee and S.-T. Lee
Fig. 7. Input-output models for four different HVAC systems: (a) Chiller system and AHU, fan, and fan coils; (b) air conditioner; and (c) heating system or heat pump.
conditioner can be expressed by Eq. (4):
W *EER(Q HVAC ) = Q HVAC
′ ′ ′
dT(t) T(t) − T∞
= mc + − Q′Equip + mOcc hi − m′Occ ho
dt Rth
where EER is the energy efficiency ratio. For the fixed output air
conditioner with On-Off control, EER can be assumed as a constant.
Q′HVAC will have the shape of a square wave. For an inverter-driven air
conditioner with PID control, EER is the function of Q′HVAC . Different
EER values in relation to different outdoor temperatures constituted the
index of cooling season power factor (CSPF). It is an effective indicator
for evaluating the overall energy efficiency of the inverter-driven air
conditioner. The details about the index can be referred to in [76]. In
this study, this index was also used to analyze the energy-saving effects
described in the rest of the paper.
On the basis of Fig. 7(c), the input–output model of the heating
system or heat pump can be expressed by Eq. (5):
dT(t) T(t) − T∞
W′*Eff Heater = Q′HVAC = mc + − Q′Equip + mOcc hi − m′Occ ho
dt Rth
where Eff Heater is the heater efficiency.
Eqs. (1)–(5) describe the respective input–output models of the
chiller system, AHU, air conditioner, and heating system. How to apply
MPC, which is considered as an effective way to save energy for HVAC
system, is discussed quantitatively in the next section.
4.2. The most effective design: MPC
Through the discussion of more than 1,700 papers exploring AI
Applied Thermal Engineering 235 (2023) 121253
development since 2001, and the energy-saving effects reported by 88
case studies, the present study concluded that MPC is currently the most
effective method for applying AI to improve HVAC energy efficiency.
However, the 49 MPC cases presented in Appendix 2 all focus on how to
(4)
use different ANNs to build models, and they intuitively argue that
control through accurate prediction can effectively save energy. This
study sought to collect data from various cases to quantitatively analyze
the energy-saving effectiveness of MPC. This analysis was based on the
input–output models that were proposed in this study and expressed by
their respective mathematical equations. All the collected cases can be
modeled accordingly, and they reported the status of external and in­
ternal heat gain as listed in each table in Appendix A. By analyzing these
data, this study is arguably the first of its kind to clearly demonstrate
why accurate predictions can lead to HVAC energy saving. First, the
baseline for energy-saving comparison was an HVAC system controlled
by On-Off or PID whose schematic diagram is shown in Fig. 8 (a). Sec­
ond, the framework of MPC for improving energy efficiency is illustrated
in Fig. 8 (b).
As Fig. 8(a) shows, the traditional HVAC system performs indoor
temperature control using two algorithms: On-Off and PID. On-Off
control uses a comparator to compare the temperature sensor feed­
(5) back with the set-point. If the error, e(t), is larger than a certain level, the
HVAC system will be turned on to regulate the indoor temperature.
When the error is reduced to under that level, the HVAC system will be
turned off. Such kind of control needs 2.5 times more cooling/heating
power (Q′HVAC ) to suppress the thermal load in the air conditioned space.
PID can lead to higher energy efficiency than On-Off control. As
shown in Fig. 8(a), PID gives a determined output according to the
control error, e(t), as expressed by Eq. (6):
13
D. Lee and S.-T. Lee Applied Thermal Engineering 235 (2023) 121253

Fig. 8. (a) On-Off or PID controller for the traditional HVAC system, and (b) MPC for an AI-enabled energy-efficient HVAC system.

∫ t
de(t) model. MPC acquires not only temperature sensor feedback but also data
PID control output = KP *e(t) + KI * e(t)dt + KD * +M (6)
0 dt about the occupancy status and the equipment operation. By drawing on
these data, MPC learns and outputs the most probable value for HVAC
where KP is the proportional constant, KI is the integral constant, and KD system control. The MPC control from input to output can be expressed
is the differential constant, and M is the control margin. Typically, PID by Eq. (7):
provides 1.5 to 2.0 times more power margin to ensure stable temper­
ature control.
MPC is seen as achieving higher energy efficiency than PID control.
As Fig. 8(b) shows, MPC uses different ANNs to create the entire building

14
D. Lee and S.-T. Lee
∑
P1
MPC input layer→ xi , h1 = f 1 (zi ), zi = W1i *xi + b1i , ⋯, hj = f j (zl ), zl
i=1
∑ (9)
Pl
= Wjl *hj + bjl ; ⋯; Output layer→yk
l=1
∑
Pk
= f k (zm ), zm = Wkm *hm + bkm
m=1
(7)
where xi is a series of input data—temperature sensor feedback, web
information, occupancy status, and equipment status— obtained by IoT
sensors, and h1 ⋯hj are the outputs of j hidden layers, whose perception
nodes all use the function f to determine their output as shown in Eq. (7).
In the equation, moreover, z1 is the output of the first hidden layer of the
ANN. After z1 is weighted by W1i and adjusted by the bias of b1i , it is
output to the second layer. Then, z2 ⋯ zl are the outputs from the first
hidden layer. After z2 ⋯ zl are processed by multiple hidden layers, a
series of output yk can be calculated. Finally, the control output to the
HVAC system is the y value with the highest probability determined by
the multiple paths (see Fig. 8(a)).
A comparison between Eqs. (6) and (7) revealed noticeable differ­
ences between PID control and MPC. PID control calculates the pro­
portional, integral and differential values of the control error, and
outputs a linear and continuous control signal; the integral value, in
particular, can effectively remove the signal oscillation due to e(t)
beating. In contrast, MPC uses multiple paths of the ANN with different
weightings. After collecting all related information, MPC chooses the
output with the highest probability. Such differences in control opera­
tion are applicable where occupants frequently enter and exit an air
conditioned space. MPC outputs a variable control signal discontinu­
ously and non-linearly to respond to rapid changes of cooling/heating
load due to the occupants entering and leaving.
The fast response to the occupants entering and leaving is the main
reason why MPC can save energy for equipment such as the AHU, fan
coil and fan. On the basis of Eq. (2), the input–output model that
described how such equipment provides indoor energy, if it is controlled
by PID, can be rewritten as Eq. (8):
(8)
If MPC is used, however, it can be rewritten as Eq. (9):
15
Applied Thermal Engineering 235 (2023) 121253
Of these two equations, Eq. (8) shows that when the supply air
temperature is assumed as a constant, PID control needs to sense the
temperature change caused by the movement of occupants before
adjusting the air volume. Thus, its control process is characterized by
latency. By contrast, Eq. (9) shows that MPC can predict the movement
of people by using a model, and perform control in advance. Both con­
trol methods results in significant differences in energy consumption.
A comprehensive summary of the cases presented in Appendix. A
suggested that in a space with just one occupant or two, the accuracy of
predicting the number of occupants was 11.5% to 13.6%, and MPC
achieved 25% energy saving. However, in the space, the number of
occupants was between 127 and 407, which meant a prediction accu­
racy of 10%–16% and a higher energy-saving rate (up to 30%).
After quantifying the energy-saving benefits obtained by MPC-based
AHU control, this study analyzed the effects of MPC on the chiller sys­
tem, air conditioner and heating system. On the basis of Eq. (1), (4) and
(5), the application of PID control in these three HVAC systems after
differences in the performance coefficient between all the systems can
be expressed by Eq. (10).
(10)
∫t
According to Eq. (6), PID control uses KP *e(t) +KI * 0 e(t)dt +KD * de(t)
dt
to suppress e(t) to zero and make the indoor temperature T(t) ≈ Setpoint.
This will yield dT(t)
dt →0, and a constant heat leakage occurs as the second
term on the right-hand side of Eq. (10). In addition, PID control uses the
parameter M to compensate for the output. In order to effectively control
the indoor temperature, the set M value usually provides 1.6 to 2 times
more energy.
According to Eq. (7). MPC uses.
⎧ Sensor feedback
⎪
⎨ Weather condition
Input xi →Hidden layer hl →Output yk to model the
⎪
⎩ Equipment
Occupancy status
whole system and determine yk with the highest probability to minimize
the value of mc dT(t)
dt + Rth .
T(t)− T∞
On the other hand, the internal heat load
from running equipment can be measured by IoT sensors with an ac­
curacy of 5%. The increase in the internal heat load of enthalpy as a
result of the occupants’ metabolism and their entering and leaving can
be estimated by occupancy detectors with an accuracy of 16%. The
application of MPC can be expressed by Eq. (11):
D. Lee and S.-T. Lee
A comparison between Eqs. (10) and (11) suggested that MPC con­
sumes less heating/cooling power, Q′HVAC . However, the flip side of
using MPC to control the indoor temperature is that the temperature
may be higher or lower than under the original control condition,
depending on whether the room is air-conditioned or heated. Fig. 9
shows indoor temperature differences under different control condi­
tions, on the basis of several MPC-related case studies.
The heating data in the upper left portion of Fig. 9 shows that heater
was only turned on when people occupied the pace and the temperature
decreased naturally at other times during two days. The fluctuations in
the cooling temperature in the lower middle portion of Fig. 9 suggested
that the temperature was adjusted by the occupant in a large public
space during one day. The other graphs present the results of predictive
control based on weather data and equipment status.
To further analyze the energy-saving effects of MPC, this study
calculated the external and internal heat gain status of all cases sum­
marized in Appendix 2. Eq. (10) and (11) were used to calculate Q′HVAC
under both PID and MPC control conditions. The calculation suggested
that MPC reduced Q′HVAC by 32.3% to 41.8%. Moreover, when the in­
door temperature was slightly adjusted to reduce Q′HVAC and predicting
the heat gains from occupants and equipment was predicted with an
accuracy of 16% and 5% respectively, the chiller system saved 28.8% to
44% of energy, air conditioner saved 30% to 70%, and the heating
system saved 16% to 40%.
On the basis of the above data, the energy saving effects that can be
achieved by the chiller system in each case was roughly within the range
of theoretical estimation, with differences of < 5%. However, energy
savings were higher and lower than expected for the air conditioner and
heating system, respectively. This was probably because the EER value
of the air conditioner and the thermal efficiency of the heating system
were related to Q′HVAC of Eqs. (4) and (5). For example, the thermal
efficiency of the heating system became low when it provided plenty of
heating energy. Therefore, where the MPC becomes less effective in
reducing the load, the thermal efficiency decreases, resulting in a lower
minimum energy saving than estimated. The reason for the higher en­
ergy savings observed in the air conditioner will be provided later in
Section 4.5.
4.3. Necessary hardware upgrades
On the basis of control theory, there were also 49 cases where MPC
was applied. Data about the external and internal heat gains (see Ap­
pendix 2) can be estimated for the four HVAC systems. The quantitative
energy-saving data provided at the end of the previous section were all
obtained using the raw data presented in Appendix A. However, this
study found the slopes of data curves for energy consumption were
significantly different between the original control and AI-assisted
control.
Fig. 10 describes the hourly slopes of the power curves of 43 cases
shown in Appendix 2 (six of which are without complete raw data) and
the differences in the maximum slope between the original control and
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Applied Thermal Engineering 235 (2023) 121253
(11)
AI-assisted control. The slope was the denominator, and the ratio of the
slope difference was calculated to define the control speed difference.
When the value was 1, there was no difference between the two control
methods. When it was higher than 1, the response speed of the HVAC
system, including a power increase, was applied where MPC was
adopted. The response speed, the increase of the ice water flow, and the
speed of the compressor switch showed an upward trend. On the con­
trary, if the value was lower than 1, there were deceleration trends.
As shown in Fig. 10, the analysis results of control speed with MPC
showed that, for 36 of the 43 cases, whether they were simulations and
actual experiments, the application of AI control had indeed increased
the response speed of the original HVAC system. Moreover, the higher
energy-saving ratio was, the higher control speed was required. Because
the energy saving ratio data were divergent, the R2 value of the control
speed and energy-saving ratio was only 0.39. However, it can be
concluded from Fig. 10 that the use of MPC to save energy requires
further improvement in the control speed of HVAC systems.
Based on this conclusion, the boost to control speed, energy saving,
and power curves for the four HVAC systems are all summarized in
Table 3. More importantly, Table 3 also presents feasible hardware
modifications needed for these different HVAC systems to achieve a
control speed boost required in this study. Furnished with AI software
and the corresponding hardware upgrades, the HVAC systems can
become more energy-efficient.
In brief, Table 3 provides data related to MPC. Specifically, feasible
hardware upgrades for this application. Although MPC is an effective
method for achieving HVAC energy saving, as recommended by dd-
PRISMA, there should be divergent discussions to incorporate other AI
methodologies to determine the optimal design.
4.4. Divergent thinking and convergence to optimal design
The actual problem with applying MPC can be referred to in Fig. 9.
Considering the model’s condition, the temperature was adjusted to
slightly higher or lower than under the original control, although such a
situation may cause discomfort to the occupants., The fuzzy control
cases summarized in Appendix 3 presented discussion on thermal
comfort. The schematic diagram of fuzzy control is shown in Fig. 11(a).
As shown on Fig. 11(a), the inference engine is a feature of fuzzy
control. In addition to human expert knowledge, the ANFIS is an auto­
mated method for inferring human comfort levels, and this ANN is
illustrated in Fig. 11(b). By performing ANN learning, the ANFIS can
infer five levels of how people feel hot, cold, or comfortable. The ANFIS
resembles human perception more closely than do temperature sensors
that evaluate human perception in terms of degree Celsius, and can limit
temperature excursions to a range that does not affect human comfort.
An actual experiment described in Appendix 3 shows that the indoor
PMV can be controller through fuzzy logic within the comfort range
more quickly and accurately than through temperature sensor feedback.
Fig. 11(c) and (d) depict changes in control response that are attributed
to fuzzy logic and temperature sensor feedback, respectively.
D. Lee and S.-T. Lee Applied Thermal Engineering 235 (2023) 121253

Fig. 9. Differences in indoor temperature: MPC vs. original control.

Considering the results shown in Fig. 11 and the slight increases in

indoor temperature that were observed in an MPC-based experiment
compared to the original control method, this study argued for a re-
divergence of the AI methodologies and explored the possibility of
combining HVAC system control with fuzzy logic.
Applying computational intelligence to optimize an HVAC system is
also an AI methodology. The case studies cases that met the criteria for
inclusion in the present study mainly used GAs (see Appendix 4). Fig. 12
(a) describes how a GA is used to tune the three parameters of a PID
controller. The rationale of the GA is to imitate the mating and mutation
of human genes. The optimal output is determined by the strong genes.
The logic architecture of this algorithm is introduced in Fig. 12(b).
Looking back at the comparison of energy-saving effects among the
four different AI design methodologies (Fig. 6), optimization by GAs did
not produce satisfactory energy savings. This may be explained by
Fig. 12(a). The case studies reviewed in this paper are all based on PID
controllers. Assuming that the framework of the controller has not been
significantly changed, the energy-saving effects it achieves are relatively
limited. However, as shown in Fig. 12(b), simulating human gene
pairing to analyze the optimal outputs provides a good mechanism for
making the final decision from multiple AI outputs. Therefore, GAs Fig. 10. Control speed changes induced by MPC implemented in
should be incorporated into AI design methodology. HVAC systems.
Using DRL to perform trial & error and model free predictive control
(MFPC) produced the second highest energy-saving effects after MPC hardware response speed is required, particularly for a factory running
(Fig. 6). This methodology uses two DNNs to critique each other. on a 24/7 basis with its chiller system operating continuously (Fig. 13
Through trial & error, this methodology reinforces the AI learning effect (d)). Indeed, as Fig. 13(d) shows, the results represented by the purple
at a real site. The schematic diagram of DRL is shown in Fig. 13(a). The line suggested that the chiller system was controlled through MFPC,
researchers have developed a DRL system and applied it in a hospital, which enabled faster power adjustment than the original control
office building, and factory—with the energy-saving results for their method.
chiller systems respectively described in Fig. 13(b), (c), and The results In addition to achieving energy-saving effects, DRL does not need a
of the actual experiments on DRL (Fig. 13(b) to (d)) suggested that DRL large amount of historical data for training. It learns through on-site trial
achieved energy savings of 29.9%–34.2%. Moreover, an observation of and error control and provides the control flexibility that is not limited
the control performance results for the three chiller systems indicated by a learned model. More importantly, because a mode trained with a
that MFPC and MPC share the same control characteristics—that is, high large amount of historical data sometimes not only fails to represent a

17
D. Lee and S.-T. Lee Applied Thermal Engineering 235 (2023) 121253

Table 3
Necessary hardware upgrades for MPC.

(continued on next page)

18
D. Lee and S.-T. Lee Applied Thermal Engineering 235 (2023) 121253

Table 3 (continued )

19
D. Lee and S.-T. Lee
building’s dynamic indoor and outdoor conditions, but it also imposes
rigid limits on control output, DRL-based MFPC solves the problem with
a rigid learning model and provides another solution for intelligent
control. Therefore, it should be included as the final design
methodology.
To summarize, this divergent discussion on the 88 case studies the
following conclusions for the four AI design methodologies:
• The majority of case studies discussed the energy-saving effects of
MPC, which have been proved to be higher than those of the other
three design methodologies. However, the adoption of MPC should
go with improvements in the hardware response speed of an HVAC
system, and MPC causes the indoor temperature to be slightly higher
or lower than the original control method, depending on the cooling
and heating conditions.
• Although fuzzy control delivers poor energy-saving effects, this
control method boasts an inference engine. Using an ANN-based
inference system, the ANFIS can estimate the occupants’ thermal
comfort level effectively and manage to compensate for energy
saving and thermal comfort.
Fig. 11. (a) Fuzzy control as another design methodology for HVAC systems; (b) estimating thermal comfort (represented by the PMV index) using the inference
system of fuzzy control; (c) indoor PMV estimated through the proportional control of temperature sensor feedback; (d) indoor PMV controlled through fuzzy logic.
20
Applied Thermal Engineering 235 (2023) 121253
• EA primarily involves using GA methods. The case studies focused
mainly on using GAs to optimize the PID controller’s parameter
settings. In addition, because the controller is characteristically
limited in its use, the energy savings reported in the cases were
limited. However, GAs are still an effective energy-saving method.
More importantly, using GAs to simulate human gene pairing can
effectively identify dominant genes as control outputs.
• DRL dispenses with a requirement for ML that learning models need
to be fed a large amount of historical data. More importantly, since
buildings may change their characteristics over time, models estab­
lished by learning from historical data may become inapplicable
after a certain period of time. DRL does not have such a limitation,
and it can achieve MFPC for dynamic conditions.
The discussion above suggested that each of the four methodologies
has its own strengths. Given this convergence, an optimal AI control
design was proposed for HVAC systems that should encompass the ad­
vantages of these methodologies. This proposed design, based on the dd-
PRISMA, was characterized by the parallel operation of cloud AI and
local AI and the design of observer as shown in Fig. 14.
As Fig. 14 shows, the control system have two outputs, Y and Y,
̂ that
D. Lee and S.-T. Lee
Fig. 12. (a) GA as the main tool of EA and (b) GA algorithm for determining the
dominant gene for optimal parameters.
correspond to a single input—the X data array from building sensors. Of
course, when the network communication is disconnected, the system
can only choose Y output. If the communication is normal and both
outputs can be received, the observer design will follow the sequence
assumption of the Markov chain, which means that the output of the
next time is only related to the output of the previous time, and the
system control output is determined by probability P, as expressed by
Eq. (12):
̂ t = Y)
P(Θt+1 = Y|Θ ̂ = 0.9
̂ = 0.1
P(Θt+1 = Y|Θt = Y)
(12)
̂ t = Y) = 0.4
P(Θt+1 = Y|Θ
P(Θt+1 = Y|Θt = Y) = 0.6
where Y ̂ comes from cloud AI. Since the cloud has much higher
computing power of the cloud than the lower-end controller, complex
ANNs, such as DNN, RNN, or LSTM as shown in the upper left portion of
Fig. 14, should be adopted. These three ANNs have also been proved to
show good energy-saving potential in the case studies, but considering
the complexity of calculation, they should be implemented within the
cloud.
In addition to MPC, DRL for MFPC should also be used in the cloud,
because it takes into account what can be predicted by a model, as well
as changes within a building which cannot be predicted by the model.
The model-based or model-free prediction control output in the cloud
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Applied Thermal Engineering 235 (2023) 121253
considers the personnel comfort prediction output by the ANFIS, and the
EA determines dominant gene outputs which become the cloud control
output Y. The dominant gene is determined using the adaptive function
defined by the human operator; this process is depicted in Fig. 12(b).
The design of observer not only determines the control output ac­
cording to Eq. (12), but also integrates the information from sensors and
occupancy detectors. Although the technology is not yet mature,
explainable AI combined with the use of an observer holds great po­
tential as it can be applied to explain how cloud control outputs are
determined, helping to reassure users regarding AI control. In addition
to trust issues, serious attention should be paid to data security and
personal privacy matters. The case studies reviewed in this paper re­
ported using IP cameras, thermal image sensors and infra-red detectors
to detect occupancy, but each of these devices may result in personal
privacy being violated.
4.5. Achievable energy saving by AI relative to business expectations
This study used dd-PRISMA to review 1,785 research papers and
summarize the AI-enabled energy-saving effects reported by the papers.
Subsequently, 88 cases were discussed in a divergent manner to yield an
integrated optimal design as shown in Fig. 14. The energy savings that
can be achieved through AI methodologies, and expectations for com­
mercial application, are both discussed further in this section. This
section only focused on the chiller system and air-conditioner, because
the data collected for analysis from both systems involved their appli­
cation in commercial products as summarized in Table 1 and the
detailed experimental settings in literature survey. Fig. 15(a) and (b)
respectively describe the energy savings that can be achieved by the
optimal AI design for air-conditioner and chiller system. The business
expectations for air conditioner and chiller energy savings are arranged
on the right side of two figures.
In Fig. 15(a), the energy saving data of 13 air conditioners form one
day to the whole year period was collected in this study. The data points
were drawn in the left portion of the figure. The application of MPC
saved the energy of fixed-output air conditioners and variable-frequency
(inverter-driven) ones. The numerical differences in the energy-saving
ratio between both air conditioners were obtained using the baseline
for comparison. Specifically, for fixed output air conditioners equipped
with MPC or an optimized AI technology, the energy saving ratio was up
to 73.5% compared with the baseline. For the inverter-driven air con­
ditioners, by contrast, the ratio was 28.8% in average. These energy-
saving values are similar to the theoretical estimates introduced in
Section 4.2. This also explains why some case studies, such as [40],
experimentally showed an energy-saving ratio of up to 70% for air
conditioners. A careful analysis of this cited work suggested that a fixed-
output air conditioner was used in its experimental comparison. 25.1%
to 73.5% energy savings of air conditioners are achievable. The opti­
mized design, especially the use of fuzzy control in the cloud, can ach­
ieve a high energy saving ratio while ensuring the comfort of personnel
within the range of |PMV| ≤ 0.7.
Fig. 15(b) describes AI-driven energy savings of 19 chiller systems.
These data were obtained from the actual experiments performed in
some case studies. As shown on the left portion of Fig. 15(b), these cases
were divided into three categories. The first category consisted of chiller
systems with AI-driven energy savings. The second consisted of chiller
systems with an energy storage system (thermal energy storage, or TES).
The third consisted of chiller systems with renewable energy sources
(RES). Compared with the chiller system in original operating condition,
chiller systems with MPC achieved an average energy saving of 28.8%,
while those with optimized AI demonstrated a 44% saving. If driven by
RES, chiller systems drew 50% of its power from such sources. Overall,
chiller systems achieved an energy saving of 28.8% to 44%. Moreover, if
the systems were combined with TES or RES, after optimization, 3% to
27.7% energy can be further saved. That enables a chiller system can be
operated by the renewable energy sources accounted for 73.7% of the
D. Lee and S.-T. Lee
Fig. 13. (a) DRL uses two DNNs to critique each other for trial & error, model-free control; the control performance of DRL tested on the chiller systems of a hospital
(b), office building (c) and factory (d).
total energy consumption.
On the right portions of Fig. 15(a) and (b) are the product benefits
claimed by the air-conditioner manufacturing companies, Sa, L, and P,
and those by the users of chiller system and controller developers G, I
and J. A comparison of the energy-saving data between these two figures
suggested that the current AI developments meet the benefits claimed by
the manufacturers. With respect to air conditioner, if the optimal design
can be introduced, then the energy-saving effects provided by the design
can also ensure the thermal comfort. Regarding to chiller systems, AI
may allow both renewable energy and energy storage systems to be used
more effectively to drive such HVAC unit. Moreover, where AI effec­
tively reduced energy use, 73.7% of chiller systems’ power came from
renewable energy with scheduling enabled by the energy storage
system.
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Applied Thermal Engineering 235 (2023) 121253
5. Conclusions and future prospects
This study proposed the dd-PRISMA, presented a divergence-
convergence discussion to identify the optimal AI design of AI for
making HVAC systems energy-efficient, and predicted the achievable
energy-saving effects. The following conclusions were drawn from the
findings:
• This study is the arguably first of its kind to introduce design
thinking into the field of AI research. Past AI-related studies have
mostly proposed new methodologies and attempted to demonstrate
that their proposed methodologies deliver better energy-saving ef­
fects. Design thinking argues that the advantages and disadvantages
of different methodologies should be discussed in a divergent way to
seek the optimal design. The results of this study clearly demon­
strated a successful integration of four AI design methodologies and
identified the optimal design.
D. Lee and S.-T. Lee
Fig. 14. The optimal design of AI for energy-efficient HVAC system control. This proposed design has three major features denoted by #1, #2 and #3 on the figure.
• This study used an innovative AI tool to review the literature. By
using an NLP program to extract keywords from more than a thou­
sand research papers, this study listed the top 25 most discussed
keywords and organized them into the aforementioned four AI
methodologies. Since AI research is advancing rapidly and there are
plenty of publications discussing AI, employing an AI tool can help
researchers discover AI-related contents in a larger number of arti­
cles and gain a general understanding of the articles.
• The 88 case studies that were deemed to be related to the four
methodologies were included for divergent discussion. The idea was
to understand the advantages and disadvantages of these method­
ologies, with following conclusions:
– MPC provides the highest energy-saving effects and has been
proved by the majority of cases, but the problem is that its model-
based control may cause the indoor temperature to be different
from the set value.
– Although Fuzzy control makes HVAC systems slightly less energy-
efficient, it can use the ANFIS to effectively infer occupant comfort.
– EA typically uses GA methods. The application of GAs can simulate
human gene pairing and provide dominant genes as control out­
puts. This method is suitable for optimizing existing controllers or
determining the output on the basis of an adaptive function.
– DRL dispenses with a requirement for ML that a large amount of
historical data be used for model training. More importantly, since
buildings may change their characteristics over time, models
established by ML using historical data may become applicable
after a certain period of time. DRL does not have such a limitation,
and it can achieve MFPC for dynamic conditions.
• Design thinking proposes that an AI control system should
consist of cloud AI, the local AI controller, and an observer.
Cloud AI performs MPC through a complex ANN, such as the DNN,
RNN, or LSTM. At the same time, it uses DRL to perform MFPC and
the ANFIS to ensure thermal comfort. MPC or PID optimized by a GA
is recommended for use in local AI control. An observer with the set
rules can determine the final control output to an HVAC system.
that to promote the application of AI in HVAC systems, software and
23
Applied Thermal Engineering 235 (2023) 121253
Overall, such a design takes into account the advantages of the four
methodologies to achieve optimal energy-saving control.
• On the basis of some theories and measurement data from the case
studies, the energy-saving ratios of the four HVAC systems were
estimated on the basis of some theories and measurement data from
the case studies. With MPC, the energy-saving ratio ranged from
28.8% to 44% for the chiller system, 25% to 30% for the AHU or fan
coil, 30% to 70% for the air conditioner, and 16% to 40% for the
heating system.
• When using AI control optimized by design thinking, fixed output air
conditioner saved up to 73.5% of its energy use in relation to the
baseline, whereas chiller systems saved 28.8% to 44%. In addition, if
chiller systems were equipped with an energy storage system and
driven by renewable energy sources, up to 73.7% of its non-
renewable energy usage could be reduced.
• To achieve the aforementioned energy-saving effects, the hardware
of HVAC systems must be upgraded to provide higher control
response performance. Most of the past AI studies only focused on
innovations in software and computing algorithms. Yet, an obser­
vation of data from multiple case studies, whether they performed
simulations or actual experiments, indicated that AI-driven predic­
tive control can lead to increases in the control speed of most HVAC
systems because the control method requires faster hardware
response to effectively save energy. Such a hardware–software con­
sistency is rarely discussed in the past research, but the present study
is the arguably first of its kind to have reached this conclusion by
analyzing the raw data from many articles.
• In brief, for an HVAC system to become energy-efficient, it must be
upgraded from both software and hardware perspectives. The rec­
ommended upgrades to improve the control response speed of the
four HVAC systems and feasible methods for doing so are provided in
Table 3. In the future, optimization of hardware to enhance the ef­
fects of AI applications should be taken into account.
Looking forward to the future prospects, this study recommended
D. Lee and S.-T. Lee
Fig. 15. Achievable energy savings of AI-enabled energy-efficient HVAC systems vs. business expectations: (a) air conditioner and (b) chiller system.
hardware should be integrated. While the vast majority of the previous
studies have proposed neural network frameworks or developed novel
algorithms, these innovations may not deliver their intended energy-
saving benefits unless the response speed of hardware devices is
improved in line with software. This study proposed three kinds of
hardware—the magnetic bearing chiller, EC motor, DSP and smart
valve—with higher response speeds that meet the requirements of AI,
24
Applied Thermal Engineering 235 (2023) 121253
particularly MPC-based energy-saving control. Looking ahead, high-
speed heating boilers or heaters and other novel hardware de­
velopments are expected. Overall, hardware and software integration
and optimization is critical to making AI-enabled energy-efficient HVAC
systems a reality.
D. Lee and S.-T. Lee Applied Thermal Engineering 235 (2023) 121253

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