BSR/ASHRAE Guideline 36P

_____________Public Review Draft

High Performance Sequences of

Operation for HVAC Systems
Second Public Review (May 2017)
(Draft Shows Proposed New Guideline)
This draft has been recommended for public review by the responsible project committee. To submit a comment on
this proposed standard, go to the ASHRAE website at www.ashrae.org/standards-research--technology/public-review-
drafts and access the online comment database. The draft is subject to modification until it is approved for publication
by the Board of Directors and ANSI. Until this time, the current edition of the standard (as modified by any published
addenda on the ASHRAE website) remains in effect. The current edition of any standard may be purchased from the
ASHRAE Online Store at www.ashrae.org/bookstore or by calling 404-636-8400 or 1-800-727-4723 (for orders in the
U.S. or Canada).

The appearance of any technical data or editorial material in this public review document does not constitute
endorsement, warranty, or guaranty by ASHRAE of any product, service, process, procedure, or design, and ASHRAE
expressly disclaims such.

© 2017 ASHRAE. This draft is covered under ASHRAE copyright. Permission to reproduce or redistribute all or any
part of this document must be obtained from the ASHRAE Manager of Standards, 1791 Tullie Circle, NE, Atlanta, GA
30329. Phone: 404-636-8400, Ext. 1125. Fax: 404-321-5478. E-mail: [email protected].

ASHRAE, 1791 Tullie Circle, NE, Atlanta GA 30329-2305

Page 2

CONTENTS
ASHRAE Guideline 36
High Performance Sequences of Operation for HVAC Systems

PART 1 - PURPOSE ...................................................................................................................... 4 

PART 2 - SCOPE............................................................................................................................ 4 
2.1  Sequences of Operations .................................................................................................. 4 
PART 3 - SETPOINTS, DESIGN, & FIELD DETERMINED ...................................................... 4 
3.1  Information Provided by Designer ................................................................................... 4 
3.2  Information Provided by (or in Conjunction with) the Test & Balance Contractor ...... 14 
PART 4 - LIST OF HARDWIRED POINTS ............................................................................... 18 
4.1  VAV Terminal Unit – Cooling Only.............................................................................. 18 
4.2  VAV Terminal Unit with Reheat ................................................................................... 19 
4.3  Fan Powered Terminal Unit (Series or Parallel, Constant or Variable Speed Fan) ....... 19 
4.4  Dual Duct Terminal Unit with Inlet Sensors .................................................................. 20 
4.5  Dual Duct Terminal Unit with Discharge Sensor .......................................................... 21 
4.6  Multiple Zone VAV Air Handling Unit ......................................................................... 21 
4.7  Dual Fan Dual Duct Heating VAV Air Handling Unit .................................................. 23 
4.8  Single Zone VAV Air Handling Unit ............................................................................ 23 
PART 5 - SEQUENCES OF OPERATIONS ............................................................................... 25 
5.1  General ........................................................................................................................... 25 
5.2  Generic Thermal Zones .................................................................................................. 43 
5.3  Zone Groups ................................................................................................................... 57 
5.4  VAV Terminal Unit, Cooling Only................................................................................ 60 
5.5  VAV Terminal Unit with Reheat ................................................................................... 63 
5.6  Parallel Fan-Powered Terminal Unit, Constant Volume Fan ........................................ 68 
5.7  Parallel Fan-Powered Terminal Unit, Variable Volume Fan ......................................... 73 
5.8  Series Fan-Powered Terminal Unit, Constant Volume Fan ........................................... 79 
5.9  Dual Duct VAV Terminal Unit – Snap Acting Control ................................................. 83 
5.10  Dual Duct VAV Terminal Unit – Mixing Control with Inlet Airflow Sensors ............. 89 
5.11  Dual Duct VAV Terminal Unit – Mixing Control with Discharge Airflow Sensor ...... 94 
5.12  Dual Duct VAV Terminal Unit – Cold Duct Minimum Control ................................... 99 
5.13  Air Handling Unit System Modes ................................................................................ 103 
5.14  Multiple Zone VAV Air Handling Unit ....................................................................... 104 
5.15  Dual Fan Dual Duct Heating VAV Air Handling Unit ................................................ 140 

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 3

5.16  Single Zone VAV Air Handling Unit .......................................................................... 147 

PART 6 - CONTROL DIAGRAMS (INFORMATIVE APPENDIX) ....................................... 171 
6.1  VAV Terminal Unit, Cooling Only.............................................................................. 171 
6.2  VAV Terminal Unit with Reheat ................................................................................. 171 
6.3  Parallel Fan-Powered Terminal Unit, Constant Volume Fan ...................................... 172 
6.4  Parallel Fan-Powered Terminal Unit, Variable Volume Fan ....................................... 172 
6.5  Series Fan-Powered Terminal Unit, Constant Volume Fan ......................................... 173 
6.6  Dual Duct Terminal Unit with Inlet Sensors ................................................................ 173 
6.7  Dual Duct Terminal Unit with Discharge Sensor ........................................................ 174 
6.8  Multiple Zone VAV Air Handling Unit with Return Fan and OA Measurement Station
...................................................................................................................................... 175 
6.9  Multiple Zone VAV Air Handling Unit with Relief Fan & Differential Pressure OA
Measurement ................................................................................................................ 176 
6.10  Dual Fan Dual Duct Heating VAV Air Handling Unit ................................................ 177 
6.11  Single Zone VAV Air Handling Unit (Return Fan Option) ......................................... 178 

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 4

PART 1 - PURPOSE

The purpose of this guideline is to provide uniform sequences of operation for heating, ventilating,
and air-conditioning (HVAC) systems that are intended to maximize HVAC system energy
efficiency and performance, provide control stability, and allow for real-time fault detection and
diagnostics.

PART 2 - SCOPE

2.1 Sequences of Operations

This guideline provides detailed sequences of operation for HVAC systems. Lists of hard-wired
points and sample control diagrams are included.

PART 3 - SETPOINTS, DESIGN, & FIELD DETERMINED

3.1 Information Provided by Designer

The design setpoints listed in this section must be scheduled in design

documents for each zone and air handler by the design engineer.
A. General Thermal Zone Information

1. Zone Temperature Setpoints

Zone temperature initial setpoints can be specified by the designer in a number of

ways. The most flexible is to include them for each zone in VAV box and single
zone VAV (SZVAV) AHU equipment schedules. They can also be generically listed
by zone type, such as this example:
a. Default set points shall be based on zone type:

Occupied Unoccupied
Zone Type
Heating Cooling Heating Cooling
21°C 24°C 16°C 32°C
VAV
(70°F) (75°F) (60°F) (90°F)
18°C 29°C 18°C 29°C
Mech./Elec Rooms
(65°F) (85°F) (65°F) (85°F)
18°C 24°C 18°C 24°C
Networking/Computer
(65°F) (75°F) (65°F) (75°F)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 5

2. Outdoor Air Ventilation Setpoints

Ventilation setpoints can be specified by the designer in a number of ways. The

most flexible is to include them for each zone in VAV box and single zone (SZ)
equipment schedules.

The engineer must select between ventilation logic options:

If the project is to comply with California Title 24 ventilation requirements,

keep subsection “b” and delete subsection “a.”

If the project is to comply with Standard 62.1 ventilation requirements, keep

subsection “a” and delete subsection “b.”

Demand Controlled Ventilation (DCV) is an active area of research under

ASHRAE RP-1747, Implementation of RP-1547 CO2-based DCV for Multiple
Zone HVAC Systems in Direct Digital Control Systems.

a. For projects complying with the Ventilation Rate Procedure of ASHRAE

Standard 62.1-2016:

1) The area component of the breathing zone outdoor airflow Vbz-A

This is the zone floor area times the outdoor airflow rate per unit area, as given
in Table 6.2.2.1 of Standard 62.1-2016
i.e., Vbz-A = Az * Ra

2) The population component of the breathing zone outdoor airflow Vbz-P

This is the zone design population (without diversity) times the outdoor airflow
rate per occupant, as given in Table 6.2.2.1 of Standard 62.1-2016
i.e., Vbz-P = Pz * Rp

3) Zone air distribution effectiveness EzH in Heating.

4) Zone air distribution effectiveness EzC in Cooling.

5) Indicate where occupied-standby mode is allowed based on the zone

occupancy category per Table 6.2.2.1 of Standard 62.1 – 2016.

Zone Air Distribution Effectiveness depends on the relative locations of supply

and return in the space, per Table 6.2.2.2 of ASHRAE Standard 62.1-2016.

b. For projects complying with California Title 24 Ventilation Standards:

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 6

1) Vocc-min: Zone minimum outdoor airflow for occupants, per Title 24

prescribed airflow-per-occupant requirements.

2) Varea-min: Zone minimum outdoor airflow for building area, per Title 24
prescribed airflow-per-area requirements.

3. CO2 Setpoints

Space CO2 setpoints are used for DCV and monitoring/alarming as required by
LEED and other green building standards.

It is the designer’s responsibility to determine CO2 setpoints. The maximum

setpoint varies by ventilation standard. Some guidance is provided below for
Standard 62.1 and Title 24. The designer may also decide to set lower, more
conservative setpoints for improved indoor air quality, but at the expense of higher
energy use.
Standard 62.1 CO2 Setpoint Guidance:
The following CO2 setpoint procedure is from Lawrence T, “Selecting CO2
Criteria for Outdoor Air Monitoring”, ASHRAE Journal December 2008. The
author recommends maximum CO2 is 90% of the steady state concentration:
0.9
Where COA is the outdoor air CO2 concentration in ppm, Ez is the zone
ventilation effectiveness, m is the metabolic rate of occupants, Rp is the people-
based component of the ventilation rate, Ra is the area-based component of
the ventilation rate, Az is the zone floor area, and Pz is the number of
occupants.

The CO2 setpoints in the table below are from the Lawrence article. They
assume an ambient concentration of 400 ppm, in lieu of using an ambient CO2
sensor. These sequences are based on not having an ambient sensor. This will
be conservative in areas with high ambient CO2 concentrations; few areas
have lower concentrations. The Lawrence article was based on Standard 62.1-
2007, but the outdoor air rates on which these are based have not changed in
the 2016 Standard.

Setpoints vary by occupancy type, so the easiest way to include this info is by
including a column in VAV box and SZ unit schedules and entering the setpoint
individually for each zone.
CO2 Setpoint CO2 Setpoint
Occupancy Category Occupancy Category
(ppm) (ppm)
Correctional Facilities Office Buildings
Cell 965 Office Space 894
Dayroom 1,656 Reception Areas 1,656
Guard Stations 1,200 Telephone/Data Entry 1,872

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 7

CO2 Setpoint CO2 Setpoint

Occupancy Category Occupancy Category
(ppm) (ppm)
Booking/Waiting 1,200 Main Entry/Lobbies 1,391
Educational Facilities Miscellaneous Spaces
Day Care (Through Age 4) 1,027 Bank Vaults/Safe Deposit 805
Day Care Sickroom 716 Computer (Not Printing) 738
Pharmacy (Preparation
Classrooms (Age 5 – 8) 864 820
Area)
Classrooms (Age 9+) 942 Photo Studios 983
Lecture Classroom 1,305 Transportation Waiting 1,305
Lecture Hall (Fixed Seats) 1,305 Public Assembly Spaces
Art Classroom 837 Auditorium Seating Area 1,872
Place of Religious
Science Laboratories 894 1,872
Worship
University/College Lab 894 Courtrooms 1,872
Wood/Metal Shop 1,156 Legislative Chambers 1,872
Computer Lab 965 Libraries 805
Media Center 965 Lobbies 2,628
Music/Theater/Dance 1,620 Museums (Children’s) 1,391
Multiuse Assembly 1,778 Museum/Galleries 1,620
Food and Beverage Service Retail
Restaurant Dining Rooms 1,418 Sales (Except Below) 1,069
Cafeteria/Fast-Food Dining 1,536 Mall Common Areas 1,620
Bars, Cocktail Lounges 1,536 Barbershop 1,267
General Beauty and Nail Salons 723
Break Rooms 1,267 Pet Shops (Animal Areas) 709
Coffee Stations 1,185 Supermarket 1,116
Conference/Meeting 1,620 Coin-operated Laundries 1,322
Hotels, Motels, Resorts, Dormitories Sports and Entertainment
Bedroom/Living Area 910 Spectator Areas 1,778
Barracks Sleeping Areas 1,116 Disco/Dance Floors 1,440
Health Clubs/Aerobics
Laundry Rooms, Central 1,249 1,735
Room
Health Clubs/Weight
Laundry Within Dwelling 983 1,232
Room
Lobbies/Prefunction 1,494 Bowling Alley (Seating) 1,232
Multipurpose Assembly 2,250 Gambling Casinos 1,368
Game Arcades 894
Stages, Studios 1,391

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 8

California Title 24 CO2 Setpoint Guidance:

Title 24 stipulates the setpoint for all occupancies must be 600 ppm above
ambient. Ambient concentration may be assumed to be 400 ppm or an ambient
sensor may be provided. These sequences are currently based on not having
an ambient sensor, so the CO2 setpoint for all occupancy types is 1000 ppm.

B. VAV Box Design Information

For the terminal unit sequences, the engineer must provide the setpoint information
below, typically on VAV box schedules on drawings.

1. VAV Cooling-Only Terminal Unit

a. Zone maximum cooling airflow setpoint (Vcool-max)

b. Zone minimum airflow setpoint (Vmin)

For ASHRAE Standard 62.1 ventilation, select Vmin to prevent creating critical
zones. This may lead to Vmin being higher than code minimum ventilation for
some zones. For California Title 24 ventilation, Vmin should be selected as the
larger of Varea-min and Vocc-min. When selecting Vmin, do not consider the
limitations of the VAV box controller to measure and control airflow; that is
addressed by the control sequences themselves.

2. VAV Reheat Terminal Unit

a. Zone maximum cooling airflow setpoint (Vcool-max)

b. Zone minimum airflow setpoint (Vmin)

For ASHRAE Standard 62.1 ventilation, select Vmin to prevent creating critical
zones. This may lead to Vmin being higher than code minimum ventilation for
some zones. For California Title 24 ventilation, Vmin should be selected as the
larger of Varea-min and Vocc-min. When selecting Vmin, do not consider the
limitations of the VAV box controller to measure and control airflow; that is
addressed by the control sequences themselves.
c. Zone maximum heating airflow setpoint (Vheat-max)

The design engineer should set Vheat-max such that the design heating load is met
by Vheat-max airflow at a discharge air temperature equal to MaxΔT plus the
heating setpoint. MaxΔT can be no higher than 11°C (20°F) above space
temperature setpoint per Standard 90.1-2016 (e.g., DAT no more than 32°C
(90°F) at 21°C (70°F) space temperature setpoint) for systems supplying air
greater than 1.8m. (6 ft.) above floor, e.g., ceiling supply systems. Zone air
distribution effectiveness EzH, can be improved if MaxΔT is less than 8.3°C (15°F),

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 9

provided that the 76 cm/s (150 fpm) supply air jet reaches to within 1.4m. (4.5 ft.)
of floor level as given in Table 6.2.2.2 of ASHRAE Standard 62.1-2016.
d. Zone maximum discharge air temperature above heating setpoint MaxΔT.

3. Parallel Fan-Powered Terminal Unit, Constant Volume Fan

a. Zone maximum cooling (primary) airflow setpoint (Vcool-max)

b. Zone minimum primary airflow setpoint (Vmin)

For ASHRAE Standard 62.1 ventilation, select Vmin to prevent creating critical
zones. This may lead to Vmin being higher than code minimum ventilation for
some zones. For California Title 24 ventilation, Vmin should be selected as the
larger of Varea-min and Vocc-min. When selecting Vmin, do not consider the
limitations of the VAV box controller to measure and control airflow; that is
addressed by the control sequences themselves.

c. Parallel fan maximum airflow (Pfan-max) (if zone has CO2 sensor)

The design engineer should set Pfan-max such that the design heating load is met
by the sum of Pfan-max and Vmin at a discharge air temperature equal to MaxΔT
plus the heating setpoint. MaxΔT, can be no higher than 11°C (20°F) above space
temperature setpoint per Standard 90.1-2016 (e.g., DAT no more than 32°C
(90°F) at 21°C (70°F) space temperature setpoint) for systems supplying air
greater than 1.8m. (6 ft.) above floor, e.g., ceiling supply systems. Zone air
distribution effectiveness, EzH, can be improved if MaxΔT is less than 8.3°C
(15°F), provided that the 76 cm/s (150 fpm) supply air jet reaches to within 1.4m.
(4.5 ft.) of floor level as given in Table 6.2.2.2 of ASHRAE Standard 62.1-2016.
This can be done in most zones by setting Pfan-max to ensure these conditions are
maintained.
d. Zone maximum discharge air temperature above heating setpoint MaxΔT.

4. Parallel Fan-Powered Terminal Unit, Variable Volume Fan

Fans powered by electronically commutated motors (ECMs) must be programmed

with the relationship between control signal and airflow. ECMs can be
programmed to control either a specific airflow (with fan curve mapped into logic)
or torque (pressure dependent airflow). For these sequences, the ECM fan should
be configured for airflow control. This must be addressed by the design engineer
in terminal unit specifications.

a. Zone maximum cooling (primary) airflow setpoint (Vcool-max)

b. Zone minimum primary airflow setpoint (Vmin)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 10

For ASHRAE Standard 62.1 ventilation, select Vmin to prevent creating critical
zones. This may lead to Vmin being higher than code minimum ventilation for some
zones. For California Title 24 ventilation, Vmin should be selected as the larger of
Varea-min and Vocc-min. When selecting Vmin, do not consider the limitations of
the VAV box controller to measure and control airflow; that is addressed by the
control sequences themselves.
c. Parallel fan maximum airflow (Pfan-max)

The design engineer should set Pfan-max such that the design heating load is met
by the sum of Pfan-max and Vmin at a discharge air temperature equal to MaxΔT
plus the heating setpoint. MaxΔT can be no higher than 11°C (20°F) above space
temperature setpoint per Standard 90.1-2016 (e.g., DAT no more than 32°C
(90°F) at 21°C (70°F) space temperature setpoint) for systems supplying air
greater than 1.8m. (6 ft.) above floor, e.g., ceiling supply systems. Zone air
distribution effectiveness, EzH, can be improved if MaxΔT is less than 8.3°C
(15°F), provided that the 76 cm/s (150 fpm) supply air jet reaches to within 1.4m.
(4.5 ft.) of floor level as given in Table 6.2.2.2 of ASHRAE Standard 62.1-2016.
This can be done in most zones by setting Pfan-max to ensure these conditions are
maintained.
d. Zone maximum discharge air temperature above heating setpoint (MaxΔT)

5. Series Fan-Powered Terminal Unit, Constant Volume Fan

a. Zone maximum cooling airflow setpoint (Vcool-max)

b. Zone minimum airflow setpoint (Vmin)

For ASHRAE Standard 62.1 ventilation, select Vmin to prevent creating critical
zones. This may lead to Vmin being higher than code minimum ventilation for some
zones. For California Title 24 ventilation, Vmin should be selected as the larger of
Varea-min and Vocc-min. When selecting Vmin, do not consider the limitations of
the VAV box controller to measure and control airflow; that is addressed by the
control sequences themselves.

Series Fan airflow is not a design variable because it is not controlled. It must be
designed and balanced to be equal to or greater than Vcool-max. Typically, the
Series Fan airflow is equal to Vcool-max, but it may be higher if some blending is
desired, such as on cold primary air systems. It may also be higher to improve zone
air distribution effectiveness as discussed in the next comment.

The design engineer should set the Series Fan airflow such that the design heating
load is met with a discharge air temperature equal to MaxΔT plus the heating
setpoint. MaxΔT can be no higher than 11°C (20°F) above space temperature

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 11

setpoint per Standard 90.1-2016 (e.g., DAT no more than 32°C (90°F) at 21°C
(70°F) space temperature setpoint) for systems supplying air greater than 1.8m.
(6 ft.) above floor, e.g., ceiling supply systems. Zone air distribution effectiveness,
EzH, can be improved if MaxΔT is less than 8.3°C (15°F), provided that the 76 cm/s
(150 fpm) supply air jet reaches to within 1.4m. (4.5 ft.) of floor level as given in
Table 6.2.2.2 of ASHRAE Standard 62.1-2016. This can be done in most zones by
setting the Series Fan airflow to ensure these conditions are maintained.
c. Zone maximum discharge air temperature above heating setpoint (MaxΔT)

6. Dual Duct VAV Terminal Unit

a. Zone maximum cooling airflow setpoint (Vcool-max)

For ASHRAE Standard 62.1 ventilation, select Vmin to prevent creating critical
zones. This may lead to Vmin being higher than code minimum ventilation for
some zones. For California Title 24 ventilation, Vmin should be selected as the
larger of Varea-min and Vocc-min. When selecting Vmin, do not consider the
limitations of the VAV box controller to measure and control airflow; that is
addressed by the control sequences themselves.

b. Zone minimum airflow setpoint (Vmin)

c. Zone maximum heating airflow setpoint (Vheat-max)

C. Zone Group Assignments

Zones must be assigned to Zone Groups, such as by using a table (see example below),
either on drawings or in BAS specifications. Other formats may be used if they convey
the same information.
Example Zone Group Table:

Zone Group Name AH Terminal Unit Tags Default Schedule

Tag
1st Floor Assembly AH-1 VAV-1-1 through 11 WD: 6am to 8pm
WE: 8am to 10pm
HOL: off
2nd Floor Office AH-1 VAV-2-1 through 15 WD: 7am to 7pm
SAT: 9am to 2pm
SUN: off
HOL: off
IDF rooms AH-1 VAV-1-12, VAV-2-16 ALL: 12am to 12am
1st Floor Lobby AH-2 WD: 6am to 8pm
WE: 8am to 10pm
HOL: off

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 12

Guidance for zone group assignments:

 Each zone served by a fan-coil or single-zone air handler shall be its own Zone
Group.
 Rooms occupied 24/7, such as computer rooms, networking closets,
mechanical, and electrical rooms served by the air handler shall be assigned to
a single Zone Group. These rooms do not apply to the zone group restrictions
below.
 A Zone Group shall not span floors (per Section 6.4.3.3.4 of ASHRAE 90.1
2016).
 A Zone Group shall not exceed 2,300 m2 (25,000 ft2) (per Section 6.4.3.3.4 of
ASHRAE 90.1 2016).
 If future occupancy patterns are known, a single Zone Group shall not include
spaces belonging to more than one tenant.
 A zone shall not be a member of more than one zone group.

D. Multiple Zone VAV Air Handler Design Information

1. Temperature Setpoints

AHU setpoints required by the designer are best conveyed in equipment schedules
since the setpoints vary for each AHU.

a. Min_SAT, lowest cooling supply air temperature setpoint

The Min_SAT variable should be set no lower than the design coil leaving air
temperature to prevent excessive chilled water temperature reset requests which
will reduce chiller plant efficiency.

b. Max_SAT, highest cooling supply air temperature setpoint

The Max_SAT variable is typically 18°C (65°F) in mild and dry climates, 16°C
(60F) or lower in humid climates. It should not typically be greater than 18°C
(65°F) since this may lead to excessive fan energy that can offset the mechanical
cooling savings from economizer operation.

c. OAT_Min, the lower value of the OAT reset range

d. OAT_Max, the higher value of the OAT reset range

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 13

Occupied Mode supply air temperature setpoint reset logic uses a combination of
reset by outdoor air temperature (intended to reduce fan energy during warm
weather) and zone feedback (SAT needed to satisfy the zone requiring the coldest
air to meet space temperature setpoint). OAT_Min and OAT_Max define the range
of outdoor air temperatures used for the OAT reset logic. Typical values are
OAT_Min = 16°C (60°F) and OAT_Max = 21°C (70°F), selected to maximize
economizer operation and minimize reheat losses, offset partially by higher fan
energy. A lower range, e.g., 18°C (65°F) and 13°C (55°F) respectively, may
improve net energy performance for some applications, such as:
 The chiller plant operates continuously, so extended economizer operation
does not reduce plant runtime.
 The system has very little reheat inherently such as dual fan/dual duct
systems or fan-powered box systems with very low primary air minimums.
 The climate is warm or humid, limiting available economizer hours.

2. Ventilation Setpoints

a. For projects complying with the Ventilation Rate Procedure of ASHRAE

Standard 62.1:

1) DesVou, the uncorrected design outdoor air rate, including diversity where
applicable.

2) DesVot, design total outdoor air rate (Vou adjusted for ventilation efficiency)

DesVou and DesVot can be determined using the 62MZCalc spreadsheet provided
with the Standard 62.1 User’s Manual.

b. For projects complying with California Title 24 Ventilation Standards:

1) AbsMinOA, the design outdoor air rate when all zones with CO2 sensors or
occupancy sensors are unpopulated.

2) DesMinOA, the design minimum outdoor airflow with areas served by the
system are occupied at their design population, including diversity where
applicable.

E. Dual Fan Dual Duct VAV Air Handler Design Information

1. Temperature Setpoints

a. Max_SAT, highest heating supply air temperature, typically design heating coil
leaving air temperature

Max_SAT can be no higher than 11°C (20°F) above space temperature setpoint
per Standard 90.1-2016 (e.g., no more than 32°C (90°F) at 21°C (70°F) space

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 14

temperature setpoint) for systems supplying air greater than 1.8m. (6 ft.) above
floor, e.g., ceiling supply systems. Zone air distribution effectiveness, EzH, can be
improved if Max_SAT is less than 8.3°C (15°F), provided that the 76 cm/s (150
fpm) supply air jet reaches to within 1.4m. (4.5 ft.) of floor level as given in Table
6.2.2.2 of ASHRAE Standard 62.1-2016.

F. Single Zone VAV Air Handler Design Information

1. Climate Type:

a. ASHRAE 90.1 Moisture Zone: (A) Humid, (B) Dry, or (C) Marine. See
ASHRAE 90.1 for Climate Zone Map and Climate Zone definitions.

2. Setpoints

a. Cool_SAT, lowest cooling supply air temperature setpoint

b. Heat_SAT, highest heating supply air temperature setpoint

Cool_SAT is typically the design coil leaving air temperature. Heat_SAT is

typically the design coil leaving air temperature, no more than 20ºF above the
active heating setpoint.

3.2 Information Provided by (or in Conjunction with) the Test & Balance Contractor

A. Multiple Zone Air Handler Information

1. Duct design maximum static pressure, Max_DSP

2. Minimum Fan Speed

a. Minimum speed setpoints for all VFD-driven equipment shall be determined in

accordance with the test and balance specifications for the following as
applicable:

1) Supply Fan

2) Return Fan

3) Relief Fan

There needs to be corresponding instructions in the TAB specifications. For

example:
• Start the fan or pump.
• Manually set speed to 6 Hz (10%) unless otherwise indicated in control
sequences. For equipment with gear boxes, use whatever minimum speed is
recommended by tower manufacturer.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 15

• Observe fan/pump in field to ensure it is visibly rotating. If not, gradually

increase speed until it is.
• The speed at this point shall be the minimum speed setpoint for this piece of
equipment.

3. Ventilation plenum pressures (for Minimum Outdoor Air Control with separate
outdoor air damper and differential pressure control – see 5.14C.3)

a. For projects complying with the Ventilation Rate Procedure of ASHRAE

Standard 62.1:

1) DesMinDP, the design minimum outdoor air damper differential pressure

that provides the design minimum outdoor airflow, DesVot.

b. For projects complying with California Title 24 Ventilation Standards:

1) AbsMinDP, the absolute minimum outdoor air damper differential pressure

that provides an outdoor airflow equal to the absolute minimum outdoor
airflow, AbsMinOA.

2) DesMinDP, the design minimum outdoor air damper differential pressure

that provides the design minimum outdoor airflow, DesMinOA.

Instructions for establishing MinDP are given in the Test and Balance
Specification. For example:
1) Open the minimum outdoor air damper and return air damper fully; close
the economizer outdoor air damper.
2) Measure outdoor airflow.
3) If outdoor airflow rate is above design minimum (DesVot for ASHRAE
Standard 62.1 or DesMinOA for California Title 24, adjust damper linkage
on minimum outdoor air damper so that intake is at design minimum with
damper fully stroked.
4) If outdoor airflow rate is below design minimum, temporarily adjust return
air damper position via the BAS until design outdoor airflow is achieved.
This position shall be used for testing only and shall not limit the return air
damper position during normal operation.
5) Note differential pressure across the outdoor air damper. This value
becomes the design minimum outdoor air differential pressure setpoint
(DesMinDP) in the BAS. Convey this setpoint to BAS installer and note on
air balance report.
6) With the system at the minimum outdoor air position, reduce supply air fan
speed until the outdoor airflow is equal to the absolute minimum outdoor
airflow setpoint (AbsMinOA for California Title 24) on AHU schedule.
7) Note differential pressure across the outdoor air damper. This value
becomes the absolute minimum outdoor air differential pressure setpoint
(AbsMinDP for California Title 24) in the BAS. Convey this setpoint to BAS
installer and note on air balance report.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 16

4. Return fan discharge static pressure setpoints (for Return Fan Direct Building
Pressure Control – see 5.14I)

a. RFDSPmin: That required to deliver the design return air volume across the
return air damper when the supply air fan is at design airflow and on minimum
outdoor air. This setpoint shall be no less than 2.4 Pa (0.01 inches), to ensure
outdoor air is not drawn backwards thru the relief damper.

b. RFDSPmax. That required to exhaust enough air to maintain building static

pressure at setpoint 12 Pa (0.05 inches) when the supply air fan is at design
airflow and on 100% outdoor air.

5. Return fan airflow differential (Return Fan Airflow Tracking Control – see 5.14J)

a. S-R-DIFF. The airflow differential between supply air and return air fans
required to maintain building pressure at desired pressure (e.g., 12 Pa (0.05”)),
using a handheld sensor if a permanent sensor is not provided. All exhaust fans
that normally operate with the air handler should be on.

B. Single Zone Air Handler Information

1. Fan speed setpoints

a. MinSpeed. The speed that provides supply airflow equal to DesOA (see3.2B.2)
with the economizer outdoor air damper fully open.

b. MaxHeatSpeed. The speed that provides supply airflow equal to the design
heating airflow scheduled on plans. If no heating airflow is provided on plans,
default to half of the maximum cooling speed.

c. MaxCoolSpeed. The speed that provides supply airflow equal to the design
cooling airflow scheduled on plans.

2. Minimum outdoor air damper positions

The engineer must select between options for determining the outdoor airflow
setpoint.

If instead the project is to comply with Standard 62.1 ventilation requirements,

delete subsection “b” and use subsection “a.” If instead the project is to comply
with California Title 24, delete subsection “a” and use subsection “b.”

a. For projects complying with the Ventilation Rate Procedure of ASHRAE

Standard 62.1, for purposes of determining Outdoor Air Damper Positions
below

a) MinOA shall equal Vbz-A/EzC

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 17

b) DesOA shall equal (Vbz-A+Vbz-P)/EzH

b. For projects complying with the Title 24 Ventilation Rates, for purposes of
determining Outdoor Air Damper Positions below

a) MinOA shall equal Zone-Abs-OA-min

b) DesOA shall equal Zone-Des-OA-min
c. MinPosMin: the outdoor air damper position required to provide MinOA when
the supply fan is at MinSpeed.

d. MinPosMax: the outdoor air damper position required to provide MinOA when
the supply fan is at MaxCoolSpeed.

e. DesPosMin: the outdoor air damper position required to provide DesOA when
the supply fan is at MinSpeed.

f. DesPosMax: the outdoor air damper position required to provide DesOA when
the supply fan is at MaxCoolSpeed.

3. Relief damper positions (if non-powered relief)

a. MinRelief: The relief damper position that maintains a building pressure of 12

Pa (0.05”) while the system is at MinPosMin (i.e., the economizer damper is
positioned to provide MinOA while the supply fan is at minimum speed).

b. MaxRelief: The relief damper position that maintains a building pressure of 12

Pa (0.05”) while the economizer damper is fully open and the fan speed is at
cooling maximum.

4. Return fan speed differential (if return fan is used). The speed differential between
supply air and return air fans required to maintain building pressure at desired
pressure (e.g., 12 Pa (0.05”)), using a handheld sensor if a permanent sensor is not
provided. All exhaust fans that normally operate with the air handler should be on.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 18

PART 4 - LIST OF HARDWIRED POINTS

This section provides, for various equipment, a list of the minimum points required in order to
implement the sequences as written. Points listed as “if applicable” are required if and only if
the associated hardware is installed. The points listed that are required to implement the basic
sequences of control have an “R” in the “Required” column; points that apply only if included
by the designer for some applications have an “A” in this column; points included as optional
monitoring points only have an “O” in this column; alarms are included for these points but
they are not used for sequences of operation. Additional points may be specified as desired. The
design engineer should edit these lists as required for the project.

Point Types:
AO = Analog Output
DO = Digital Output (aka BO = Binary Output)
AI = Analog Input
DI = Digital Input (aka BI = Binary Input)

Note that terminal unit discharge air sensors are actively used for control and therefore must be
reasonably accurate. If a single point probe type sensor is used, it should be located at least five
duct diameters downstream of the coil due to stratification off of the heating coil, particularly at
low loads. However, this is seldom practical in practice. If an averaging type sensor is used, it
should be located at least 12” downstream of the coil if possible, 6” minimum. But averaging
sensors are costlier and also may have installation issues especially if installed after ductwork
is fully installed which is typically the case. Reasonable results can be obtained by using a single
point probe sensor mounted as far from the coil as possible but upstream of the first diffuser with
the probe located as near as possible the center of the duct both vertically and horizontally.

Occupancy sensors are listed as an optional hardwired point. This point is also commonly a
software point mapped from a networked lighting control system or security system.

4.1 VAV Terminal Unit – Cooling Only

Required? Description Type Device

AO Modulating actuator
R VAV Box Damper Position OR OR
two DOs Floating actuator
Differential pressure transducer
R Discharge Airflow AI
connected to flow sensor
R Zone Temperature AI Room temperature sensor
A Local Override (if applicable) DI Zone thermostat override switch
Occupancy Sensor (if
A DI Occupancy sensor
applicable)
Window Switch (if
A DI Window switch
applicable)
Zone Temperature Setpoint
A AI Zone thermostat adjustment
Adjustment (if applicable)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 19

Required? Description Type Device

Zone CO2 Level (if
A AI Room CO2 sensor
applicable)

4.2 VAV Terminal Unit with Reheat

Required? Description Type Device

AO Modulating actuator
R VAV Box Damper Position OR OR
two DOs Floating actuator
Modulating valve
AO OR
Heating Signal
R OR Floating actuator
two DOs OR
Modulating electric heating coil
Differential pressure transducer
R Discharge Airflow AI
connected to flow sensor
Duct temperature sensor (probe or
R Discharge Air Temperature AI
averaging at designer’s discretion)
R Zone Temperature AI Room temperature sensor
A Local Override (if applicable) DI Zone thermostat override switch
Occupancy Sensor (if
A DI Occupancy sensor
applicable)
Window Switch (if
A DI Window switch
applicable)
Zone Temperature Setpoint
A AI Zone thermostat adjustment
Adjustment (if applicable)
Zone CO2 Level (if
A AI Room CO2 sensor
applicable)

4.3 Fan Powered Terminal Unit (Series or Parallel, Constant or Variable Speed Fan)

Required? Description Type Device

Fan Speed Command (if Connect to electronically commutated
A AO
applicable) motor (ECM)
Fan Start/Stop (if separate
R DO Connect to ECM
from fan speed point)
Fan Status DI Connect to current switch
O OR OR OR
Fan Speed Feedback AI Connect to ECM
AO Modulating actuator
R VAV Box Damper Position OR OR
two DOs Floating actuator

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 20

Required? Description Type Device

Modulating valve
AO OR
R Heating Signal OR Floating actuator
two DOs OR
Modulating electric heating coil
Differential pressure transducer
R Primary Airflow AI
connected to flow sensor
Duct temperature sensor (probe or
R Discharge Air Temperature AI
averaging at designer’s discretion)
R Zone Temperature AI Room temperature sensor
A Local Override (if applicable) DI Zone thermostat override switch
Occupancy Sensor (if
A DI Occupancy sensor
applicable)
Window Switch (if
A DI Window switch
applicable)
Zone Temperature Setpoint
A AI Zone thermostat adjustment
Adjustment (if applicable)
Zone CO2 Level (if
A AI Room CO2 sensor
applicable)

4.4 Dual Duct Terminal Unit with Inlet Sensors

Required? Description Type Device

AO Modulating actuator
R Cooling Damper Position OR OR
two DOs Floating actuator
AO Modulating actuator
R Heating Damper Position OR OR
two DOs Floating actuator
Differential pressure transducer
R Cooling Airflow AI
connected to flow sensor
Differential pressure transducer
R Heating Airflow AI
connected to flow sensor
R Zone Temperature AI Room temperature sensor
A Local Override (if applicable) DI Zone thermostat override switch
Occupancy Sensor (if
A DI Occupancy sensor
applicable)
Window Switch (if
A DI Window switch
applicable)
Zone Temperature Setpoint
A AI Zone thermostat adjustment
Adjustment (if applicable)
Zone CO2 Level (if
A applicable, cold duct AI Room CO2 sensor
minimum control only)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 21

4.5 Dual Duct Terminal Unit with Discharge Sensor

Required? Description Type Device

AO Modulating actuator
R Cooling Damper Position OR OR
two DOs Floating actuator
AO Modulating actuator
R Heating Damper Position OR OR
two DOs Floating actuator
Differential pressure transducer
R Discharge Airflow AI
connected to flow sensor
R Zone Temperature AI Room temperature sensor
A Local Override (if applicable) DI Zone thermostat override switch
Occupancy Sensor (if
A DI Occupancy sensor
applicable)
Window Switch (if
A DI Window switch
applicable)
Zone Temperature Setpoint
A AI Zone thermostat adjustment
Adjustment (if applicable)
Zone CO2 Level (if
A applicable, mixing control AI Room CO2 sensor
only)

4.6 Multiple Zone VAV Air Handling Unit

Required? Description Type Device

R Supply Fan Start/Stop DO Connect to VFD Run

Supply Fan High Static
Dry contact to 120V or 24V control
A Alarm Reset (optional – see DO
circuit
control schematic)
R Supply Fan Speed AO Connect to VFD Speed
O Supply Fan Status DI Connect to VFD Status
Duct temperature sensor (probe or
R Supply Air Temperature AI
averaging at designer’s discretion)
Differential pressure transducer down
R Duct Static Pressure AI
duct
Differential pressure transducer across
O Filter Pressure Drop AI
filter
HW coil supply air
O AI Averaging temperature sensor
temperature
Economizer Outdoor Air
R AO Modulating actuator
Damper
R Return Air Damper AO Modulating actuator
R Outdoor Air Temperature AI Temperature sensor at outdoor air intake

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
 Page 22

Required? Description Type Device

O Mixed Air Temperature AI Averaging temperature sensor

A Return Air Temperature AI Duct temperature sensor
R Cooling Signal AO Modulating CHW valve
Modulating HW valve
A Heating Signal AO OR
Modulating electric heating coil
For units with a common economizer/minimum OA damper, include the following points
A Outdoor Airflow AI Airflow measurement station (AFMS)
For units with a separate minimum outdoor air damper and DP sensor, include the following points
Minimum Outdoor Air
A DO Two position actuator
Damper Open/Close
Minimum Outdoor Air
Differential pressure transducer
A Damper Differential Pressure AI

For units with a separate minimum outdoor air damper and AFMS, include the following points
Minimum Outdoor Air
A AO Modulating actuator
Damper
A Minimum Outdoor Airflow AI Airflow measurement station
For units with actuated relief dampers but no relief fan, include the following points
A Relief Damper Open/Close AO Modulating actuator
Differential pressure transducer between
A Building Static Pressure AI
representative space and outdoors
For units with a relief fan, include the following points
A Relief Fan Start/Stop DO Connect to VFD Run
O Relief Fan Status DI Connect to VFD Status
A Relief Fan Speed AO Connect to VFD Speed
A Relief Damper Open/Close DO Two position actuator
Building Static Pressure (if
Differential pressure transducer between
A direct building pressure logic AI
representative space and outdoors
is used)
For units with a return fan, include the following points
A Return Fan Start/Stop DO Connect to VFD Run
O Return Fan Status DI Connect to VFD Status
Return Fan High Static Alarm
Dry contact to 120V or 24V control
A Reset (optional – see control DO
circuit
schematic)
A Return Fan Speed AO Connect to VFD Speed

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 23

Required? Description Type Device

Supply Airflow (if airflow Airflow measurement station at supply

A AI
tracking logic used) fan (or sum of VAV zones)
Return Airflow (if airflow Airflow measurement station at return
A AI
tracking logic used) fan
Return Fan Discharge Static
A Pressure (if direct building AI Differential pressure transducer at fan
pressure logic is used)
A Exhaust Damper AO Modulating actuator
Building Static Pressure (if
Differential pressure transducer between
A direct building pressure logic AI
representative space and outdoors
is used)

4.7 Dual Fan Dual Duct Heating VAV Air Handling Unit

Required? Description Type Device

R Supply Fan Start/Stop DO Connect to VFD Run
Supply Fan High Static
Dry contact to 120V or 24V control
A Alarm Reset (optional – see DO
circuit
control schematic)
R Supply Fan Speed AO Connect to VFD Speed
Supply Fan Status DI Connect to VFD Status
Duct temperature sensor (probe or
R Supply Air Temperature AI
averaging at designer’s discretion)
Modulating HW valve
R Heating Signal AO OR
Modulating electric heating coil
Differential pressure transducer down
R Duct Static Pressure AI
duct
Differential pressure transducer across
O Filter Pressure Drop AI
filter
O Return Air Temperature AI Duct temperature sensor

4.8 Single Zone VAV Air Handling Unit

Required? Description Type Device

R Supply Fan Start/Stop DO Connect to VFD Run
R Supply Fan Speed AO Connect to VFD Speed
O Supply Fan Status DI Connect to VFD Status
Duct temperature sensor (probe or
R Supply Air Temperature AI
averaging at designer’s discretion)
R Outdoor/Return Air Damper AO Modulating actuators
R Outdoor Air Temperature AI Temperature sensor at outdoor air intake
O Mixed Air Temperature AI Averaging temperature sensor

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 24

Required? Description Type Device

O Return Air Temperature AI Duct temperature sensor
Modulating CHW valve
R Cooling Signal AO OR
Variable-capacity compressor
Modulating HW valve
A Heating Signal AO OR
Modulating electric heating coil
R Zone Temperature AI Room temperature sensor
A Local Override (if applicable) DI Zone thermostat override switch
Occupancy Sensor (if
A DI Occupancy sensor
applicable)
Window Switch (if
A DI Window switch
applicable)
Zone Temperature Setpoint
A AI Zone thermostat adjustment
Adjustment (if applicable)
Zone CO2 Level (if
A AI Room CO2 sensor
applicable)
For units with actuated relief dampers but no relief fan, include the following points
A Relief Damper AO Modulating actuator
For units with a relief fan, include the following points
A Relief Fan Start/Stop DO Connect to VFD Run
O Relief Fan Status DI Connect to VFD Status
A Relief Fan Speed AO Connect to VFD Speed
A Relief Damper Open/Close DO Two position actuator
Differential pressure transducer between
A Building Static Pressure AI
representative space and outdoors
For units with a return fan, include the following points
A Return Fan Start/Stop DO Connect to VFD Run
O Return Fan Status DI Current switch
A Return Fan Speed AO Connect to VFD Speed
Exhaust Air Damper (if
A applicable – damper may be DO Two position actuator
barometric)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 25

PART 5 - SEQUENCES OF OPERATIONS

5.1 General

A. These sequences are intended to be performance based. Implementations that provide

the same functional result using different underlying detailed logic will be acceptable.

B. Unless otherwise indicated, control loops shall be enabled and disabled based on the
status of the system being controlled to prevent windup.

C. When a control loop is enabled or re-enabled, it and all its constituents (such as the
proportional and integral terms) shall be set initially to a Neutral value.

D. A control loop in Neutral shall correspond to a condition that applies the minimum
control effect, i.e., valves/dampers closed, VFDs at minimum speed, etc.

E. When there are multiple outdoor air temperature sensors, the system shall use the valid
sensor that most accurately represents the outdoor air conditions at the equipment
being controlled.

1. Outdoor air temperature sensors at air handler outdoor air intakes shall be
considered valid only when the supply fan is proven on and unit is in Occupied
Mode or in any other Mode with the economizer enabled.

2. The outdoor air temperature used for optimum start, plant lockout, and other global
sequences shall be the average of all valid sensor readings. If there are four or more
valid outdoor air temperature sensors, discard the highest and lowest temperature
readings.

F. The term “proven” (i.e., “proven on”/ “proven off”) shall mean that the equipment’s
DI status point (where provided, e.g. current switch, DP switch, or VFD status)
matches the state set by the equipment’s DO command point.

G. The term “software point” shall mean an analog variable, and “software switch” shall
mean a digital (binary) variable, that are not associated with real I/O points. They
shall be read/write capable (e.g., BACnet analog variable and binary variable).

H. The term “control loop” or “loop” is used generically for all control loops. These will
typically be PID loops, but proportional plus integral plus derivative gains are not
required on all loops. Unless specifically indicated otherwise, the following guidelines
shall be followed:

1. Use proportional only (P-only) loops for limiting loops (such as zone CO2 control
loops, etc.).

Use of proportional-only on limiting loops prevents integral windup from causing

the controlled sensor from overshooting setpoint due to the sensor generally being
far from setpoint.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 26

2. Do not use the derivative term on any loops unless field tuning is not possible
without it.

Derivative terms make loop tuning difficult in practice. It can make loops unstable
since it increases as the rate of change of the error increases, amplifying the error
signal. It is used in industrial process controls and systems that have to react
quickly, but is rarely if ever needed in HVAC system.

I. To avoid abrupt changes in equipment operation, the output of every control loop shall
be capable of being limited by a user adjustable maximum rate of change, with a
default of 25% per minute.

J. All setpoints, timers, deadbands, PID gains, etc., listed in sequences shall be adjustable
by the user with appropriate access level whether indicated as adjustable in sequences
or not. Software points shall be used for these variables. Fixed scalar numbers shall
not be embedded in programs except for physical constants and conversion factors.

K. Values for all points, including real (hardware) points used in control sequences, shall
be capable of being overridden by the user with appropriate access level (e.g., for
testing and commissioning). If hardware design prevents this for hardware points, they
shall be equated to a software point and the software point shall be used in all
sequences. Exceptions shall be made for machine or life safety.

All hardware points, not just inputs, should be capable of being overridden for
purposes of testing and commissioning. For example, the commissioning agent should
be able to command damper positions, valve positions, fan speeds, etc., directly
through Building Automation System (BAS) overrides.
The requirement to equate hardware points to software points is necessary for systems
that do not allow overriding real input points.

L. Alarms

Defining the operator’s interface is outside of the scope of Guideline 36, but effective
use of alarms by building personnel require an effective user interface. We recommend

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 27

including at least the following requirements in the specification for the BAS graphical
user interface:
• All alarms shall include a Time/Date Stamp using the standalone control module
time and date.
• Each alarm can be configured in terms of level, latching (Requires
Acknowledgement of a Return to Normal/Does Not Require Acknowledgement of a
Return to Normal), entry delay, exit deadband, and post suppression period.
• An operator shall be able to sort alarms based on level, time/date, and current
status.
Alarms should be reported with the following information:
Date and time of the alarm
Level of the alarm
Description of the alarm
Equipment tags for the units in alarm
Possible causes of the alarm, if provided by the fault detection routines
The Source per 5.1S that serves the equipment in alarm.

1. There shall be 4 levels of alarm

a. Level 1: Life Safety Message

b. Level 2: Critical Equipment Message

c. Level 3: Urgent Message

d. Level 4: Normal Message

e. Maintenance Mode: Operators shall have the ability to put any device (e.g., AHU)
in/out of maintenance mode via switch on graphics.

1) All alarms associated with a device in maintenance mode will be suppressed

a) Exception: Life safety alarms shall not be suppressed.

2) If a device is in maintenance mode, issue a daily level 3 alarm at a scheduled

time, indicating the device is still in maintenance mode.

f. Entry Delays – All alarms shall have an adjustable delay time such that the alarm
is not triggered unless the alarm condition is true for the delay time. Default entry
delays:

1) Level 1 alarms: 1 second

2) Level 2 alarms: 10 seconds

3) Level 3 alarms: 1 minute

4) Level 4: 5 minutes.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 28

g. Exit Deadbands – All alarms on analog inputs shall have an adjustable deadband
for both the input variable and time – e.g., if the SAT alarm is triggered at 85°F
for 5 minutes, then the alarm does not restore to normal until the SAT drops
below the alarm setpoint minus a deadband of 2°F for 5 minutes. Default exit
deadband: 0% below alarm threshold for 5 seconds.

h. Latching – Any alarm can be configured as latching or non-latching. A latching

alarm requires acknowledgement from the operators before it can return to
normal even if the exit deadband has been met. A non-latching alarm does not
require acknowledgement. Default latching status:

1) Level 1 alarms: latching

2) Level 2 alarms: latching

3) Level 3 alarms: non-latching

4) Level 4 alarms: non-latching.

i. Post Exit Suppression period – To limit alarms, any alarm may have an adjustable
suppression period such that a particular instance of that alarm may not re-occur
until the alarm has been cleared for the suppression period. Default suppression
periods:

1) Level 1 alarms: 0 minutes

2) Level 2 alarms: 5 minutes

3) Level 3 alarms: 24 hours

4) Level 4 alarms: 7 days.

j. For both latching and non-latching alarms, the operators may acknowledge the
alarm. Acknowledging an alarm clears the alarm, the exit deadband, and
suppression period. A device can go right back into alarm as soon as the entry
delay elapses.

M. VFD Speed Points

1. The speed analog output sent to VFDs shall be configured such that 0% speed
corresponds to 0 Hz and 100% speed corresponds to maximum speed configured
in the VFD.

To avoid operator confusion, the speed command point (and speed feedback point,
if used) for VFDs should be configured so that a speed of 0% corresponds to 0 Hz
and 100% corresponds to maximum speed set in the VFD, not necessarily 60 Hz.
The maximum speed may be limited below 60 Hz to protect equipment or it may
be above 60 Hz for direct drive equipment. Many times drives are configured such

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 29

that a 0% speed signal corresponds to the minimum speed programmed into the
VFD, but that causes the speed AO value and the actual speed to deviate from one
another.

2. For each piece of equipment, the minimum speed shall be stored in a single software
point. This value shall be written to the VFD’s minimum speed setpoint every 15
minutes via the drive’s network interface; in the case of a hard-wired VFD
interface, the minimum speed shall be the lowest speed command sent to the drive
by the BAS. See 3.2A.2 for minimum speed setpoints.

It is desirable that the minimum speed reside in the VFD to avoid problems when
the VFD is manually controlled at the drive. But minimums can also be adjusted
inadvertently in the VFD to a setpoint that is not equal to the minimum used in
software. The following prevents separate, potentially conflicting minimum speed
setpoints from existing in the BAS software and the drive firmware.

N. Trim & Respond (T&R) Setpoint Reset Logic

Trim & Respond logic resets a setpoint for pressure, temperature, or other variables
at an air handler or plant. It reduces the setpoint at a fixed rate, until a downstream
zone is no longer satisfied and generates a request. When a sufficient number of
requests are present, the setpoint is increased in response. The importance of each
zone’s requests can be adjusted to ensure that critical zones are always satisfied. When
a sufficient number of requests no longer exist, the setpoint resumes decreasing at its
fixed rate. A running total of the requests generated by each zone is kept to identify
zones that are driving the reset logic.
Trim and Respond logic is optimal for controlling a single variable that is subject to
the requirements of multiple downstream zones (such as the static pressure setpoint for
a VAV air handler). In this application, it is easier to tune than a conventional control
loop and provides for fast response without high frequency chatter or loss of control of
the downstream devices. It typically does generate low frequency cyclic hunting, but
this behavior is slow enough to be non-disruptive.
See the end of this section for an example of T&R implementation.

1. Trim & Respond setpoint reset logic and zone/system reset Requests where
referenced in sequences shall be implemented as described below.

2. A “Request” is a call to reset a static pressure or temperature setpoint, generated by

downstream zones or air handling systems. These Requests are sent upstream to
the plant or system that serves the zone or air handler that generated the Request.

a. For each downstream zone or system, and for each type of setpoint reset
Request listed for the zone/system, provide the following software points:

1) Importance Multiplier (default = 1)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 30

Importance Multiplier is used to scale the number of requests the

zone/system is generating. A value of zero causes the requests from that
zone or system to be ignored. A value greater than one can be used to
effectively increase the number of requests from the zone/system based on
the critical nature of the spaces served.

2) Request-Hours. Provided SystemOK is true, every x minutes (default 5

minutes), add x divided by 60 times the current number of Requests to this
request-hours accumulator point. The request-hours and system run-hours
points are reset to zero when the total system run-hours exceeds 400 hours
or upon a global command from the system/plant serving the zone/system
– this global point simultaneously resets the request-hours point for all
zones/systems served by this system/plant.

Request-Hours accumulates the integral requests (prior to adjustment of

Importance Multiplier) to help identify zones/systems that are driving the
reset logic. Rogue zone identification is particularly critical in this context,
since a single rogue zone can keep the Trim & Response loop at maximum
and prevent it from saving any energy.

3) Cumulative%-Request-Hours. This is the zone/system Request-Hours

divided by the zone/system run-hours (the hours in any Mode other than
Unoccupied Mode) since the last reset, expressed as a percentage.

4) A Level 4 alarm is generated if the zone Importance Multiplier is greater

than zero, the zone/system Cumulative% Request Hours exceeds 70%, and
the total number of zone/system run hours exceeds 40.

b. See zone and air handling system control sequences for logic to generate
Requests.

c. Multiply the number of Requests determined from zone/system logic times the
Importance Multiplier and send to the system/plant that serves the zone/system.
See system/plant logic to see how Requests are used in Trim & Respond logic.

3. For each upstream system or plant setpoint being controlled by a T&R loop, define
the following variables. Initial values are defined in system/plant sequences below.
Values for trim, respond, time step, etc., shall be tuned to provide stable control.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 31

Variable Definition
Device Associated device (e.g., fan, pump)
SP0 Initial setpoint
SPmin Minimum setpoint
SPmax Maximum setpoint
Td Delay timer
T Time step
I Number of Ignored Requests
R Number of Requests from
zones/systems
SPtrim Trim amount
SPres Respond amount (must be opposite
in sign to SPtrim)
SPres-max Maximum response per time
interval (must be same sign as SPres)
Note that it is recommended that | SPres | > | SPtrim | so that the reset logic
does not get stuck at a value, as can happen if SPres and SPtrim are equal
in absolute value.

The number of Ignored Requests (I) should be set to zero for critical zones
or air handlers.

4. Trim & Respond logic shall reset setpoint within the range SPmin to SPmax. When
the associated device is off, the setpoint shall be SP0. The reset logic shall be active
while the associated device is proven on, starting Td after initial device start
command. When active, every time step T, trim the setpoint by SPtrim. If there are
more than I Requests, respond by changing the setpoint by SPres * (R-I), (i.e., the
number of Requests minus the number of Ignored Requests), but no more than SPres-
max. In other words, every time step T:

Change setpoint by SPtrim

If R>I, also change setpoint by (R-I)*SPres but no larger than SPres-max

The following is an example of a sequence that uses Trim & Respond to control the static pressure
setpoint of a VAV AHU serving multiple downstream zones:

This sequence defines the T&R variables as follows:

Variable Definition
Device Supply Fan
SP0 120 Pa.
(0.5”)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 32

Variable Definition
SPmin 37 Pa.
(0.15”)
SPmax 370 Pa.
(1.50”)
Td 5
T 2
I 2
SPtrim -10 Pa.
(-0.04”)
SPres 15 Pa.
(0.06”)
SPres-max 37 Pa.
(0.15”)

Description of general operation:

Starting 5 minutes after the fan status indicates the supply fan is on, the sequence will slowly
reduce the AHU’s static pressure setpoint by 10 Pa. (0.04”) every 2 minutes. As static pressure
drops, downstream VAV box dampers will open further for a given load. When the combination of
reduced static pressure and changes in load drives more than two VAV boxes more than 95%
open, the system will respond by increasing static pressure setpoint by 15 Pa. (0.06”) for every
request, but no more than a maximum of 37 Pa. (0.15”) regardless of the number of requests. The
setpoint will continue to increase every 2 minutes until all but 2 VAV boxes (for Ignored Request
value of 2) are satisfied (damper position < 85%). Subsequently, the setpoint will continue to
decrease by 10 Pa. (0.04”) every 2 minutes.

Example:
System starts at 11:55. Initial setpoint is 120 Pa. (0.5”). At 12:00 (Td after start time), the reset
begins.
At 12:02 (i.e., 1*T after reset begins), there is one request (i.e., R=1). Trim component reduces
setpoint by SPtrim which is 10 Pa. (0.04”); since R-I < 0, there is no response component. Net
result: Setpoint is 110 Pa. (0.46”).
At 12:04 (i.e., 2*T), there are two requests (i.e., R=2): Trim component reduces setpoint by 10 Pa.
(0.04”); since R – I = 0, there is no response component. Net result: Setpoint is 100 Pa. (0.42”).
At 12:06 (i.e., 3*T), there are three requests (i.e., R=3): Trim component reduces setpoint by 10
Pa. (0.04”); since R – I = 1, response component increases setpoint by 15 PA. (0.06”) (i.e., 1 *
SPres). Net result: Setpoint is 105 Pa. (0.44”) (i.e., +5.0 Pa. (+0.02”) net change).
At 12:08 (i.e., 4*T), there are four requests (i.e., R=4): Trim component reduces setpoint by 10
Pa. (0.04”); since R – I = 2, response component increases setpoint by 30 Pa. (0.12”) (i.e., 2 *
SPres). Net result: Setpoint is 125 Pa. (0.52”) (i.e., +20 Pa. (+0.08”) net change).
At 12:10 (i.e., 5*T), there are six requests (i.e., R=6): Trim component reduces setpoint by 10 Pa.
(0.04”); since R – I = 4 but SPres- max =37 Pa. (0.15”), response component increases setpoint by

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 33

the maximum of 37 Pa. (0.15”) (i.e., not 4 * SPres = 60 Pa. (0.24”). Net result: Setpoint is 152 Pa.
(0.63”) (i.e., 27 Pa. (+0.11”) net change).
At 12:12 (i.e., 6*T), there are three requests (i.e., R=3): Trim component reduces setpoint by 10
Pa. (0.04”); since R – I = 1, response component increases setpoint by 15 Pa. (0.06”) (i.e., 1 *
SPres). Net result: Setpoint is 157 Pa. (0.65”).
At 12:14 (i.e., 7*T), there are zero requests (i.e., R=0): Trim component reduces setpoint by 10
Pa. (0.04”); since R – I < 0, there is no response component. Net result: Setpoint is 147 Pa.
(0.61”).
This is a trend graph of the example above, continued for a period of an hour:
#R > #I = setpoint rises Static Setpoint

0.70
R = 5  SPres-max= 37 Pa (0.15”)
0.60
R = 6  SPres-max= 37 Pa (0.15”)
Pressure (inches)

0.50

0.40

0.30 R = 6  SPres-max=37 Pa (0.15”)

0.20

0.10 #R ≤ #I = setpoint falls #R ≤ #I = setpoint falls steadily

0.00
12:00 12:06 12:12 12:18 12:24 12:30 12:36 12:42 12:48 12:54 13:00
7

5
Number of Requests

2 IGNORED REQUESTS

The system will tend towards minimum static pressure (thus saving energy) but respond rapidly to
increasing demand from the terminal units. A cyclic pattern is characteristic of a robust Trim &
Respond loop – the setpoint is not expected to remain static except at its minimum and maximum
values. Note that this diagram was created for purposes of illustrating how requests are used to
reset the setpoint and does not necessarily represent the expected behavior of an actual Trim &
Respond loop, although the long, slow cycling of the setpoint value is typical of T&R control.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 34

O. Equipment Staging and Rotation

Sequences for automatic lead/lag equipment staging and rotation will be added in a
later version of Guideline 36.

1. Operators with appropriate access level shall be able to manually command staging
order via software points, but not overriding the In Alarm or Hand Operation logic
below.

2. In Alarm: If the lead device has a fault condition or has been manually switched
off, a Level 2 alarm shall be generated and the device shall be set to the last stage
position in the staging order until alarm is reset by operator. A device in alarm can
only automatically move up in the staging order if another device goes into alarm.

This sequence does not lock out a device that is in alarm. It moves all devices
in alarm to the end of the rotation sequence such that they will be the last
devices called to run. The sequence will only call for these devices in alarm if
all of the devices not in alarm are already enabled and there is a call for a
stage-up. A device in alarm will respond if called to run, only if it is capable of
doing so (e.g., not locked out on internal safety, locked out on an HOA switch
at the starter or otherwise disabled). It is important to note that this staging
does not override the devices internal safeties so it will not damage equipment.
Note some alarm conditions could be triggered when the underlying equipment
is fully operable. For example, a status point not matching the on/off command
could be triggered by a faulty status signal. The same is true for a supervised
HOA at a control panel, the operator might have been testing the equipment
and simply forgot to turn the HOA back to AUTO.

a. Alarm conditions include the following:

1) Variable Speed Fans

a) Status point not matching its on/off point for 3 seconds after a time delay
of 15 seconds while the device is commanded on.
Current scope of these sequences only include Variable Speed Fans.
Pumps, chillers, and boilers are currently beyond the scope of Guideline
36. They will be incorporated into this logic as a part of RP-1711, which
addresses sequences for central heating and cooling plants.

b. Hand Operation: If a device is on in Hand (e.g., via an HOA switch or local

control of VFD), the device shall be set to the lead device, and a Level 4 alarm
shall be generated. The device will remain as lead until the alarm is reset by the
operator. Hand operation is determined by:

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 35

Any condition in which a device appears to continue to run after being

commanded off is considered a case of “hand operation;” in practice, this
condition may arise due to other circumstances (e.g., a bad current transducer).

1) Variable Speed Fans

a) Status point not matching its on/off point for 15 seconds while the
device is commanded off.
Current scope of these sequences only include Variable Speed Fans.
Pumps, chillers, and boilers are currently beyond the scope of Guideline
36. They will be incorporated into this logic as a part of RP-1711, which
addresses sequences for central heating and cooling plants.

P. VAV Box Controllable Minimum

1. This section is used to determine the lowest possible VAV box airflow setpoint
allowed by the controls (Vm) used in VAV box control sequences. The minimums
shall be stored as software points.

2. Option 1: If the VAV box controls simply stop moving the damper when the airflow
reading becomes too low to register and then re-enables the damper when the
airflow reading rises above that threshold, Vm shall be equal to zero.

VAV box controllers that stop moving the damper when they are unable to read an
airflow signal avoid the need to determine a minimum. When given a setpoint
below controllable minimum, the controller will control as low as it can, which is
the desired behavior.

3. Option 2: The minimum setpoint Vm shall be determined as follows:

a. Determine the velocity pressure sensor reading VPm in inches H2O that will
give a reliable flow indication. If this information is not provided by the sensor
manufacturer, determine the velocity pressure that will result in a digital reading
from the transducer and A/D converter of 12 bits or counts (assuming a 10 bit
A/D converter). This is considered sufficient resolution for stable control.

b. Determine the minimum velocity vm for each VAV box size and model. If the
VAV box manufacturer provides an amplification factor F for the flow pickup,
calculate the minimum velocity vm as

VPm
vm  4005
F
Where F is not known, it can be calculated from the measured airflow at
250 Pa (1 inch w.c.) signal from the VP sensor

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 36

2
 4005 A 
F  
 CFM @ 1" 
 

where A is the nominal duct area (ft2), equal to

2
D
A 
 24 

where D is the nominal duct diameter (inches).

c. Calculate the minimum airflow setpoint allowed by the controls (Vm) for each
VAV box size as

Vm  vm A
Q. Air Economizer High Limits

1. Economizer shall be disabled whenever the outdoor air conditions exceed the
economizer high limit setpoint as specified by local code. Setpoints vary by energy
standard, climate zone, and economizer high limit control device type. Setpoints
listed below are for current ASHRAE and California Energy Standards.

The engineer must specify the code basis of the economizer high limit and,
optionally, the high limit control device being used.

For jobs in California, delete “2” and keep “3.” For jobs elsewhere, delete “3”
and keep “2.”

Within the section that remains, the engineer can specify the high limit control
device (e.g., differential dry bulb) if the same method is to be used for all
equipment. Alternatively, the engineer may retain the entirety of the selected
table but must then specify the high limit device for each air handling unit later
in the sequences.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 37

2. ASHRAE 90.1-2016:

Required High Limit

Allowed only in these
Device Type (Economizer Off
ASHRAE Climate Zones
When):
1b, 2b, 3b, 3c, 4b, 4c, 5b,
TOA > 24°C (75°F)
5c, 6b, 7, 8
Fixed Dry Bulb
5a, 6a TOA > 21°C (70°F)
1a, 2a, 3a, 4a TOA > 18°C (65°F)
Differential Dry 1b, 2b, 3b, 3c, 4b, 4c,
TOA > TRA
Bulb 5a, 5b, 5c, 6a, 6b, 7, 8
hOA > 66 kJ/kg (28
Fixed Enthalpy
All Btu/lb) or
+ Fixed Drybulb
TOA > 24°C (75°F)
Differential
hOA > hRA
Enthalpy + All
TOA > 24°C (75°F)
Fixed Drybulb

3. Title 24-2016:

Required High Limit

Device Type California Climate Zones (Economizer Off
When):
1, 3, 5, 11-16 TOA > 24°C (75°F)
2, 4, 10 TOA > 23°C (73°F)
Fixed Dry Bulb
6, 8, 9 TOA > 22°C (71°F)
7 TOA > 21°C (69°F)
1, 3, 5, 11-16 TOA > TRA
TOA > TRA – 1.1°C
2, 4, 10
(2°F)
Differential Dry
Bulb TOA > TRA –2.2°C
6, 8, 9
(4°F)
TOA > TRA – 3.3°C
7
(6°F)
hOA > 66 kJ/kg (28
Fixed Enthalpy
All Btu/lb) or
+ Fixed Drybulb
TOA > 24°C (75°F)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 38

R. Damper/Valve Position

1. Knowledge of damper and valve position are required for proper generation of Trim
& Respond reset requests.

2. The following are acceptable methods for determining position:

a. Analog actuator. Position may be assumed to be equal to analog signal to

actuator.

b. Floating actuator. Provide either

1) Position feedback analog input

The engineer may choose to disallow the following option, which is less accurate
than the other options for determining damper position but doing so may limit
controller manufacturer since not all manufacturers offer the other options.
2) Position estimated by timing pulse-open and pulse-closed commands with
auto-zeroing whenever zone is in Unoccupied Mode and damper is driven
full closed. This option is not acceptable for 24/7 applications.

S. Hierarchical Alarm Suppression

Hierarchical alarm suppression is described in a paper by Jeffrey Schein and Steven

Bushby, published in HVAC&R Research January, 2006.
It is a technique for suppressing extraneous or nuisance alarms, based on the principle
that if a fault occurs both at a source (e.g., AHU) and a load (e.g., VAV box), then the
fault at the load is likely caused by the fault at the source and is at any rate of a lower
priority than the source fault; as such, the alarm for the load fault is suppressed in
favor of the alarm for the source fault, so that the operator’s attention is focused on
the problem at the source. This principle can be extended up through the hierarchy:
e.g., a fault at the chiller system would suppress faults at the AHUs that it serves, which
would in turn suppress faults at the VAV boxes served by the suppressed AHUs.
Alarm suppression is based on the OK or fault state of upstream systems rather than
individual pieces of equipment. For example, in a plant with multiple redundant
boilers, a single boiler failure would not necessarily impede the ability of the boiler
plant to serve the load, so suppression of downstream alarms would not be appropriate
in this case. It will necessarily be up to the designer to determine the appropriate
threshold for setting a system fault based on the number of component faults (e.g., two
out of three boilers must be off or in alarm before a system-level fault is set, triggering
suppression of downstream alarms).

Note that this logic is intended to suppress alarm visual and audible displays,
notifications (e.g., email or SMS text), listing in primary alarm logs, and other actions

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 39

that can distract the operator or make it more difficult to diagnose and respond to
alarms. The alarm may still be generated and recorded to a database.

1. For each piece of equipment or space controlled by the BAS, define its relationship
(if any) to other equipment in terms of “source,” “load,” or “system.”

For equipment that participates in a Trim & Response loop, the equipment
generating the requests will always be the load component, and the equipment
receiving and responding to the requests will be a source component.

a. A component is a “source” if it provides resources to a downstream component,

such as a chiller providing chilled water to an AHU.

b. A component is a “load” if it receives resources from an upstream component,

such as an AHU that receives chilled water from a chiller.

c. The same component may be both a load (receiving resources from an upstream
source) and a source (providing resources to a downstream load).

d. A set of components is a “system” if they share a load in common (i.e.,

collectively act as a source to downstream equipment, such as a set of chillers
in a lead/lag relationship serving air handlers).

1) If a single component acts as a source for downstream loads (e.g., an AHU

as a source for its VAV boxes), then that single source component shall be
defined as a “system” of one element.

2) For equipment with associated pumps (chillers, boilers, cooling towers):

a) If the pumps are in a one-to-one relationship with equipment they serve,

the pumps shall be treated as part of the system to which they are
associated (i.e., they are not considered loads) since a pump failure will
necessarily disable its associated equipment.
b) If the pumps are headered to the equipment they serve, then the pumps
may be treated as a system, which is a load relative to the upstream
equipment (e.g., chillers) and a source relative to downstream
equipment (e.g., air handlers).

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 40

Example: Consider a building with four cooling tower cells, each with its own
pump, two chillers with two CHW pumps in a headered arrangement, three air
handlers, and 10 VAV boxes on each AHU, with each VAV box serving multiple
rooms.
• The cooling towers together constitute a system, which is a source to the
chillers.
• The chillers together constitute a system, which is a load to the cooling tower
system and a source to the CHW pump system.
• The CHW pumps together constitute a system, which is a load to the chillers
and a source to the air handlers.
• Each air handler constitutes its own separate system because they do not
share a load in common. Each AHU is a load to the CHW pump system and
a source to its own VAV boxes.
• Each VAV box constitutes its own system because they do not share a load in
common. Each VAV box is a load to its AHU (only; no relationship to the
other AHUs) and a source to the rooms that it serves.
• Each interior space is a load to its associated VAV box.

2. For each system as defined above, there shall be a SystemOK flag, which is either
true or false.

3. SystemOK shall be true when all of the following are true:

a. The system is proven on.

b. The system is achieving its temperature and/or pressure setpoint(s) for at least
five minutes

c. The system is ready and able to serve its load

4. SystemOK shall be false while the system is starting up (i.e., before reaching
setpoint) or when enough of the system’s components are unavailable (in alarm,
disabled, or turned off) to disrupt the ability of the system to serve its load. This
threshold shall be defined by the design engineer for each system.

a. By default, Level 1 through Level 3 component alarms (indicating equipment

failure) shall inhibit SystemOK. Level 4 component alarms (maintenance and
energy efficiency alarms) shall not affect SystemOK.

b. The operator shall have the ability to individually determine which component
alarms may or may not inhibit SystemOK.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 41

Examples:
If a boiler system consists of a pair of boilers sized for 100% of the design
load, in a lead-standby relationship, then SystemOK is true if at least one
boiler is operational and achieving setpoint.
If a chiller system consists of three chillers each sized for 50% of the design
load, then SystemOK is true if at least two chillers are available to run. If only
one chiller is available to run, then SystemOK will be false (even though the
one remaining chiller may be sufficient to serve off-peak loads).

5. The BAS shall selectively suppress (i.e., fail to announce; alarms may still be
logged to a database) alarms for load components if SystemOK is false for the
source system that serves that load.

a. If SystemOK is false for a cooling water system (i.e., chiller, cooling tower, or
associated pump) then only high temperature alarms from the loads shall be
suppressed.

b. If SystemOK is false for a heating water system (i.e., boiler or associated pump)
then only low temperature alarms from the loads shall be suppressed.

c. If SystemOK is false for an airside system (air handler, fan coil, VAV box, etc.),
then all alarms from the loads shall be suppressed.

6. This hierarchical suppression shall cascade through multiple levels of load-source

relationship, such that alarms at downstream loads shall also be suppressed.

Example:
A building has a cooling tower system (towers and CDW pumps), a chiller
system (chillers and CHW pumps), and a boiler system (boilers and HW
pumps). These systems serve several air handlers (each considered its own
system), and each air handler serves a series of VAV boxes (each also
considered its own system).
If SystemOK is false for the cooling tower system, then high temperature
alarms are suppressed for the chillers, the air handlers, the VAV boxes and
zones, but not for the boilers. Low temperature alarms are not suppressed.
(Note that in actuality, the hard-wired interlock between cooling tower and
chiller would inhibit chiller operation if the cooling towers are off or locked
out. The example is retained for illustrative purposes.)
If SystemOK is false for the chiller system, then high temperature alarms are
suppressed for the air handlers and the VAV boxes but not for the cooling
towers or boilers. Low temperature alarms are not suppressed.
If SystemOK is false for the boiler system, then low temperature alarms are
suppressed for the air handlers and the VAV boxes but not for the cooling
towers or chillers. High temperature alarms are not suppressed.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 42

If SystemOK is false for one of the air handlers, then all alarms (low
temperature, high temperature, and airflow) are suppressed for all VAV boxes
served by that air handler only. Alarms are not suppressed for the cooling
towers, chillers, boilers, or the other AHU or its VAV boxes.
If one VAV box is in alarm, then all alarms (e.g., zone temperature, CO2) are
suppressed for the zone served by that VAV box only. No other alarms are
suppressed.

7. The following types of alarms will never be suppressed by this logic:

a. Life/safety and Level 1 alarms

b. Failure-to-start alarms (i.e., equipment is commanded on, but status point shows
equipment to be off)

c. Failure-to-stop/hand alarms (i.e., equipment is commanded off, but status point

shows equipment to be on)

T. Time-Based Suppression

1. Calculate a time delay period after any change in setpoint based on the difference
between the controlled variable (e.g., zone temperature) at the time of the change
and the new setpoint. The default time delay period shall be:

Time-based suppression is used to suppress reset requests and alarms after a

change in setpoint. This includes automatic changes in setpoint, e.g., due to a
change in window switch or occupancy sensor status, as well as changes made by
occupants.
a. For thermal zone temperature alarms: 10 minutes per °F of difference, but no
longer than 120 minutes

For example, if setpoint changes from 20°C (68°F) to 21°C (70°F) and the
zone temperature is 20°C (68.5°F) at the time of the change, inhibit alarm for
15 minutes (0.83°C (1.5°F) * 10 minutes/°F) after the change.

b. For thermal zone temperature cooling requests: 5 minutes per °F of difference,

but no longer than 30 minutes

c. For thermal zone temperature heating requests: 5 minutes per °F of difference,

but no longer than 30 minutes

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 43

5.2 Generic Thermal Zones

A. This section applies to all single zone systems and sub-zones of air handling systems,
such as VAV boxes, fan-powered boxes, etc.

B. Zone Minimum Outdoor Air and Minimum Airflow Setpoints

1. For every zone that requires mechanical ventilation, the zone minimum outdoor
airflows and setpoints shall be calculated depending on the governing standard or
code for outdoor air requirements. Zones that do not require mechanical ventilation
may disregard this section.

2. See 3.1B for zone minimum airflow setpoint, Vmin.

3. The occupied minimum airflow Vmin* shall be equal to Vmin except as noted
below:

The engineer must select between ventilation logic options:

The following subsection “4” should be used for ventilation logic that complies
with ASHRAE Standard 62.1. If instead the project is to comply with
California Title 24 ventilation requirements, delete subsection “4” and use
subsection “5,” below.

4. For compliance with the Ventilation Rate Procedure of ASHRAE Standard 62.1-
2016, outdoor air and zone minimum setpoints shall be calculated as follows:

a. See 3.1A.2 for zone ventilation setpoints.

b. Determine zone air distribution effectiveness Ez

1) If the discharge air temperature at the terminal unit is less than or equal to
zone space temperature, Ez shall be equal to EzC (default to 1.0 if no value
is scheduled).

2) If the discharge air temperature at the terminal unit is greater than zone
space temperature, Ez shall be equal to EzH (default to 0.8 if no value is
scheduled).

c. Vbz-P* is the population component of the required breathing zone outdoor

airflow. The normal value of Vbz-P* shall be Vbz-P.

d. The required zone outdoor airflow Voz shall be calculated as Voz = (Vbz-A + Vbz-
P*) / Ez,

e. The normal values of Vbz-A, Vbz-P*, and Vmin* are modified if any of the
following conditions are met, in order from higher to lower priority:

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 44

1) If the zone is in any mode other than Occupied Mode and for zones that
have window switches and the window is open: Vbz-P* = 0, Vbz-A = 0, and
Vmin* = 0.

2) If the zone has an occupancy sensor, is unpopulated, and occupied-standby

mode is permitted: Vbz-P* = 0, Vbz-A = 0, and Vmin* = 0

3) Else, if the zone has an occupancy sensor, is unpopulated, but occupied-

standby mode is not permitted: Vbz-P* = 0 and Vmin* = Vmin.

4) If the zone has a CO2 sensor

a) See 3.1A.3 for CO2 setpoints.

b) During Occupied Mode, a P-only loop shall maintain CO2 concentration
at setpoint; reset from 0% at (setpoint minus 200 PPM) and to 100% at
setpoint.
c) Loop is disabled and output set to zero when the zone is not in Occupied
Mode.
CO2 DCV is not yet well defined for Standard 62.1. RP-1747 is under
way and should provide a detailed procedure. In the meantime,
sequences have been included at the zone level, matching California’s
DCV approach as a first step. Because outdoor air rates at the AHU
level dynamically calculate outdoor air rates using the Standard 62.1
multiple spaces procedure, compliance with the standard is assured.
Doing no DCV at all is not an option because it is required by Standard
90.1-2016.

d) For cooling-only VAV terminal units, reheat VAV terminal units,

constant volume series fan powered terminal units, dual duct VAV
terminal units with mixing control and inlet airflow sensors, dual duct
VAV terminal units with mixing control and a discharge airflow sensor,
or dual duct VAV terminal units with cold duct minimum control:
(1) The CO2 control loop output shall reset both the occupied minimum
airflow setpoint (Vmin*) and the population component of the
required breathing zone outdoor airflow (Vbz-P*) in parallel. Vmin*
shall be reset from the zone minimum airflow setpoint Vmin at 0%
loop output up to maximum cooling airflow setpoint Vcool-max at
100% loop output. Vbz-P* shall be reset from 0 cfm at 0% loop
output up to the Vbz-P at 100% loop output.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 45

Vcool-max

Vbz-P
Vmin*

Vmin*

Vbz-P*
Vbz-P*

Vmin

0
0% 50% 100%
CO2 Control Loop
The CO2 control loop graph above is provided as a visual
representation of the reset logic and is not representative of
magnitude of Vbz-P* in relation to Vbz-A or Vmin*.
e) For parallel fan powered terminal units:
(1) Determine VCO2-max as follows:
(a) When the zone state is cooling, VCO2-max is equal to the
maximum cooling airflow setpoint Vcool-max.
(b) When the zone state is heating or deadband, VCO2-max is
equal to Vcool-max minus the parallel fan airflow

This logic prevents the total supply airflow from exceeding Vcool-max,
which could create diffuser noise problems.

(2) The CO2 control loop output shall reset both the occupied minimum
airflow setpoint (Vmin*) and the population component of the
required breathing zone outdoor airflow (Vbz-P*) in parallel. Vmin*
shall be reset from the zone minimum airflow setpoint Vmin at 0%
loop output up to maximum cooling airflow setpoint VCO2-max at
100% loop output. Vbz-P* shall be reset from 0 cfm at 0% loop
output up to the Vbz-P at 100% loop output.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 46

VCO2-max

Vbz-P
Vmin*

Vmin*

Vbz-P*
Vbz-P*

Vmin

0
0% 50% 100%
CO2 Control Loop
The CO2 control loop graph above is provided as a visual
representation of the reset logic and is not representative of
magnitude of Vbz-P* in relation to Vbz-A or Vmin*.

f) For single zone VAV air handling units:

(1) The minimum outdoor air setpoint MinOAsp is equal to Voz. The
CO2 control loop output shall reset the population component of the
required breathing zone outdoor airflow Vbz-P* from 0 cfm at 0%
loop output up to Vbz-P at 100% loop output.
Vbz-P

Vbz-P*
Vbz-P*

0
0% 50% 100%
CO2 Control Loop

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 47

The engineer must select between ventilation logic options:

The following subsection “5” should be used for ventilation logic that complies
with California Title 24. If instead the project is to comply with Standard 62.1
ventilation requirements, delete subsection “5” and use subsection “4.”

5. For compliance with California Title 24, outdoor air setpoints shall be calculated
as follows:

a. See 3.1A.2.b for zone ventilation setpoints.

b. Determine the zone minimum outdoor air setpoints Zone-Abs-OA-min and
Zone-Des-OA-min.

Zone-Abs-OA-min is used in terminal unit sequences and air handler

sequences. Zone-Des-OA-min is used in air handler sequences only.

1) Zone-Abs-OA-min shall be reset based on the following conditions in order

from higher to lower priority:

a) Zero if the zone has a window switch and the window is open
b) 25% of Varea-min if the zone has an occupancy sensor and is
unpopulated
The term “populated” is used instead of “occupied” to mean that a zone
occupancy sensor senses the presence of people because the term
“occupied” is used elsewhere to mean “scheduled to be occupied”.

c) Varea-min if the zone has a CO2 sensor

d) Zone-Des-OA-min otherwise

2) Zone-Des-OA-min is equal to
a) Zero if the zone has a window switch and the window is open
b) 25% of Varea-min if the zone has an occupancy sensor and is
unpopulated
c) The larger of Varea-min and Vocc-min otherwise

c. The normal values of Vmin* are modified if any of the following conditions
are met, in order from higher to lower priority:

1) If the zone is in any mode other than Occupied Mode and for zones that
have window switches and the window is open: Vmin* = 0

2) If the zone has an occupancy sensor, is unpopulated: Vmin* = 25% of

Varea-min

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 48

3) If the zone has a CO2 sensor

a) See 3.1A.3 for CO2 setpoints.

b) During Occupied Mode, a P-only loop shall maintain CO2 concentration

at setpoint; reset from 0% at (setpoint minus 200 PPM) and to 100% at
setpoint.

c) Loop is disabled and output set to zero when the zone is not in Occupied
Mode.

d) For cooling-only VAV terminal units, reheat VAV terminal units,

constant volume series fan powered terminal units, dual duct VAV
terminal units with mixing control and inlet airflow sensors, dual duct
VAV terminal units with mixing control and a discharge airflow sensor,
or dual duct VAV terminal units with cold duct minimum control:

(1) The CO2 control loop output shall reset the occupied minimum
airflow setpoint (Vmin*) from the zone minimum airflow setpoint
Vmin at 0% up to maximum cooling airflow setpoint Vcool-max at
50%, as shown below. The loop output from 50% to 100% will be
used at the system level to reset outdoor air minimum; see AHU
controls.
Vcool
-max

Vmin*

Vmin

0% 50% 100%
CO2 Control Loop
e) For parallel fan powered terminal units:

(1) Determine VCO2-max as follows:

(a) When the zone state is cooling, VCO2-max is equal to the
maximum cooling airflow setpoint Vcool-max.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 49

(b) When the zone state is heating or deadband, VCO2-max is equal

to Vcool-max minus the parallel fan airflow

This logic prevents the total supply airflow from exceeding Vcool-max,
which could create diffuser noise problems.

(2) The CO2 control loop output shall reset the occupied minimum
airflow setpoint (Vmin*) from the zone minimum airflow setpoint
Vmin at 0% up to maximum cooling airflow setpoint VCO2-max at
50%, as shown below. The loop output from 50% to 100% will be
used at the system level to reset outdoor air minimum; see AHU
controls.
VCO2
-max

Vmin*

Vmin

0% 50% 100%
CO2 Control Loop
f) For single zone VAV air handling units:

(1) The minimum outdoor air setpoint MinOAsp shall be reset based on
the zone CO2 control loop signal from Zone-Abs-OA-min at 0%
signal to Zone-Des-OA-min at 100% signal.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 50

Zone-Des-
OA-min

MinOAsp

Zone-Abs-
OA-min

0% 50% 100%
CO2 Control Loop

This concludes the section where the ventilation logic is selected.

When the sequences are complete, only one of subsection “4” and subsection
“5” above should remain. The other subsection should be deleted, along with
these flag notes.
C. Time-Averaged Ventilation (TAV)

ASHRAE Standard 62.1 and Title 24 allow for ventilation to be provided based on
average conditions over a specific period of time. This time-averaging method
allows for zone airflows to effectively be controlled to values below the VAV box
controllable minimum value, which may reduce energy use and the risk of
overcooling when the zone ventilation requirement is less than the VAV box
controllable minimum.

1. When the active airflow setpoint (Vspt), is non-zero and is less than the lowest
possible airflow setpoint allowed by the controls (Vm), the airflow setpoint shall
be pulse width modulated as follows:

a. The TAV ratio shall be determined as: TAVratio = Vspt/Vm

b. The total cycle time (TCT) shall be 15 minutes (adjustable)

c. Open period: During the open period, the TAV airflow setpoint (Vspt*) shall
be equal to Vm for a period of time, OP, which is the larger of:

1) 1.5 minutes or

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 51

2) TCT multiplied by TAVratio

d. Closed period: During the closed period, Vspt* shall be set to 0 for a period of
time, CP, where CP = TCT – OP. The VAV damper control loop shall be
disabled with output set equal to 0 during the closed period. At the end of each
closed period, the VAV damper shall be commanded to the last position from
the previous open period prior to re-enabling the control loop.

e. During TAV mode, each cycle shall consist of an open and closed period which
alternate until Vspt is greater than Vm.

f. When first entering TAV mode, start with an initial open period of duration
RNDM*OP, where RNDM is a random number between 0.0 and 1.0 (in this
way, TAV shall begin at a random point within the cycle to avoid synchronized
opening and closing of VAV dampers).

2. The VAV damper shall be modulated by a control loop to maintain the measured
airflow at the active setpoint of Vspt* when in TAV Mode, or otherwise Vspt.

D. Setpoints

1. Each zone shall have separate occupied and unoccupied heating and cooling
setpoints.

2. The active setpoints shall be determined by the Operating Mode of the Zone Group
[see 5.3F].

a. The setpoints shall be the occupied setpoints during Occupied Mode, Warm up
Mode, and Cool-down Mode.

b. The setpoints shall be the unoccupied setpoints during Unoccupied Mode,

Setback Mode, and Setup Mode.

3. The software shall prevent

a. The heating setpoint from exceeding the cooling setpoint minus 0.56°C (1°F)
(i.e., the minimum difference between heating and cooling setpoints shall be
0.56°C (1°F))

b. The unoccupied heating setpoint from exceeding the occupied heating setpoint;
and

c. The unoccupied cooling setpoint from being less than the occupied cooling
setpoint.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 52

4. Where the zone has a local setpoint adjustment knob/button

a. The setpoint adjustment offsets established by the occupant shall be software

points that are persistent (e.g., not reset daily), but the actual offset used in
control logic shall be adjusted based on limits and modes as describe below.

b. The adjustment shall be capable of being limited in software.

These are absolute limits imposed by programming, which are in addition

to the range limits (e.g., ±4°F) of the thermostat adjustment device.

1) As a default, the active occupied cooling setpoint shall be limited between

22°C (72°F) and 27°C (80°F).

2) As a default, the active occupied heating setpoint shall be limited between

18°C (65°F) and 22°C (72°F).

c. The active heating and cooling setpoints shall be independently adjustable,

respecting the limits and anti-overlap logic described above. If zone thermostat
provides only a single setpoint adjustment, then the adjustment shall move both
the active heating and cooling setpoints upwards or downwards by the same
amount, within the limits described above.

d. The adjustment shall only affect occupied setpoints in Occupied Mode and shall
have no impact on setpoints in all other modes.

e. At the onset of demand limiting, the local setpoint adjustment value shall be
frozen. Further adjustment of the setpoint by local controls shall be suspended
for the duration of the demand limit event.

Demand limits can be triggered for different reasons, including: initiating utility
demand shed events; exceeding a predefined threshold; or to prevent excessive
rates in a ratchet schedule. Additional logic (not provided here) is needed to define
the Demand Limit Levels.

For example:
• Sliding Window: The demand control function shall utilize a sliding window
method selectable in increments of one minute, up to 60 minutes, 15-minute
default.
• Demand Limit Levels: Demand time periods shall be set up as per utility rate
schedule. For each On-Peak or Partial-Peak period, three demand limits can
be defined. When the measured demand exceeds the limit, the Demand Limit
Level switch for that level shall be set; when demand is less than 10% below
the limit for a minimum of 15 minutes, and the time is no longer within the On-

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 53

Peak or Partial-Peak window, the switch shall be reset. These levels are used
at the zone level (see Zone Control sequences) to shed demand.

An override for critical zones like data centers or equipment rooms should be
provided through the GUI. This override feature should require some level of
supervision so that all zones do not declare themselves “critical.”

Demand limits can also be simultaneously applied to lighting for systems with
daylighting/dimming capability and that are integrated with the HVAC BAS.

5. Cooling Demand Limit Setpoint Adjustment: The active cooling setpoints for all
zones shall be increased when a demand limit is imposed on the associated Zone
Group. The operator shall have the ability to exempt individual zones from this
adjustment through the normal BAS user interface. Changes due to demand limits
are not cumulative.

a. At Demand Limit Level 1, increase setpoint by 0.56°C (1°F).

b. At Demand Limit Level 2, increase setpoint by 1.1°C (2°F).

c. At Demand Limit Level 3, increase setpoint by 2.2°C (4°F).

6. Heating Demand Limit Setpoint Adjustment: The active heating setpoints for all
zones shall be decreased when a demand limit is imposed on the associated Zone
Group. The operator shall have the ability to exempt individual zones from this
adjustment through the normal BAS user interface. Changes due to demand limits
are not cumulative.

a. At Demand Limit Level 1, decrease setpoint by 0.56°C (1°F).

b. At Demand Limit Level 2, decrease setpoint by 1.1°C (2°F).

c. At Demand Limit Level 3, decrease setpoint by 2.2°C (4°F).

Heating Demand Limits may be desirable in buildings with electric heat or heat
pumps, or in regions with limited gas distribution infrastructure.

7. Window switches. For zones that have operable windows with indicator switches,
when the window switch indicates the window is open, the heating setpoint shall
be temporarily set to 4.4°C (40°F) and the cooling setpoint shall be temporarily set
to 49°C (120°F). When the window switch indicates the window is open during
other than Occupied Mode, a Level 4 alarm shall be generated.

8. Occupancy sensors. For zones that have an occupancy switch

a. When the switch indicates the space has been unpopulated for 5 minutes
continuously during the Occupied Mode, the active heating setpoint shall be

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 54

decreased by 1.1°C (2°F), and the cooling setpoint shall be increased by 1.1°C
(2°F).

b. When the switch indicates that the space has been populated for one minute
continuously, the active heating and cooling setpoints shall be restored to their
previous values.

Occupancy sensors are often provided as part of the lighting control system due
to Standard 90.1 and Title 24 requirements. The point can be tied into the HVAC
BAS in several ways to avoid the cost of an additional occupancy sensor,
including:
 If the occupancy sensor is an addressable point and the lighting controls
have BACnet or other interface capability, the point can be mapped to the
BAS via this interface.
 Some occupancy sensors include auxiliary dry contacts that can be wired to
a digital input at the zone controller.

9. Hierarchy of Setpoint Adjustments: The following adjustment restrictions shall

prevail in order from highest to lowest priority:

a. Setpoint overlap restriction (5.2D.3.a )

b. Absolute limits on local setpoint adjustment (5.2D.4.a)

c. Window switches

d. Demand limit

1) Occupancy sensors: Change of setpoint by occupancy sensor is added to

change of setpoint by any demand limits in effect.

2) Local setpoint adjustment: Any changes to setpoint by local adjustment are

frozen at the onset of the demand limiting event and remain fixed for the
duration of the event. Additional local adjustments are ignored for the
duration of the demand limiting event.

e. Scheduled setpoints based on Zone Group mode

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 55

E. Local override: When thermostat override buttons are depressed, the call for Occupied
Mode operation shall be sent up to the Zone Group control for 60 minutes.

Local overrides will cause all zones in the Zone Group to operate in Occupied Mode
to ensure that the system has adequate load to operate stably.

F. Control Loops

1. Two separate control loops shall operate to maintain space temperature at setpoint,
the Cooling Loop and the Heating Loop.

a. The Heating Loop shall be enabled whenever the space temperature is below
the current zone heating setpoint temperature and disabled when space
temperature is above the current zone heating setpoint temperature and the Loop
output is zero for 30 seconds. The Loop may remain active at all times if
provisions are made to minimize integral windup.

b. The Cooling Loop shall be enabled whenever the space temperature is above
the current zone cooling setpoint temperature and disabled when space
temperature is below the current zone cooling setpoint temperature and the
Loop output is zero for 30 seconds. The Loop may remain active at all times if
provisions are made to minimize integral windup.

2. The Cooling Loop shall maintain the space temperature at the active cooling
setpoint. The output of the loop shall be a software point ranging from 0% (no
cooling) to 100% (full cooling).

3. The Heating Loop shall maintain the space temperature at the active heating
setpoint. The output of the loop shall be a software point ranging from 0% (no
heating) to 100% (full heating).

4. Loops shall use proportional + integral logic or other technology with similar
performance. Proportional-only control is not acceptable, although the integral gain
shall be small relative to the proportional gain. P and I gains shall be adjustable by
the operator.

5. See other sections for how the outputs from these loops are used.

G. Zone State

1. Heating: when the output of the space heating control loop is nonzero and the output
of the cooling loop is equal to zero.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 56

2. Cooling: when the output of the space cooling control loop is nonzero and the
output of the heating loop is equal to zero.

3. Deadband: when not in either Heating or Cooling.

H. Zone Alarms

1. Zone temperature alarms

a. High temperature alarm

1) If the zone is 1.7°C (3°F) above cooling setpoint for 10 minutes, generate
Level 3 alarm.

2) If the zone is 2.8°C (5°F) above cooling setpoint for 10 minutes, generate
Level 2 alarm.

b. Low temperature alarm

1) If the zone is 1.7°C (3°F) below heating setpoint for 10 minutes, generate
Level 3 alarm.

2) If the zone is 2.8°C (5°F) below heating setpoint for 10 minutes, generate
Level 2 alarm.

Default time delay for zone temperature alarm (10 minutes) is intentionally long,
to minimize nuisance alarms. For critical zones such as IT closets, consider
reducing time delay or setting delay to zero.

c. Suppress zone temperature alarms as follows:

1) After zone setpoint is changed per 5.1T.

2) While Zone Group is in Warmup or Cool-down Modes.

3) For zones with an Importance multiplier [see 5.1N.2.a.1)] of zero for its
static pressure reset, SAT reset, or Hot Water reset Trim & Respond loops.

Zone alarms are not suppressed in Setup, Setback, or Unoccupied Modes

so that you detect heating or cooling equipment or control failures that
could result in excessive pull down or pick up loads and even freezing of
pipes if left undetected. See Paragraph 5.3F for description of Zone Group
Operating Modes.

2. For zones with CO2 sensors:

a. CO2 sensors: If the CO2 concentration is less than 300 ppm, or the zone is in
Unoccupied Mode for more than 2 hours and zone CO2 concentration exceeds

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 57

600 ppm, generate a Level 3 alarm. The alarm text shall identify the sensor and
indicate that it may be out of calibration.

b. If the CO2 concentration exceeds setpoint plus 10% for more than 10 minutes,
generate a Level 3 alarm.

5.3 Zone Groups

Zone Scheduling Groups, or Zone Groups, are sets of zones served by a single air handler
that operate together for ease of scheduling and/or in order to ensure sufficient load to
maintain stable operation in the upstream equipment. A Zone Group is equivalent to an
Isolation Area as defined in Section 6.4.3.3.4 of ASHRAE 90.1 2016. (We chose to use a
different term because “Isolation Area” seemed to cause confusion, or suggest isolation
e.g., as one would find in a hospital setting.)

A. Each system shall be broken into separate Zone Groups composed of a collection of
one or more zones served by a single air handler. See 3.1C for zone group
assignments.

B. Each Zone Group shall be capable of having separate occupancy schedules and
Operating Modes from other Zone Groups.

Note that, from the user’s point of view, schedules can be set for individual zones, or
they can be set for an entire Zone Group, depending on how the user interface is
implemented. From the point of view of the EMCS, individual zone schedules are
superimposed to create a Zone Group schedule, which then drives system behavior.

The schedule may govern operation of other integrated systems such as lights,
daylighting, or others, in addition to the HVAC system.

C. All zones in each Zone Group shall be in the same Operating Mode at all times. If one
zone in a Zone Group is placed in any mode other than Unoccupied Mode (due to
override, sequence logic, or scheduled occupancy) all zones in that Zone Group shall
enter that mode.

D. A Zone Group may be in only one mode at any given time.

E. For each Zone Group, provide a set of testing/commissioning software switches that
override all zones served by the Zone Group. Provide a separate software switch for
each of the zone-level override switches listed under “Testing and Commissioning
Overrides” in terminal unit sequences. When the value of a Zone Group’s override
switch is changed, the corresponding override switch for every zone in the Zone Group
shall change to the same value. Subsequently, the zone-level override switch may be
changed to a different value. The value of the zone-level switch has no effect on the

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 58

value of the Zone Group switch, and the value of the Zone Group switch only affects
the zone-level switches when the Zone Group switch is changed.

The Testing and Commissioning Overrides will be specified for each type of terminal
unit and system in subsequent sequences. These overrides allow a commissioning agent
to, e.g., force a zone into cooling or drive a valve all the way open or closed.
Zone Group override switches allow a commissioning agent to apply a zone-level
override to all zones in a Zone Group simultaneously. This greatly accelerates the
testing and commissioning process.

F. Zone Group Operating Modes: Each Zone Group shall have the following modes:

The modes presented in this section are to enable different setpoints and ventilation
requirements to be applied to Zone Groups based on their operating schedule,
occupancy status, and deviation from current setpoint.
See ASHRAE Guideline 13 for best practices in locating zone group operating mode
programming logic based on network architecture.

1. Occupied Mode: A Zone Group is in the Occupied Mode when any of the following
is true:

a. The time of day is between the Zone Group’s scheduled occupied start and stop
times.

b. The schedules have been overridden by the Occupant Override System.

Occupant Override System is a web-based system to allow individuals to modify

the schedule of their zone. This is a best-in-class feature that will not be
available on all projects.

c. Any zone local override timer (initiated by local override button) is nonzero.

2. Warmup Mode: For each zone, the BAS shall calculate the required warm up time
based on the zone’s occupied heating setpoint, the current zone temperature, the
outdoor air temperature, and a mass/capacity factor for each zone. Zones where the
window switch indicates that a window is open shall be ignored. The mass factor
shall be manually adjusted or self-tuned by the BAS. If automatic, the tuning
process shall be turned on or off by a software switch, to allow tuning to be stopped
after the system has been trained. Warmup Mode shall start based on the zone with
the longest calculated warm up time requirement, but no earlier than 3 hours before
the start of the scheduled occupied period, and shall end at the scheduled Occupied
start hour.

3. Cool-Down Mode: For each zone, the BAS shall calculate the required cool down
time based on the zone’s occupied cooling setpoint, the current zone temperature,
the outdoor air temperature, and a mass/capacity factor for each zone. Zones where

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 59

the window switch indicates that a window is open shall be ignored. The mass
factor shall be manually adjusted or self-tuned by the BAS. If automatic, the tuning
process shall be turned on or off by a software switch, to allow tuning to be stopped
after the system has been trained. Cool-down Mode shall start based on the zone
with the longest calculated cool-down time requirement, but no earlier than 3 hours
before the start of the scheduled occupied period, and shall end at the scheduled
Occupied start hour.

Warmup and Cool-Down Modes are used to bring the Zone Groups up to
temperature based on their scheduled occupancy period. The algorithms used in
these modes (often referred to as “Optimal Start”) predict the shortest time to
achieve occupied setpoint to reduce the central system energy use based on past
performance.

We recommend using a global outdoor air temperature, not associated with any
AHU, to determine Warmup start time. This is because unit-mounted OA sensors,
which are usually placed in the outdoor air intake stream, are often inaccurate
(reading high) when the unit is off due to air leakage from the space through the
OA damper.

4. Setback Mode: During Unoccupied Mode, if any 5 zones (or all zones, if fewer
than 5) in the Zone Group fall below their unoccupied heating setpoints or if the
average zone temperature of the Zone Group falls below the average unoccupied
heating setpoint, the Zone Group shall enter Setback Mode until all spaces in the
Zone Group are 1.1°C (2°F) above their unoccupied setpoints.

5. Freeze Protection Setback Mode: During Unoccupied Mode, if any single zone falls
below 4.4°C (40°F), the Zone Group shall enter Setback Mode until all zones are
above 7.2°C (45°F), and a Level 3 alarm shall be set.

6. Setup Mode: During Unoccupied Mode, if any 5 zones (or all zones, if fewer than
5) in the Zone rise above their unoccupied cooling setpoints or if the average zone
temperature of the Zone Group rises above the average unoccupied cooling
setpoint, the Zone Group shall enter Setup Mode until all spaces in the Zone Group
are 1.1°C (2°F) below their unoccupied setpoints. Zones where the window switch
indicates that a window is open shall be ignored.

Setback and Setup Modes are used to keep zone temperatures (and mass) from
getting excessively far from occupied setpoints so that the Cool-Down and Warmup
Modes can achieve setpoint when initiated. The minimum number of zones (set at
5 here) are to ensure that the central systems (fans, pumps, heating sources, or
cooling sources) can operate stably. Obviously, the size of the zones and the
characteristics of the central systems are a factor in choosing the correct number
of zones in each group.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 60

7. Unoccupied Mode: When the Zone Group is not in any other mode.

5.4 VAV Terminal Unit, Cooling Only

A. See Generic Thermal Zones (5.1T.1.b for setpoints, loops, control modes, alarms, etc.)

B. See 5.2B for calculation of zone minimum outdoor airflow.

CO2 DCV for cooling-only zones can lead to over-cooling due to the faster rise in
CO2 levels from people in the room vs. the increase in cooling loads from people.
Including heat in all zones with CO2 DCV is therefore recommended.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin and zone cooling maximum
design airflow setpoint Vcool-max.

If the minimum ventilation rate is more than 25% or so of the cooling maximum, or demand
control ventilation is used, a reheat box is recommended to avoid overcooling. Demand
control ventilation logic is not provided for cooling-only boxes because doing so results in
periods of overcooling since the CO2 levels due to occupants rises much faster than the
cooling load due to occupants because of thermal mass.

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0
Heating
Vmin* 0 0 0 0 0
maximum

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 61

E. Control logic is depicted schematically in the figure below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied
Mode operation.

Cooling
Maximum

Active Airflow
Setpoint, Vspt

Vmin*

Heating Loop Signal Deadband Cooling Loop Signal

1. When the Zone State is Cooling, the Cooling Loop output shall be mapped to the
active airflow setpoint from the minimum to the cooling maximum airflow
setpoints.

a. If supply air temperature from the air handler is greater than room temperature,
cooling supply airflow setpoint shall be no higher than the minimum.

2. When the Zone State is Deadband or Heating, the active airflow setpoint shall be
the minimum airflow setpoint.

F. The VAV damper shall be modulated by a control loop to maintain the measured
airflow at the active setpoint.

G. Alarms

1. Low airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 62

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

2. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the cooling maximum airflow setpoint,
generate a Level 3 alarm.

3. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the zone is proven on,
generate a Level 4 alarm.

H. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max.

3. Force zone airflow setpoint to Vmin

4. Force damper full closed/open

5. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.
I. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 63

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the damper position is greater than 95%, send 1 Request until the damper
position is less than 85%,

d. Else if the damper position is less than 95%, send 0 Requests

If the minimum ventilation rate is more than 25% or so of the cooling maximum, or demand
controlled ventilation is used, a reheat box is recommended to avoid overcooling.

5.5 VAV Terminal Unit with Reheat

A. See Generic Thermal Zones (5.2) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoints Vmin, zone maximum cooling airflow
setpoint Vcool-max, zone maximum heating design airflow setpoint Vheat-max, and
the maximum discharge air temperature rise above heating setpoint, MaxΔT.

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Cooling
Vmin* 0 0 0 0 0
minimum
Minimum Vmin* 0 0 0 0 0
Heating
Vmin* 0 0 Vheat-max Vheat-max 0
minimum
Heating Max(Vheat-
Vheat-max 0 Vcool-max Vcool-max 0
maximum max, Vmin*)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 64

These sequences use different maximum airflow setpoints for heating and cooling. This
“dual max” logic allows the minimum airflow setpoint to be lower than in a
conventional sequence where the minimum airflow equals the heating airflow.
Heating is non-zero in Cool-down to allow for individual zones within a Zone Group
that may need heating while the Zone Group is in Cool-down.
The Warmup and Setback minimum setpoint is set to zero to ensure spaces that do not
want heat during these modes receive no air; since the supply air temperature can be
warm in these modes if the AHU has a heating coil, any minimum could cause
overheating. The heating minimum is set to Vheat-max and the heating maximum is
set to Vcool-max to provide faster response.

E. Control logic is depicted schematically in the figure below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied
Mode operation.

Cooling Maximum
Airflow

Max
DAT

Heating Discharge Air

Max Temperature
Airflow Setpoint

Cooling Active Airflow

Heating Minimum Setpoint, Vspt
Minimum
Minimum

DAT = AHU SAT

Heating Loop Signal Deadband Cooling Loop Signal

1. When the Zone State is Cooling, the Cooling Loop output shall be mapped to the
airflow setpoint from the cooling minimum to the cooling maximum airflow
setpoints. Hot water valve is closed unless the discharge air temperature is below
the minimum setpoint [see 5.5E.4 below].

a. If supply air temperature from the air handler is greater than room temperature,
cooling supply airflow setpoint shall be no higher than the minimum.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 65

2. When the Zone State is Deadband, the active airflow setpoint shall be the minimum
airflow setpoint. Hot water valve is closed unless the discharge air temperature is
below the minimum setpoint [see 5.5E.4 below].

3. When the Zone State is Heating, the Heating Loop shall maintain space temperature
at the heating setpoint as follows:

The purpose of the following heating sequence is to minimize the reheat energy
consumption by first increasing the SAT while maintaining minimum flow and
only increasing the total airflow if needed to satisfy the zone.

a. From 0-50%, the Heating Loop output shall reset the discharge temperature
setpoint from the current AHU SAT setpoint to a maximum of MaxΔT above
space temperature setpoint. The airflow setpoint shall be the heating minimum.

b. From 51%-100%, if the discharge air temperature is greater than room

temperature plus 2.8°C (5°F), the Heating Loop output shall reset the airflow
setpoint from the heating minimum airflow setpoint to the heating maximum
airflow setpoint.

c. The hot water valve (or modulating electric heating coil) shall be modulated to
maintain the discharge temperature at setpoint. (Directly controlling heating off
the zone temperature control loop is not acceptable.)

1) When the airflow setpoint is pulse width modulated per 5.2C, the hot water
valve shall be shut (or modulating electric heating coil disabled) and PID
loop disabled with output set to 0 during closed periods.

4. In Occupied Mode, the hot water valve (or modulating electric heating coil) shall
be modulated to maintain a discharge air temperature no lower than 10°C (50°F).

This prevents excessively cold discharge air temperatures if the AHU is providing
high outdoor airflows and does not have a heating coil.

F. Alarms

1. Low airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 66

2. Low discharge air temperature

a. If boiler plant is proven on and the discharge air temperature is 8.3°C (15°F)
less than setpoint for 10 minutes, generate a Level 3 alarm.

b. If boiler plant is proven on and the discharge air temperature is 17°C (30°F)
less than setpoint for 10 minutes, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its Hot Water
reset Trim & Respond control loop, low discharge air temperature alarms shall
be suppressed for that zone.

3. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the cooling maximum airflow setpoint,
generate a Level 3 alarm.

4. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the zone is proven on,
generate a Level 4 alarm.

5. Leaking valve. If the valve position is 0% for 15 minutes, discharge air temperature
is above AHU SAT by 2.8°C (5°F), and the fan serving the zone is proven on,
generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force zone airflow setpoint to Vheat-max

5. Force damper full closed/open

6. Force heating to off/closed

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 67

Per 5.1J, all hardware points can be overridden through the BAS. Each of the following
points is interlocked so that they can be overridden together at a Zone Group level, per
5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the damper position is greater than 95%, send 1 Request until the damper
position is less than 85%,

d. Else if the damper position is less than 95%, send 0 Requests

3. If there is a hot water coil, Hot Water Reset Requests

a. If the discharge air temperature is 17°C (30°F) less than setpoint for 5 minutes,
send 3 Requests,

b. Else if the discharge air temperature is 8.3°C (15°F) less than setpoint for 5
minutes, send 2 Requests,

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 68

4. If there is a hot water coil and a boiler plant, Boiler Plant Requests. Send the boiler
plant that serves the zone a Boiler Plant Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%

b. Else if the HW valve position is less than 95%, send 0 Requests.

5.6 Parallel Fan-Powered Terminal Unit, Constant Volume Fan

A. See Generic Thermal Zones (5.2) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin, zone maximum cooling airflow
setpoint Vcool-max, and the parallel fan maximum airflow Pfan-max.

D. Active maximum and minimum primary air setpoints shall vary depending on the
Mode of the Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 69

E. Control logic is depicted schematically in the figure below and described in the
following sections. In the charts below, OA-min is Voz (if using ASHRAE Standard
62.1 ventilation logic) or Zone-Abs-OA-min (if using Title 24 ventilation logic).

If OA-min > Vmin:

Cooling Maximum
Discharge Air Active Primary
Temperature Airflow
Setpoint Setpoint, Vspt

Parallel Fan CFM

OA-min

Minimum
Primary
Airflow
Setpoint

Heating Loop Signal Deadband Cooling Loop Signal

If OA-min < Vmin:

Cooling Maximum
Discharge Air Active Primary
Temperature Airflow
Setpoint Setpoint, Vspt

Parallel Fan CFM

Minimum
Primary
Airflow
Setpoint

OA-min

Heating Loop Signal Deadband Cooling Loop Signal

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 70

1. When the Zone State is Cooling, the Cooling Loop output shall be mapped to the
primary airflow setpoint from the cooling maximum to the minimum airflow
setpoints. Heating coil is off.

a. If supply air temperature from the air handler is greater than room temperature,
cooling supply airflow setpoint shall be no higher than the minimum.

2. When the Zone State is Deadband, the primary airflow setpoint shall be the
minimum airflow setpoint. Heating coil is off.

3. When Zone State is Heating

a. As the Heating Loop output increases from 0 to 100%, it shall reset the
discharge temperature from the current AHU SAT setpoint to a maximum of
MaxΔT above space temperature setpoint.

Standard 90.1-2016 limits overhead supply air to 11°C (20°F) above space
temperature (e.g., 32°C (90°F) at 21°C (70°F) space temperature setpoint) to
minimize stratification.

b. The hot water valve (or modulating electric heating coil) shall be modulated to
maintain the discharge temperature at setpoint. (Directly controlling heat off
zone temperature control loop is not acceptable.)

1) When airflow setpoint is pulse width modulated per 5.2C, the hot water
valve shall be shut (or modulating electric heating coil disabled) and PID
loop disabled with output set to 0 during closed periods.

4. The VAV damper shall be modulated to maintain the measured primary airflow at
setpoint.

5. Fan Control:

a. Fan shall run whenever Zone State is Heating.

b. If ventilation is according to ASHRAE Standard 62.1-2016, the fan shall run in

Deadband and Cooling when the primary air volume is less than Voz for one
minute and shall shut off when primary air volume is above Voz by 10% for 3
minutes.

c. If ventilation is according to California Title 24, fan shall run in Deadband and
Cooling when the primary air volume is less than Zone-Abs-OA-min for one
minute and shall shut off when primary air volume is above Zone-Abs-OA-min
by 10% for 3 minutes.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 71

The designer must ensure that the sum of the indirect ventilation provided by
the fan plus the ventilation provided by the primary air at minimum setpoint
meet Standard 62.1 requirements.

F. Alarms

1. Low Primary Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

2. Low discharge Air Temperature

a. If boiler plant is proven on and the discharge air temperature is 8.3°C (15°F)
less than setpoint for 10 minutes, generate a Level 3 alarm.

b. If boiler plant is proven on and the discharge air temperature is 17°C (30°F)
less than setpoint for 10 minutes, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its Hot Water
reset Trim & Respond control loop, low discharge air temperature alarms shall
be suppressed for that zone.

3. Fan alarm is indicated by the status input being different from the output command
after a period of 15 seconds after a change in output status.

a. Commanded on, status off: Level 2

b. Commanded off, status on: Level 4

4. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the cooling maximum airflow setpoint,
generate a Level 3 alarm.

5. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the zone is proven on,
generate a Level 4 alarm.

6. Leaking valve. If the valve position is 0% for 15 minutes, discharge air temperature
is above AHU SAT by 2.8°C (5°F), and the fan serving the zone is proven on,
generate a Level 4 alarm.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 72

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force damper full closed/open

5. Force heating to off/closed

6. Turn fan on/off

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 73

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. If there is a hot water coil, Hot Water Reset Requests

a. If the discharge air temperature is 17°C (30°F) less than setpoint for 5 minutes,
send 3 Requests,

b. Else if the discharge air temperature is 8.3°C (15°F) less than setpoint for 5
minutes, send 2 Requests,

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests

4. If there is a hot water coil and a boiler plant, Boiler Plant Requests. Send the boiler
plant that serves the zone a Boiler Plant Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%

b. Else if the HW valve position is less than 95%, send 0 Requests.

5.7 Parallel Fan-Powered Terminal Unit, Variable Volume Fan

A. See Generic Thermal Zones (5.2) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin, zone maximum cooling airflow
setpoint Vcool-max, and the parallel fan maximum airflow Pfan-max.

D. Pfan-z is the lowest rate the fan will operate at when it is turned on but has the lowest
possible speed signal from the BAS.

E. Active maximum and minimum primary air setpoints shall vary depending on the
Mode of the Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0

Control logic is depicted schematically in the figure below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 74

Mode operation. In the chart below, OA-min is Voz (if using ASHRAE Standard 62.1
ventilation logic) or Zone-Abs-OA-min (if using Title 24 ventilation logic).

Cooling Maximum
Discharge Air
Temperature
Setpoint
Total CFM
(not directly controlled)

Pfan-max

OA-min
Parallel fan CFM

Active Primary
Minimum Airflow
Airflow Setpoint, Vspt
Setpoint
Pfan-z

Heating Loop Signal Deadband Cooling Loop Signal

1. When the Zone State is Cooling

a. The Cooling Loop output shall be mapped to the airflow setpoint from the
cooling maximum to the minimum airflow setpoints.

1) If supply air temperature from the air handler is greater than room
temperature, cooling supply airflow setpoint shall be no higher than the
minimum.

b. Heating coil is off

c. If ventilation is according to ASHRAE Standard 62.1-2016: In Occupied Mode

only, parallel fan starts when primary airflow drops below Voz minus one half
of Pfan-z and shuts off when primary airflow rises above Voz. Fan airflow rate
setpoint is equal to Voz minus the current primary airflow setpoint.

d. If ventilation is according to California Title 24: In Occupied Mode only,

parallel fan starts when primary airflow drops below Zone-Abs-OA-min minus
one half of Pfan-z and shuts off when primary airflow rises above Zone-Abs-
OA-min. Fan airflow rate setpoint is equal to Zone-Abs-OA-min minus the
current primary airflow setpoint.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 75

The designer must ensure that the sum of the indirect ventilation provided by
the fan plus the ventilation provided by the primary air at minimum setpoint
meet Standard 62.1 requirements.

2. When the Zone State is Deadband

a. The airflow setpoint shall be the minimum airflow setpoint.

b. Heating coil is off.

c. If ventilation is according to ASHRAE Standard 62.1-2016, parallel fan runs if

primary airflow setpoint is below Voz. Fan airflow rate setpoint is equal to Voz
minus the current primary airflow setpoint.

d. If ventilation is according to California Title 24: In Occupied Mode only,

parallel fan runs if primary airflow setpoint is below Zone-Abs-OA-min. Fan
airflow rate setpoint is equal to Zone-Abs-OA-min minus the current primary
airflow setpoint.

The designer must ensure that the sum of the indirect ventilation provided by
the fan plus the ventilation provided by the primary air at minimum setpoint
meet Standard 62.1 requirements.

3. When Zone State is Heating

For systems with electric reheat, ensure that the minimum airflow provided by
the parallel fan at minimum speed exceeds the minimum required airflow for
the electric heater.

a. Parallel fan shall run.

b. From 0-50%, the Heating Loop output shall reset the discharge temperature
from the current AHU SAT setpoint to a maximum of MaxΔT above space
temperature setpoint.

Standard 90.1-2016 limits overhead supply air to 11°C (20°F) above space
temperature (e.g., 32°C (90°F) at 21°C (70°F) space temperature setpoint) to
minimize stratification.

1) From 50%-100%, the Heating Loop output shall reset the parallel fan
airflow setpoint from the airflow setpoint required in Deadband (see above;
this is Pfan-z if Deadband setpoint is less than Pfan-z) proportionally up to
the maximum fan airflow (Pfan-max).

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 76

2) The hot water valve (or modulating electric heating coil) shall be modulated
to maintain the discharge temperature at setpoint. (Directly controlling
heating off zone temperature control loop is not acceptable.)

3) When the airflow setpoint is pulse width modulated per 5.2C, the hot water
valve shall be shut (or modulating electric heating coil disabled) and PID
loop disabled with output set to 0 during closed periods.

4. The VAV damper shall be modulated to maintain the measured primary airflow at
the primary airflow setpoint.

F. Alarms

1. Low Primary Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

2. Low Discharge Air Temperature

a. If boiler plant is proven on and the discharge air temperature is 8.3°C (15°F)
less than setpoint for 10 minutes, generate a Level 3 alarm.

b. If boiler plant is proven on and the discharge air temperature is 17°C (30°F)
less than setpoint for 10 minutes, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its Hot Water
reset Trim & Respond control loop, low discharge air temperature alarms shall
be suppressed for that zone.

3. Fan alarm is indicated by the status input being different from the output command
after a period of 15 seconds after a change in output status.

a. Commanded on, status off: Level 2

b. Commanded off, status on: Level 4

4. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the cooling maximum airflow setpoint,
generate a Level 3 alarm.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 77

5. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while fan serving the zone is proven on, generate
a Level 4 alarm.

6. Leaking valve. If the valve position is 0% for 15 minutes and discharge air
temperature is above AHU SAT by 2.8°C (5°F), generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force damper full closed/open

5. Force heating to off/closed

6. Turn fan on/off

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 78

2. Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. If there is a hot water coil, Hot Water Reset Requests

a. If the discharge air temperature is 17°C (30°F) less than setpoint for 5 minutes,
send 3 Requests,

b. Else if the discharge air temperature is 8.3°C (15°F) less than setpoint for 5
minutes, send 2 Requests,

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests

4. If there is a hot water coil and a boiler plant, Boiler Plant Requests. Send the boiler
plant that serves the zone a Boiler Plant Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%

b. Else if the HW valve position is less than 95%, send 0 Requests.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 79

5.8 Series Fan-Powered Terminal Unit, Constant Volume Fan

A. See Generic Thermal Zones (5.2) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.5 for zone minimum airflow setpoints Vmin and zone maximum cooling
airflow setpoint Vcool-max.

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0

E. Control logic is depicted schematically in the figure below and described in the
following sections.

Series Fan Cooling Maximum

Discharge Air Airflow
Temperature
Setpoint

Minimum Active Primary

Airflow Airflow
Setpoint Setpoint, Vspt

Heating Loop Signal Deadband Cooling Loop Signal

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 80

1. When the Zone State is Cooling, the Cooling Loop output shall be mapped to the
primary airflow setpoint from the cooling maximum to the minimum airflow
setpoints. Heating coil is off.

a. If supply air temperature from the air handler is greater than room temperature,
cooling supply airflow setpoint shall be no higher than the minimum.

2. When the Zone State is Deadband, the primary airflow setpoint shall be the
minimum airflow setpoint. Heating coil is off.

3. When Zone State is Heating

Standard 90.1-2016 limits overhead supply air to 11°C (20°F) above space
temperature (e.g., 32°C (90°F) at 21°C (70°F) space temperature setpoint) to
minimize stratification.

a. The Heating Loop shall reset the discharge temperature from the current AHU
SAT setpoint to a maximum of MaxΔT above space temperature setpoint.

b. The hot water valve (or modulating electric heating coil) shall be modulated to
maintain the discharge temperature at setpoint. (Directly controlling heating
off zone temperature control loop is not acceptable.)

1) When airflow setpoint is pulse width modulated per paragraph 5.2C, the hot
water valve shall be shut (or modulating electric heating coil disabled) and
PID loop disabled with output set to 0 during closed periods.

4. The VAV damper shall be modulated to maintain the measured airflow at setpoint.

5. Fan Control: Fan shall run whenever zone is in Occupied Mode. Prior to starting
the fan, the damper is first driven fully closed to ensure that the fan is not rotating
backwards. Once the fan is proven on for a fixed time delay (15 seconds), the
damper override is released.

F. Alarms

1. Low Primary Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 81

2. Low Discharge Air Temperature

a. If boiler plant is proven on and the discharge air temperature is 8.3°C (15°F)
less than setpoint for 10 minutes, generate a Level 3 alarm.

b. If boiler plant is proven on and the discharge air temperature is 17°C (30°F)
less than setpoint for 10 minutes, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its Hot Water
reset Trim & Respond control loop, low discharge air temperature alarms shall
be suppressed for that zone.

3. Fan alarm is indicated by the status input being different from the output command
after a period of 15 seconds after a change in output status.

a. Commanded on, status off: Level 2

b. Commanded off, status on: Level 4

4. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the cooling maximum airflow setpoint,
generate a Level 3 alarm.

5. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the zone is proven on,
generate a Level 4 alarm.

6. Leaking valve. If the valve position is 0% for 15 minutes and discharge air
temperature is above AHU SAT by 2.8°C (5°F), generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force damper full closed/open

5. Force heating to off/closed

6. Turn fan on/off

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 82

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. If there is a hot water coil, Hot Water Reset Requests

a. If the discharge air temperature is 17°C (30°F) less than setpoint for 5 minutes,
send 3 Requests,

b. Else if the discharge air temperature is 8.3°C (15°F) less than setpoint for 5
minutes, send 2 Requests,

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 83

4. If there is a hot water coil and a boiler plant, Boiler Plant Requests. Send the boiler
plant that serves the zone a Boiler Plant Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%

b. Else if the HW valve position is less than 95%, send 0 Requests.

5.9 Dual Duct VAV Terminal Unit – Snap Acting Control

Snap Acting Control logic is the first choice among the various DD control schemes – it is
the most efficient and does not require DD boxes with mixing sections that have a high
pressure drop. It allows use of dual standard airflow sensors, one at each inlet, with
standard pressure independent logic blocks; alternatively, a single discharge airflow
sensor may be used.
However, snap acting logic is not ideal for CO2 control because it can cause the zone to
oscillate between Cooling and Heating. This occurs when the CO2 control pushes the
Vmin* up to Vcool-max; at that point, temperature control is lost and if the space is
overcooled, it will be pushed into Heating, where it will be overheated, then back again.
If CO2 demand controlled ventilation is required, the mixing logic described in the next
section should be used.
This logic assumes no ability to mix hot and cold air to prevent overly low supply air
temperatures that may occur on systems with high outdoor airflows and no preheat coil.
So a preheat coil is likely to be required on such systems if mixed air temperature can fall
below 7.2°C (45°F) or so in winter.
Note that snap acting logic can also be problematic for zones with high minimums, since
the room itself is acting as the mixing box.
Because no cold duct air is supplied during heating mode, the heating system must include
ventilation air either with direct outdoor air intake or indirectly via transfer air from over-
ventilated spaces on the same system. Refer to Standard 62.1-2016 and the Standard 62.1-
2016 User’s Manual.

A. See Generic Thermal Zones (5.1T.1.b) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin, maximum cooling airflow
setpoint Vcool-max, and the zone maximum heating airflow setpoint Vheat-max.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 84

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0
Heating
Vheat-max 0 0 Vheat-max Vheat-max 0
maximum

E. Control logic is depicted schematically in the figures below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied
Mode operation.

Cooling
Transition from Cooling towards Heating
Maximum

Heating
Maximum
Hot Duct Airflow

Cold Duct Airflow

Minimum Airflow
Setpoint

Heating Loop Signal Deadband Cooling Loop Signal

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 85

Transition from Heating towards Cooling Cooling

Maximum

Heating
Maximum
Hot Duct Airflow

Cold Duct Airflow

Minimum Airflow
Setpoint

Heating Loop Signal Deadband Cooling Loop Signal

The engineer must select between airflow sensor configuration options:

The following subsection “1” should be used if there are airflow sensors at both
inlets to the box. If instead there is a single airflow sensor at the box discharge,
delete subsection “1” and skip to subsection “2.”

1. Temperature and Damper Control with dual inlet airflow sensors:

a. When the Zone State is Cooling, the Cooling Loop output shall reset the cooling
supply airflow setpoint from the minimum to cooling maximum setpoints. The
cooling damper shall be modulated by a control loop to maintain the measured
cooling airflow at setpoint. The heating damper shall be closed.

1) If cold deck supply air temperature from air handler is greater than room
temperature, cooling supply airflow setpoint shall be no higher than the
minimum.

b. When the Zone State is Deadband, the cooling and heating airflow setpoints
shall be their last setpoints just before entering Deadband. In other words, when
going from Cooling to Deadband, the cooling airflow setpoint is equal to the
zone minimum and the heating setpoint is zero. When going from Heating to
Deadband, the heating airflow setpoint is equal to the zone minimum and the
cooling setpoint is zero. This results in a snap-action switch in the damper
setpoint as indicated in the figures above.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 86

With snap acting logic, the deadband airflow is maintained by the damper from
the last mode, rather than always using the cold deck, as per the mixing
sequences below. This is to avoid instability when transitioning from heating
to deadband.

c. When the Zone State is Heating, the Heating Loop output shall reset the heating
supply airflow setpoint from the minimum to heating maximum setpoints. The
heating damper shall be modulated by a control loop to maintain the measured
heating airflow at setpoint. The cooling damper shall be closed.

1) If hot deck supply air temperature from air handler is less than room
temperature, heating supply airflow setpoint shall be no higher than the
minimum.

The engineer must select between airflow sensor configuration options:

The following subsection “2” should be used if there is a single airflow sensor
at the box discharge. If instead there are airflow sensors at both inlets to the
box, delete subsection “2” and use subsection “1,” above.

2. Temperature and Damper Control with a single discharge airflow sensor:

a. When the Zone State is Cooling, the Cooling Loop output shall reset the
discharge airflow setpoint from the minimum to cooling maximum setpoints.
The cooling damper shall be modulated by a control loop to maintain the
measured discharge airflow at setpoint. The heating damper shall be closed.

b. When the Zone State is Deadband, the discharge airflow setpoint shall be the
zone minimum, maintained by the damper that was operative just before
entering Deadband. The other damper shall remain closed. In other words,
when going from Cooling to Deadband, the cooling damper shall maintain the
discharge airflow at the zone minimum setpoint and the heating damper shall
be closed. When going from Heating to Deadband, the heating damper shall
maintain the discharge airflow at the zone minimum setpoint, and the cooling
damper shall be closed. This results in a snap-action switch in the damper
setpoint as indicated in the figures above.

c. When the Zone State is Heating, the Heating Loop output shall reset the
discharge airflow setpoint from the minimum to heating maximum setpoints.
The heating damper shall be modulated by a control loop to maintain the
measured discharge airflow at setpoint. The cooling damper shall be closed.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 87

This concludes the section where the airflow sensor configuration is selected.

When the sequences are complete, only one of subsection “1” and subsection
“2” above should remain. The other subsection should be deleted, along with
these flag notes.

3. Overriding above logic (to avoid backflow from one duct to the other)

a. If heating air handler is not proven on, the heating damper shall be closed.

b. If cooling air handler is not proven on, the cooling damper shall be closed.

F. Alarms

1. Low Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

2. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the maximum airflow setpoint, generate
a Level 3 alarm.

3. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the damper is proven on,
generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force zone airflow setpoint to Vheat-max

5. Force cooling damper full closed/open

6. Force heating damper full closed/open

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 88

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing A VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Cold Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. Heating SAT Reset Requests

a. If the zone temperature is below the zone’s heating setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature is below the zone’s heating setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 89

c. Else if the Heating Loop is greater than 95%, send 1 Request until the Heating
Loop is less than 85%,

d. Else if the Heating Loop is less than 95%, send 0 Requests

4. Hot Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

5. Heating Fan Requests. Send the heating fan that serves the zone a Heating Fan
Request as follows:

a. If the Heating Loop is greater than 15%, send 1 Request until the Heating Loop
is less than 1%

b. Else if the Heating Loop is less than 15%, send 0 Requests.

5.10 Dual Duct VAV Terminal Unit – Mixing Control with Inlet Airflow Sensors

Mixing Control logic is the preferred option for use with demand control ventilation. If
the box serves more than one room, it requires a DD box with mixing capability – a pair
of single-duct boxes strapped together with a common plenum will not work because the
discharge air will stratify rather than mix. However, if only a single room is served – as
is typical for a zone using DCV – then the room becomes the mixing box and this issue can
be disregarded.
This sequence utilizes two airflow sensors, one at each inlet. This eliminates the need for
a restriction at the discharge to facilitate flow measurement (and its associated pressure
drop). A discharge restriction may still be required for mixing; see previous paragraph.
When the majority of the airflow is through one duct, the airflow velocity in the other duct
may be too low to read and result in hunting at that damper. This is not a problem because
the absolute airflow in that duct will be too low for minor fluctuations to be detectable,
while the airflow in the dominant duct is sufficient to provide a clear velocity signal.
Because no cold duct air is supplied during most of the heating mode, the heating system
must include ventilation air either with direct outdoor air intake or indirectly via transfer
air from over-ventilated spaces on the same system. Refer to Standard 62.1-2016 and the
Standard 62.1-2016 User’s Manual.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 90

A. See Generic Thermal Zones (5.1T.1.b) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin, zone maximum cooling airflow
setpoint Vcool-max, and the zone maximum heating airflow setpoint Vheat-max.

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0
Heating
Vheat-max 0 0 Vheat-max Vheat-max 0
maximum

E. Control logic is depicted schematically in the figures below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied
Mode operation.

Cooling
Maximum

Heating
Maximum

Hot Duct Airflow

Cold Duct Airflow

Minimum Airflow
Setpoint

Heating Loop Signal Deadband Cooling Loop Signal

1. Temperature Control

a. When the Zone State is Cooling, the Cooling Loop output shall reset the cooling
supply airflow setpoint from minimum to the maximum cooling setpoint. The

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 91

cooling damper shall be modulated by a control loop to maintain the measured

cooling airflow at setpoint.

1) If cold deck supply air temperature from air handler is greater than room
temperature, cooling supply airflow setpoint shall be no higher than the
minimum.

b. When the Zone State is Deadband, the cooling airflow setpoint shall be the
minimum setpoint. The cooling damper shall be modulated by a control loop
to maintain the measured cooling airflow at setpoint. The heating damper shall
be closed.

The deadband airflow is maintained by the cooling damper since the cooling system has a
definite source of ventilation. With dual fan dual duct, the heating fan generally has no
direct ventilation source; typically, ventilation is indirect via return air from interior zones
that are over-ventilated due to the outdoor air economizer.

c. When the Zone State is Heating, the Heating Loop output shall reset the heating
supply airflow setpoint from zero to the maximum heating setpoint. The
heating damper shall be modulated by a control loop to maintain the measured
heating airflow at setpoint. The cooling damper shall be controlled to maintain
the sum of the measured inlet airflows at the minimum airflow setpoint.

1) If hot deck supply air temperature from air handler is less than room
temperature, heating supply airflow setpoint shall be no higher than the
minimum.

2. Overriding above logic (to avoid backflow from one duct to the other)

a. If heating air handler is not proven on, the heating damper shall be closed.

b. If cooling air handler is not proven on, the cooling damper shall be closed.

F. Alarms

1. Low Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 92

2. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the maximum airflow setpoint, generate
a Level 3 alarm.

3. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the damper is proven on,
generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force zone airflow setpoint to Vheat-max

5. Force cooling damper full closed/open

6. Force heating damper full closed/open

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 93

2. Cold Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. Heating SAT Reset Requests

a. If the zone temperature is below the zone’s heating setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature is below the zone’s heating setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Heating Loop is greater than 95%, send 1 Request until the Heating
Loop is less than 85%,

d. Else if the Heating Loop is less than 95%, send 0 Requests

4. Hot Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

5. Heating Fan Requests. Send the heating fan that serves the zone a Heating Fan
Request as follows:

a. If the Heating Loop is greater than 15%, send 1 Request until the Heating Loop
is less than 1%

b. Else if the Heating Loop is less than 15%, send 0 Requests.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 94

5.11 Dual Duct VAV Terminal Unit – Mixing Control with Discharge Airflow Sensor

Mixing Control logic is the preferred option for use with demand control ventilation. If
the box serves more than one room, it requires a DD box with mixing capability – a pair
of single-duct boxes strapped together with a common plenum will not work because the
discharge air will stratify rather than mix. However, if only a single room is served – as
is typical for a zone using DCV – then the room becomes the mixing box and this issue can
be disregarded.
This sequence utilizes a single airflow sensor at the discharge outlet. This requires a
restriction at the outlet to ensure that airflow velocity is high enough to measure, which
adds extra pressure drop. It is somewhat a legacy approach, from when adding a second
airflow sensor was much more expensive. As dual-airflow-sensor controllers are now
more common, the previous sequence (mixing control with inlet airflow sensors) is
generally preferred.
Because no cold duct air is supplied during heating mode, the heating system must include
ventilation air either with direct outdoor air intake or indirectly via transfer air from over-
ventilated spaces on the same system. Refer to Standard 62.1-2016 and the Standard 62.1-
2016 User’s Manual.

A. See Generic Thermal Zones (5.2) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin, zone maximum cooling airflow
setpoint Vcool-max, and the zone maximum heating airflow setpoint Vheat-max.

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0
Heating
Vheat-max 0 0 Vheat-max Vheat-max 0
maximum

E. Control logic is depicted schematically in the figures below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied
Mode operation.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 95

Cooling
Maximum

Heating
Maximum

Hot Duct Airflow

Cold Duct Airflow

Minimum Airflow
Setpoint

Heating Loop Signal Deadband Cooling Loop Signal

1. Temperature Control

Because there is only a single airflow sensor on the combined discharge, typical
pressure-independent control will not work for both dampers. Instead, the cooling
damper is controlled using pressure independent control while the heating damper
position equals the Heating loop signal (i.e., pressure dependent control).

a. When the Zone State is Cooling, the Cooling Loop output shall reset the cooling
supply airflow setpoint from minimum to the maximum cooling setpoint. The
cooling damper shall be modulated by a control loop to maintain the measured
cooling airflow at setpoint.

1) If cold deck supply air temperature from air handler is greater than room
temperature, cooling supply airflow setpoint shall be no higher than the
minimum.

b. When the Zone State is Deadband, the cooling airflow setpoint shall be the
minimum setpoint. The cooling damper shall be modulated by a control loop
to maintain the measured cooling airflow at setpoint. The heating damper shall
be closed.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 96

The deadband airflow is maintained by the cooling damper since the cooling
system has a definite source of ventilation. With dual fan dual duct, the heating
fan generally has no direct ventilation source; typically, ventilation is indirect
via return air from interior zones that are over-ventilated due to the outdoor
air economizer.

c. When the Zone State is Heating, the Heating Loop output shall be mapped to
the heating damper position. The cooling damper is modulated to maintain
measured discharge airflow at the minimum airflow setpoint.

1) If hot deck supply air temperature from air handler is less than room
temperature, heating damper shall be closed.

2) Maximum heating airflow shall be limited by a reverse-acting P-only loop

whose setpoint is Vheat-max and whose output is maximum heating damper
position ranging from 0% to 100%.

Since the heating damper is operating in a pressure-dependent manner, a

loop must be added to limit heating damper position to Vheat-max. When
this comes into play, the only air going through the discharge airflow
sensor is heating air.

2. Overriding above logic (to avoid backflow from one duct to the other)

a. If heating air handler is not proven on, the heating damper shall be closed.

b. If cooling air handler is not proven on, the cooling damper shall be closed.

F. Alarms

1. Low Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 97

2. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the maximum airflow setpoint, generate
a Level 3 alarm.

3. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the damper is proven on,
generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force zone airflow setpoint to Vheat-max

5. Force cooling damper full closed/open

6. Force heating damper full closed/open

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 98

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Cold Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. Heating SAT Reset Requests

a. If the zone temperature is below the zone’s heating setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature is below the zone’s heating setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Heating Loop is greater than 95%, send 1 Request until the Heating
Loop is less than 85%,

d. Else if the Heating Loop is less than 95%, send 0 Requests

4. Hot Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

5. Heating Fan Requests. Send the heating fan that serves the zone a Heating Fan
Request as follows:

a. If the Heating Loop is greater than 15%, send 1 Request until the Heating Loop
is less than 1%

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 99

b. Else if the Heating Loop is less than 15%, send 0 Requests.

5.12 Dual Duct VAV Terminal Unit – Cold Duct Minimum Control

Cold Duct Minimum Control logic is the most conventional but least efficient dual duct
control strategy. It assures ventilation rates without Standard 62.1-2016 “generalized
multiple spaces” considerations since only the cold duct has ventilation air with DFDD
systems.
This strategy utilizes dual airflow sensors, one at each inlet. It may be used with or without
demand control ventilation.
The designer must ensure that the minimum and heating maximum sum to less than the
cooling maximum to avoid over-supplying the diffusers.

A. See Generic Thermal Zones (5.2) for setpoints, loops, control modes, alarms, etc.

B. See 5.2B for calculation of zone minimum outdoor airflow.

C. See 3.1B.3 for zone minimum airflow setpoint Vmin, zone maximum cooling airflow
setpoint Vcool-max, and the zone maximum heating airflow setpoint Vheat-max.

D. Active maximum and minimum setpoints shall vary depending on the Mode of the
Zone Group the zone is a part of:

Setpoint Occupied Cool-down Setup Warmup Setback Unoccupied

Cooling
Vcool-max Vcool-max Vcool-max 0 0 0
maximum
Minimum Vmin* 0 0 0 0 0
Heating
Vheat-max 0 0 Vheat-max Vheat-max 0
maximum

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 100

E. Control logic is depicted schematically in the figures below and described in the
following sections. Relative levels of various setpoints are depicted for Occupied
Mode operation.

Cooling
Maximum

Heating
Maximum

Hot Duct Airflow

Cold Duct Airflow

Minimum Airflow
Setpoint

Heating Loop Signal Deadband Cooling Loop Signal

1. Temperature and Damper Control:

a. When the Zone State is Cooling, the Cooling Loop output shall reset the cooling
supply airflow setpoint from the minimum to cooling maximum setpoints. The
cooling damper shall be modulated by a control loop to maintain the measured
cooling airflow at setpoint. The heating damper shall be closed.

1) If cold deck supply air temperature from air handler is greater than room
temperature, cooling supply airflow setpoint shall be no higher than the
minimum.

b. When the Zone State is Deadband, the cooling airflow setpoint shall be the
minimum setpoint. The cooling damper shall be modulated by a control loop
to maintain the measured cooling airflow at setpoint. The heating damper shall
be closed.

c. When the Zone State is Heating,

1) The Heating Loop output shall reset the heating supply airflow setpoint
from zero to heating maximum setpoint. The heating damper shall be
modulated by a control loop to maintain the measured heating airflow at
setpoint.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 101

2) The cooling airflow setpoint shall be the minimum setpoint. The cooling
damper shall be modulated by a control loop to maintain the measured
cooling airflow at setpoint.

3) If hot deck supply air temperature from air handler is less than room
temperature, heating damper shall be closed.

2. Overriding above logic (to avoid backflow from one duct to the other)

a. If heating air handler is not proven on, the heating damper shall be closed.

b. If cooling air handler is not proven on, the cooling damper shall be closed.

F. Alarms

1. Low Airflow

a. If the measured airflow is less than 70% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 3 alarm.

b. If the measured airflow is less than 50% of setpoint for 5 minutes while setpoint
is greater than zero, generate a Level 2 alarm.

c. If a zone has an Importance multiplier of 0 [see 5.1N.2.a.1)] for its static

pressure reset Trim & Respond control loop, low airflow alarms shall be
suppressed for that zone.

2. Airflow sensor calibration. If the fan serving the zone has been off for 10 minutes
and airflow sensor reading is above 5% of the maximum airflow setpoint, generate
a Level 3 alarm.

3. Leaking damper. If the damper position is 0% for 10 minutes and airflow sensor
reading is above 24 lps (50 cfm) while the fan serving the damper is proven on,
generate a Level 4 alarm.

G. Testing/Commissioning Overrides: Provide software switches that interlock to a

system level point to

1. Force zone airflow setpoint to zero

2. Force zone airflow setpoint to Vcool-max

3. Force zone airflow setpoint to Vmin

4. Force zone airflow setpoint to Vheat-max

5. Force cooling damper full closed/open

6. Force heating damper full closed/open

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 102

7. Reset request-hours accumulator point to zero (provide one point for each reset type
listed below)

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

H. System Requests

1. Cooling SAT Reset Requests

a. If the zone temperature exceeds the zone’s cooling setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature exceeds the zone’s cooling setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

c. Else if the Cooling Loop is greater than 95%, send 1 Request until the Cooling
Loop is less than 85%,

d. Else if the Cooling Loop is less than 95%, send 0 Requests

2. Cold Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

3. Heating SAT Reset Requests

a. If the zone temperature is below the zone’s heating setpoint by 2.8°C (5°F) for
2 minutes and after suppression period due to setpoint change per 5.1T, send 3
Requests,

b. Else if the zone temperature is below the zone’s heating setpoint by 1.7°C (3°F)
for 2 minutes and after suppression period due to setpoint change per 5.1T, send
2 Requests,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 103

c. Else if the Heating Loop is greater than 95%, send 1 Request until the Heating
Loop is less than 85%,

d. Else if the Heating Loop is less than 95%, send 0 Requests

4. Hot Duct Static Pressure Reset Requests

a. If the measured airflow is less than 50% of setpoint while setpoint is greater
than zero for 1 minute, send 3 Requests,

b. Else if the measured airflow is less than 70% of setpoint while setpoint is greater
than zero for 1 minute, send 2 Requests,

c. Else if the Damper position is greater than 95%, send 1 Request until the
Damper position is less than 85%,

d. Else if the Damper position is less than 95%, send 0 Requests

5. Heating Fan Requests. Send the heating fan that serves the zone a Heating Fan
Request as follows:

a. If the Heating Loop is greater than 15%, send 1 Request until the Heating Loop
is less than 1%

b. Else if the Heating Loop is less than 15%, send 0 Requests.

5.13 Air Handling Unit System Modes

A. AHU system Modes are the same as the Mode of the Zone Group served by the system.
When Zone Group served by an air handling system are in different modes, the
following hierarchy applies (highest one sets AHU mode).

1. Occupied Mode

2. Cool-down Mode

3. Setup Mode

4. Warmup Mode

5. Setback Mode

6. Freeze Protection Setback Mode

7. Unoccupied Mode

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 104

5.14 Multiple Zone VAV Air Handling Unit

This section applies primarily to a cooling VAV air handling system. It can be adapted to apply
to a heating air handler serving a dual duct VAV system by editing out logic that does not apply
and by adjusting supply air temperature setpoints.

A. Supply Fan Control

1. Supply Fan Start/Stop

a. Supply fan shall run when system is in the Cool-down Mode, Setup Mode, or
Occupied Mode.

b. If there are any VAV-reheat boxes on perimeter zones, supply fan shall also run
when system is in Setback Mode or Warmup Mode (i.e., all Modes except
Unoccupied).

Delete the following paragraph if air handler serves dual duct boxes that do not
have hot duct inlet airflow sensors, i.e., those that have only a box discharge
airflow sensor. This paragraph may also be deleted if there is a supply AFMS.
c. Totalize current airflow rate from VAV boxes to a software point, Vps.

VAV box airflow rates are summed to get overall supply air rate without the
need for an airflow measuring station at the air handler discharge. This is used
for ventilation rate calculations and may also be used for display and
diagnostics.

2. Static Pressure Setpoint Reset

a. Static pressure setpoint: Setpoint shall be reset using Trim & Respond logic
[see 5.1N] using the following parameters:

Variable Value
Device Supply Fan
SP0 120 Pa. (0.5 inches)
SPmin 25 Pa. (0.1 inches)
SPmax Max_DSP
(See 3.2A.1)
Td 10 minutes
T 2 minutes
I 2
R Zone Static Pressure
Reset Requests
SPtrim -12 Pa (-0.05 inches)
SPres 15 Pa (+0.06 inches)
SPres-max 32 Pa (+0.13 inches)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 105

The trim & respond reset parameters above are suggested as a starting place;
they will most likely require adjustment during the commissioning/tuning
phase.

3. Static Pressure Control

a. Supply fan speed is controlled to maintain duct static pressure at setpoint when
the fan is proven on. Where the Zone Groups served by the system are small,
provide multiple sets of gains that are used in the control loop as a function of
a load indicator (such as supply fan airflow rate, the area of the Zone Groups
that are occupied, etc.).

High pressure trips may occur if all VAV boxes are closed (as in Unoccupied
Mode) or if fire/smoke dampers are closed (in some FSD designs, the dampers
are interlocked to the fan status rather than being controlled by smoke
detectors). Multiple sets of gains are used to provide control loop stability as
system characteristics change.

B. Supply Air Temperature Control

1. Control loop is enabled when the supply air fan is proven on and disabled and
output set to Deadband (no heating, minimum economizer) otherwise.

2. Supply Air Temperature Setpoint

The default range of outdoor air temperatures [21°C (70°F) – 16°C (60°F)] used
to reset the Occupied Mode SAT setpoint was chosen to maximize economizer
hours. It may be preferable to use a lower range of OATs [e.g., 18°C (65°F) –
13°C (55°F)] to minimize fan energy if:
• There is a 24/7 chiller plant that is running anyway
• Reheat is minimized, as in a VAV dual-fan, dual-duct system
• The climate severely limits the number of available economizer hours
If using this logic, the engineer should oversize interior zones and rooms with high
cooling loads (design them to be satisfied by the warmest SAT) so these zones don’t
drive the T&R block to the minimum SAT setpoint.

a. See 3.1D.1 for Min_SAT, Max_SAT, OAT_Min, and OAT_Max setpoints.

b. During Occupied Mode and Setup Mode: Setpoint shall be reset from
Min_SAT when the outdoor air temperature is OAT_Max and above,
proportionally up to T-max when the outdoor air temperature is OAT_Min and
below.

1) T-max shall be reset using Trim & Respond logic [see 5.1N] between
Min_SAT and Max_SAT. The following parameters are suggested as a

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 106

starting place, but they will require adjustment during the

commissioning/tuning phase:

Variable Value
Device AHU Supply Fan
SP0 SPmax
SPmin Min_SAT
SPmax Max_SAT
Td 10 minutes
T 2 minutes
I 2
R Zone Cooling SAT
Requests
SPtrim +0.1°C (+0.2ºF)
SPres -0.2°C (-0.3ºF)
SPres-max -0.6°C (-1.0ºF)

The net result of this SAT reset strategy is depicted in the chart below
for Min_SAT = 12°C (53°F), Max_SAT = 18°C (65°F),
OAT_Max=21°C (70°F), and OAT_Min = 16°C (60°F):

T-max with
no requests
Max_SAT
18°C (65°F)
SAT Setpoint

T-max with
Min_SAT
many requests
12°C (53°F)
OAT_Min OAT_Max
16°C (60°F) Outdoor Air Temperature 21°C (70°F)

The trim & respond reset parameters above are suggested as a starting
place; they will most likely require adjustment during the
commissioning/tuning phase.

c. During Cool-Down Mode: Setpoint shall be Min_SAT.

d. During Warmup and Setback Modes: Setpoint shall be 35°C (95°F).

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 107

Raising the SAT setpoint in warmup will effectively lock out the economizer and
cooling coil, which is desirable for warmup even if there is no heating coil at
the AHU to meet the higher SAT.
This does not apply in the case of a DFDD AHU, or if all the zones are equipped
with fan-powered boxes such that the AHU is off in warmup and setback.

3. Supply air temperature shall be controlled to setpoint using a control loop whose
output is mapped to sequence the hot water valve or modulating electric heating
coil (if applicable), outdoor air damper, return air damper, and chilled water valve
as shown in the diagram below.

a. Economizer damper maximum (MaxOA-P) position is limited for economizer

high limit lockout [see 5.14G.1].

The engineer must specify whether minimum outdoor air and economizer
functions utilize separate dedicated dampers or a single common damper.

If there are separate dedicated dampers, keep subsection “b” and delete
subsection “c.”

If there is a single common damper, keep subsection “c” and delete

subsection “b.”

Note that a single common damper requires an outdoor air AFMS. It is not a
valid choice if minimum outdoor air control is being done by differential
pressure [i.e., if 5.14C.3 is being used].

Delete this flag note after selection has been made.

b. For units with a separate minimum outdoor air damper: MinOA-P is 0% and
MaxRA-P is modulated to control minimum outdoor air volume [see 5.14C.3
and 5.14D].

c. For units with a single common minimum outdoor air and economizer damper:
MaxRA-P and MinOA-P are modulated to control minimum outdoor air
volume [see 5.14E].

d. The points of transition along the x-axis shown and described below are
representative. Separate gains shall be provided for each section of the control
map (hot water, economizer, chilled water) that are determined by the
contractor to provide stable control. Alternatively, contractor shall adjust the
precise value of the x-axis thresholds shown in the figure to provide stable
control.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 108

MaxOA-P
100% MaxRA-P
Economizer
Damper/valve Position, % open
Return Air Outdoor Air
Damper Damper Position
Position

HW Valve Return Air

Damper Position

Economizer
Outdoor Air
Damper CHW Valve
Position
MinOA-P
0%
Supply Air Temperature Control Loop Signal

Outdoor air and return air dampers are sequenced rather than complementary (as
per traditional sequences) to reduce fan power at part loads.

C. Minimum Outdoor Airflow Setpoints

The engineer must select between options for determining the outdoor airflow
setpoint based on the ventilation logic being used.

The following section “1” should be used for ventilation logic that complies with
Standard 62. If instead the project is to comply with California Title 24
ventilation requirements, delete subsection “1” and use subsection “2.”

1. Outdoor airflow setpoint, for ASHRAE Standard 62.1-2016 ventilation:

CO2 DCV at the system level is not yet implemented for Standard 62.1
compliance pending results of RP-1747

a. See 5.2B.3 for zone outdoor air requirement Voz.

b. See 3.1D.2.a for setpoints DesVou and DesVot.

The following logic solves the Standard 62.1 Multiple Spaces Equation
dynamically. This is required prescriptively by Standard 90.1 for single
duct VAV systems. The logic does not strictly apply to VAV systems with
multiple recirculation paths, such as dual fan/dual duct and systems with
fan-powered terminals, nor is it required by Standard 90.1 for these
systems. Logic for dynamic reset for these systems has yet to be developed.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 109

c. Outdoor air absolute minimum and design minimum setpoints are recalculated
continuously based on the Mode of the zones being served.

Some diversity factor is included in Vou calculated below because the

ventilation requirements have been zeroed out for unoccupied zones and
those with open window switches. But there is additional diversity in areas
with occupancy sensors because only one person in the room will trigger
the sensor. There is also diversity in other areas without occupancy
sensors. Hence, operating Vou is limited to design Vou, and the diversity
value of D in the calculation of DesVou is not required.

1) Calculate the uncorrected outdoor air rate Vou for all zones in all Zone
Groups that are in Occupied Mode, but note that Vou shall be no larger than
the design uncorrected outdoor air rate, DesVou.

MIN DesV | ∑ ∑

2) Vps is the sum of the zone primary airflow rates, Vpz, as measured by VAV
boxes for all zones in all Zone Groups that are in Occupied Mode.

3) For each zone in Occupied Mode, calculate the zone primary outdoor air
fraction Zpz:
Zpz = Voz / Vpz
See ASHRAE Guideline 13 for best practices in locating programming
logic for the zone primary outdoor air fraction calculation based on
network architecture.
4) Calculate the maximum zone outdoor air fraction, Zp:
Zp = MAX(Zpz)
5) Calculate the current system ventilation efficiency Ev:
Ev = 1 + (Vou / Vps) - Zp
6) Calculate the effective minimum outdoor air setpoint MinOAsp as the
uncorrected outdoor air intake divided by the system ventilation efficiency,
but no larger than the design total outdoor air rate, DesVot:
V
MinOAsp MIN DesV
E

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 110

The following section “2” should be used for ventilation logic that
complies with California Title 24. If instead the project is to comply with
Standard 62.1 ventilation requirements, delete subsection “2” and use
subsection “1.”

2. Outdoor airflow setpoint, for California Title 24 ventilation:

a. See 5.2B.5.b for zone outdoor air rates Zone-Abs-OA-min and

Zone-Des-OA-min.

b. See 3.1D.2.b for setpoints AbsMinOA and DesMinOA:

c. Effective outdoor air absolute minimum and design minimum setpoints are
recalculated continuously based on the Mode of the zones being served.

1) AbsMinOA* is the sum of Zone-Abs-OA-min for all zones in all Zone

Groups that are in Occupied Mode but shall be no larger than the absolute
minimum outdoor airflow, AbsMinOA.

2) DesMinOA* is the sum of Zone-Des-OA-min for all zones in all Zone

Groups that are in Occupied Mode but shall be no larger than the design
minimum outdoor airflow, DesMinOA.

This concludes the section where the method for determining the outdoor
airflow setpoint is selected.

When the sequences are complete, only one of subsection “1” or subsection “2”
above should remain. The other subsection should be deleted, along with these
flag notes.

The engineer must select among options for minimum outdoor air control logic.
This decision is based on two criteria:
 Do the minimum outdoor air and economizer functions utilize separate
dedicated dampers or a single common damper?
 Is outdoor air volume measured by differential pressure (ΔP) or an airflow
measurement station (AFMS)?

Control logic selections should be made as follows:

 For AHUs with separate dedicated dampers and OA measurement by ΔP,
use section “Error! Reference source not found.” and delete sections “D” and
“E.”

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 111

 For AHUs with separate dedicated dampers and OA measurement by

AFMS, use section “D” and delete sections “Error! Reference source not
found.” and “E.”
 For AHUs with a single common damper and OA measurement by AFMS,
use section “E” and delete sections “Error! Reference source not found.” and
“D.”
 AHUs with a single common damper and OA measurement by ΔP are not
supported because OA measurements are not accurate in this configuration.
Demand control ventilation is supported in all three options but only for Title
24 ventilation.

3. Minimum Outdoor Air Control with a separate minimum outdoor air damper and
differential pressure control

The engineer must select between ventilation logic options:

The following section “a” should be used for ventilation logic which
complies with Standard 62.1. If instead the project is to comply with
California Title 24 ventilation requirements, delete subsection “a” and
use subsection “4.”

a. DP setpoint, for ASHRAE Standard 62.1 ventilation:

b. See 3.2A.5 for design OA DP setpoints.

c. See 5.14C.1 for calculation of current outdoor air setpoint, MinOAsp.

d. OA DP Setpoint (MinDPsp): The minimum outdoor air DP setpoint MinDPsp

shall be calculated as

MinOAsp
MinDPsp DesMinDP
Des

The following section “4” should be used for ventilation logic that
complies with California Title 24. If instead the project is to comply with
Standard 62.1 ventilation requirements, delete subsection “4” and use
subsection “a.”

4. DP setpoint, for California Title 24 ventilation:

a. See 3.2A.5 for design OA DP setpoints.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 112

b. See 5.14C.2.c for calculation of current setpoints, AbsMinOA* and

DesMinOA*.

c. See zone CO2 control logic under terminal unit sequences.

d. The active minimum differential pressure setpoints, AbsDPsp* and DesDPsp*,

shall be determined by the equations below:

AbsMinOA*
AbsDPsp* AbsMinDP
AbsMinOA
DesMinOA*
DesDPsp* DesMinDP
DesMinOA

This equation prevents excess outdoor air from being supplied during periods
of partial occupancy.

e. The minimum outdoor air DP setpoint (MinDPsp) shall be reset based on the
highest zone CO2 control loop signal from AbsDPsp* at 50% signal to
DesDPsp* at 100% signal.

f. The minimum outdoor air setpoint (MinOAsp) shall be reset based on the
highest zone CO2 control loop signal from AbsMinOA* at 50% signal to
DesMinOA* at 100% signal.

This concludes the section where the ventilation logic option is selected.

When the sequences are complete, only one of subsection “a” and
subsection “b” above should remain. The other subsection should be
deleted, along with these flag notes.
5. Open minimum outdoor air damper when the supply air fan is proven on and the
system is in Occupied Mode and MinDPsp is greater than zero. Damper shall be
closed otherwise.

6. Return air dampers

a. Return air damper minimum outdoor air control is enabled when the minimum
outdoor air damper is open and the economizer outdoor air damper is less than
MOA-P where MOA-P is 5% when supply fan speed is at 100% design speed
proportionally up to 80% when the fan is at minimum speed.

b. Return air damper minimum outdoor air control is disabled when the minimum
outdoor air damper is closed or the economizer outdoor air damper is 10%
above MOA-P determined above.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 113

c. When enabled, the maximum RA damper setpoint, MaxRA-P, is modulated

from 100% to 0% to maintain differential pressure across the minimum outdoor
air damper at setpoint, MinDPsp.

The economizer outdoor air damper enabling setpoint assumes the minimum
outdoor air can be maintained by a combination of outdoor air coming through
the economizer outdoor air damper as well as the minimum outdoor air damper.
Higher damper position setpoints ensure minimum outdoor airflow will be
maintained but at the expense of fan energy. These setpoints could also be
determined empirically during TAB work as well.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 114

The engineer must select among options for minimum outdoor air control logic.
This decision is based on two criteria:
 Do the minimum outdoor air and economizer functions utilize separate
dedicated dampers or a single common damper?
 Is outdoor air volume measured by differential pressure (ΔP) or an airflow
measurement station (AFMS)?

Control logic selections should be made as follows:

 For AHUs with separate dedicated dampers and OA measurement by ΔP,
use section “Error! Reference source not found.” and delete sections “D” and
“E.”
 For AHUs with separate dedicated dampers and OA measurement by
AFMS, use section “D” and delete sections “Error! Reference source not
found.” and “E.”
 For AHUs with a single common damper and OA measurement by AFMS,
use section “E” and delete sections “Error! Reference source not found.” and
“D.”
 AHUs with a single common damper and OA measurement by ΔP are not
supported because OA measurements are not accurate in this configuration.
Demand control ventilation is supported in all three options but only for Title
24 ventilation. DCV has not yet been implemented for Standard 62.1.

D. Minimum Outdoor Air Control with a separate minimum outdoor air damper and
airflow measurement

The engineer must select between ventilation logic options:

The following section “1” should be used for ventilation logic that
complies with Standard 62. If instead the project is to comply with
California Title 24 ventilation requirements, delete subsection “1” and
use subsection “2.”

1. Outdoor airflow setpoint, for ASHRAE Standard 62.1-2016 ventilation:

a. See 5.14C.1 for calculation of current outdoor air setpoint, MinOAsp.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 115

The following section “2” should be used for ventilation logic that
complies with California Title 24. If instead the project is to comply with
Standard 62.1 ventilation requirements, delete subsection “2” and use
subsection “1.”

2. Outdoor airflow setpoint, for California Title 24 ventilation:

a. See 5.14C.2.c for calculation of current setpoints, AbsMinOA* and

DesMinOA*.

b. See zone CO2 control logic under terminal unit sequences.

c. The minimum outdoor air setpoint MinOAsp shall be reset based on the highest
zone CO2 control loop signal from AbsMinOA* at 50% signal to DesMinOA*
at 100% signal.

This concludes the section where the ventilation logic option is selected.

When the sequences are complete, only one of subsection “1” and
subsection “2” above should remain. The other subsection should be
deleted, along with these flag notes.

3. Minimum Outdoor Air Control Loop

1) Minimum outdoor air control loop is enabled when the supply fan is proven
on and in Occupied Mode and disabled and output set to zero otherwise.

b. The minimum outdoor airflow rate shall be maintained at the minimum outdoor
air setpoint MinOAsp by a reverse-acting control loop whose output is 0-100%.
From 0% to 50% loop output, the minimum outdoor air damper is opened from
0% to 100%.

c. Return air dampers

1) Return air damper minimum outdoor air control is enabled when the
minimum outdoor air damper is 100% open and the economizer outdoor air
damper is less than MOA-P where MOA-P is 5% when supply fan speed is
at 100% design speed proportionally up to 80% when the fan is at minimum
speed.

The economizer outdoor air damper enabling setpoint assumes the

minimum outdoor air can be maintained by a combination of outdoor air
coming through the economizer outdoor air damper as well as the minimum
outdoor air damper. Higher damper position setpoints ensure minimum

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 116

outdoor airflow will be maintained but at the expense of fan energy. These
setpoints could also be determined empirically during TAB work as well.

2) Return air damper minimum outdoor air control is disabled when the
minimum outdoor air damper is less than 100% open or the economizer
outdoor air damper is 10% above MOA-P determined above.

3) When enabled, the maximum RA damper setpoint, MaxRA-P, is reduced

from 100% to 0% as the minimum outdoor air loop output rises from 50%
to 100%.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 117

The engineer must select among options for minimum outdoor air control logic.
This decision is based on two criteria:
 Do the minimum outdoor air and economizer functions utilize separate
dedicated dampers or a single common damper?
 Is outdoor air volume measured by differential pressure (ΔP) or an airflow
measurement station (AFMS)?

Control logic selections should be made as follows:

 For AHUs with separate dedicated dampers and OA measurement by ΔP,
use section “Error! Reference source not found.” and delete sections “D” and
“E.”
 For AHUs with separate dedicated dampers and OA measurement by
AFMS, use section “D” and delete sections “Error! Reference source not
found.” and “E.”
 For AHUs with a single common damper and OA measurement by AFMS,
use section “E” and delete sections “Error! Reference source not found.” and
“D.”
 AHUs with a single common damper and OA measurement by ΔP are not
supported because OA measurements are not accurate in this configuration.
Demand control ventilation is supported in for all three options but only for
Title 24 ventilation.

E. Minimum Outdoor Air Control with a single common damper for minimum outdoor
air and economizer functions, and airflow measurement

The engineer must select between ventilation logic options:

The following section “1” should be used for ventilation logic that
complies with Standard 62.1. If instead the project is to comply with
California Title 24 ventilation requirements, delete subsection “1” and
use subsection “2.”

1. Outdoor airflow setpoint, for ASHRAE Standard 62.1-2016 ventilation:

a. See 5.14C.1 for calculation of current outdoor air setpoint, MinOAsp.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 118

The following section “2” should be used for ventilation logic that
complies with California Title 24. If instead the project is to comply with
Standard 62.1 ventilation requirements, delete subsection “2” and use
subsection “1.”

2. Outdoor airflow setpoint, for California Title 24 ventilation:

a. See 5.14C.2.c for calculation of current setpoints, AbsMinOA* and

DesMinOA*.

b. See zone CO2 control logic under terminal unit sequences.

c. The minimum outdoor air setpoint MinOAsp shall be reset based on the highest
zone CO2 control loop signal from AbsMinOA* at 50% signal to DesMinOA*
at 100% signal.

This concludes the section where the ventilation logic option is selected.

When the sequences are complete, only one of subsection “1” and
subsection “2” above should remain. The other subsection should be
deleted, along with these flag notes.

3. Minimum Outdoor Air Control Loop

a. Minimum outdoor air control loop is enabled when the supply fan is proven on
and the AHU is in Occupied Mode and disabled and output set to zero
otherwise.

b. The outdoor airflow rate shall be maintained at the minimum outdoor air
setpoint MinOAsp by a reverse-acting control loop whose output is mapped to
economizer damper minimum position, MinOA-P, and return air damper
maximum position, MaxRA-P, as indicated in the figure below.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 119

100%
MaxRA-P MinOA-P

MinOA-P

Damper Position, % open

MaxRA-P

0%
0% 50%
Outdoor Airflow Control Loop Output

This concludes the section where the minimum outdoor air control logic is
selected.
When the sequences are complete, only one of section “Error! Reference source
not found.,” section “D,” and section “E” above should remain. The other two
sections should be deleted, along with these flag notes.

F. Economizer High Limit Lockout

1. The normal sequencing of the economizer dampers (above) shall be disabled in

accordance with 5.1Q.

2. When economizer is enabled, MaxOA-P = 100%.

3. Once the economizer is disabled, it shall not be re-enabled within 10 minutes, and
vice versa.

4. When the economizer is disabled:

a. Return air damper shall be fully opened

b. Wait 15 seconds, then set MaxOA-P equal to MinOA-P.

c. Wait 3 minutes, then release return air damper for minimum outdoor air control.

The return air damper is at first opened to avoid drawing the mixing plenum too
negative.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 120

The three-minute delay is because the minimum OA damper may be pressure

controlled. In that case, delay allows time for the plenum pressure to stabilize, so
that the return damper loop becomes unstable chasing a fluctuating pressure
reading.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 121

The engineer must select among control logic options for return/relief/exhaust.
This decision is based on the AHU configuration.

Control logic selections should be made as follows:

 For AHUs using actuated relief dampers without a fan, use section “G” and
delete sections “H,” “I,” and “J.”
 For AHUs using actuated relief dampers with relief fan(s), use section “H”
above and delete sections “G,” “I,” and “J.”
 For AHUs using a return fan with direct building pressure control, use
section “I” and delete sections “G,” “H,” and “J.”
 For AHUs using a return fan with airflow tracking control, use section “J”
below and delete sections “G,” “H,” and “I.”
 For AHUs using non-actuated barometric relief only, delete all four sections
“G,” “H,” “I,” and “J.”
A building pressure sensor is required for options “G,” “H,” and “I.”

G. Control of Actuated Relief Dampers without Fans

1. Relief dampers shall be enabled when the associated supply fan is proven on, and
disabled otherwise.

2. When enabled, use a P-only control loop to modulate relief dampers to maintain
0.05” building static pressure. Close damper when disabled.

The engineer must select among control logic options for return/relief/exhaust.
This decision is based on the AHU configuration.

Control logic selections should be made as follows:

 For AHUs using actuated relief dampers without a fan, use section “G” and
delete sections “H,” “I,” and “J.”
 For AHUs using actuated relief dampers with relief fan(s), use section “H”
above and delete sections “G,” “I,” and “J.”
 For AHUs using a return fan with direct building pressure control, use
section “I” and delete sections “G,” “H,” and “J.”
 For AHUs using a return fan with airflow tracking control, use section “J”
below and delete sections “G,” “H,” and I.”
 For AHUs using non-actuated barometric relief only, delete all four sections
“G,” “H,” “I,” and “J.”
A building pressure sensor is required for options “G,” “H,” and “I.”
H. Relief Fan Control

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 122

Relief fans are enabled and disabled with their associated supply fans, but all relief
fans that are running, and serve a common volume of space, run at the same speed.
All operating relief fans that serve a common/shared air volume shall be controlled
as if they were one system, running at the same speed and using the same control
loop, even if they are associated with different air handling units.
This prevents relief fans from fighting each other, which can lead to flow reversal
or space pressurization problems.
The appropriate boundaries between relief systems, establishing which relief fans
run together, will need to be determined by the engineer, based on building
geometry.

1. All operating relief fans that serve a common/shared air volume shall be grouped
and controlled as if they were one system, running at the same speed and using the
same control loop, even if they are associated with different air handling units.

2. A relief fan shall be enabled when its associated supply fan is proven on and shall
be disabled otherwise.

3. Building static pressure shall be time averaged with a sliding 5-minute window and
15 second sampling rate (to dampen fluctuations). The averaged value shall be that
displayed and used for control.

4. A P-only control loop maintains the building pressure at a setpoint of 0.05 inches
with an output ranging from 0 to 100%. The loop is disabled and output set to zero
when all fans in the relief system group are disabled.

The following is intended to use barometric relief as the first stage and then maintain
many fans on at low speed to minimize noise and reduce losses through discharge
dampers and louvers. Fans are staged off only when minimum speed is reached.
For best results, fan speed minimums should be set as low as possible.

5. Fan speed signal to all operating fans in the relief system group shall be the same
and shall be equal to the PID signal but no less than the minimum speed. Except
for Stage 0, discharge dampers of all relief fans shall be open only when fan is
commanded on.

a. Stage 0 (barometric relief): When relief system is enabled and the control loop
output is above 5%, open the motorized dampers to all relief fans serving the
relief system group that are enabled; close the dampers when the loop output
drops to 0% for 5 minutes.

b. Stage Up: When control loop is above minimum speed plus 15%, start Stage
Up Timer. Each time Timer reaches 7 minutes, start next relief fan (and open
associated damper) in the relief system group per staging order and reset Timer
to 0. Timer is reset to 0 and frozen if control loop is below minimum speed
plus 15%. Note: when staging from Stage 0 (no relief fans) to Stage 1 (one

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 123

relief fan), the discharge dampers of all non-operating relief fans must be
closed.

c. Stage Down: When PID loop is below minimum speed then start Stage Down
Timer. Each time Timer reaches 5 minutes, shut off lag fan per staging order
and reset Timer to 0. Timer is reset to 0 and frozen if PID loop rises above
minimum speed or all fans are off. If all fans are off, go to Stage 0 (all dampers
open and all fans off).

6. For fans in a Level 2 alarm and status is off, discharge damper shall be closed when
stage is above Stage 0.

The engineer must select among control logic options for return/relief/exhaust.
This decision is based on the AHU configuration.

Control logic selections should be made as follows:

 For AHUs using actuated relief dampers without a fan, use section “G” and
delete section “H,” “I,” and “J.”
 For AHUs using actuated relief dampers with relief fan(s), use section “H”
above and delete section “G,” “I,” and “J.”
 For AHUs using a return fan with direct building pressure control, use
section “I” delete section “G,” “H,” and “J.”
 For AHUs using a return fan with airflow tracking control, use section “J”
below and delete sections “G,” “H,” and I.”
 For AHUs using non-actuated barometric relief only, delete all four sections
“G,” “H,” “I,” and “J.”
A building pressure sensor is required for options “G,” “H,” and “I.”

I. Return Fan Control – Direct Building Pressure

1. Return fan operates whenever associated supply fan is proven on and shall be off
otherwise.

2. Return fans shall be controlled to maintain return fan discharge static pressure at
setpoint (see below).

3. Exhaust dampers shall only be enabled when the associated supply and return fans
are proven on and the minimum outdoor air damper is open. The exhaust dampers
shall be closed when disabled.

4. Building static pressure shall be time averaged with a sliding 5-minute window (to
dampen fluctuations). The averaged value shall be that displayed and used for
control.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 124

Due the potential for interaction between the building pressurization and return
fan control loops, extra care must be taken in selecting the control loop gains. To
prevent excessive control loop interaction, the closed loop response time of the
building pressurization loop should not exceed 1/5 the closed loop response time
of the return fan control loop. This can be accomplished by decreasing the gain of
the building pressurization control loop.

5. When exhaust dampers are enabled, a control loop shall modulate exhaust dampers
in sequence with the return fan static pressure setpoint as shown in the figure below
to maintain the building pressure at a setpoint of 12 Pa (0.05 inches).
100% RFDSPmax
Damper Position, % open

RF DP setpoint
Relief/exhaust air
Damper RF DP setpoint

0%
RFDSPmin

Building Pressure Control Loop Output Signal

a. From 0% - 50%, the building pressure control loop shall modulate the exhaust
dampers from 0% to 100% open.

b. From 51% - 100%, the building pressure control loop shall reset the return fan
discharge static pressure setpoint from RFDSPmin at 50% loop output to
RFDSPmax at 100% of loop output. See 3.2A.4 for RFDSPmin and
RFDSPmax.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 125

The engineer must select among control logic options for return/relief/exhaust.
This decision is based on the AHU configuration.

Control logic selections should be made as follows:

 For AHUs using actuated relief dampers without a fan, use section “G” and
delete sections “H,” “I,” and “J.”
 For AHUs using actuated relief dampers with relief fan(s), use section “H”
above and delete sections “G,” “I,” and “J.”
 For AHUs using a return fan with direct building pressure control, use
section “I” and delete sections “G,” “H,” and “J.”
 For AHUs using a return fan with airflow tracking control, use section “J”
below and delete sections “G,” “H,” and I.”
 For AHUs using non-actuated barometric relief only, delete all four sections
“G,” “H,” “I,” and “J.”
A building pressure sensor is required for options “G,” “H,” and “I.”

J. Return Fan Control – Airflow Tracking

1. Return fan operates whenever associated supply fan is proven on.

2. Return fan speed shall be controlled to maintain return airflow equal to supply
airflow less differential S-R-DIFF determined per 3.2A.5.

Airflow tracking requires a measurement of supply airflow and return airflow. The
figure in 1.1A shows AFMS at both fans. These are actually not mandatory, although
they may improve accuracy if properly installed. The supply airflow can be calculated
by summing VAV box airflow rates. Return airflow can be approximated by return fan
speed if there are no dampers in the return air path (the geometry of the return air
system must be static for speed to track airflow.)

S-R-DIFF is determined empirically during TAB phase. If there are intermittent or

variable flow exhaust fans, this setpoint should be dynamically adjusted based on
exhaust fan status or airflow/speed.

This concludes the section where the control logic for return/relief/exhaust is
selected.

When the sequences are complete, at most, one of sections “G,” “H,” “I,” and
“J” should remain. If relief is barometric (without actuators) only, then all four
subsections should be deleted. Delete these flag notes after the decision has been
made.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 126

There are three stages of freeze protection. The first stage modulates the heating valve
to maintain a safe SAT. The second stage eliminates outdoor air ventilation, in case
heating is not available for whatever reason. The third stage shuts down the unit and
activates coil valves and pumps to circulate water, in case the second stage does not
work (e.g. stuck economizer damper).

If a freezestat is present, it may be hardwired to perform some or all of these

functions. In that case, delete those functions from sequence logic in section
“K,” but maintain the alarms. Delete this flag note when sequences are
complete.

K. Freeze Protection

There are three stages of freeze protection. The first stage modulates the heating valve
to maintain a safe SAT. The second stage eliminates outdoor air ventilation, in case
heating is not available for whatever reason. The third stage shuts down the unit and
activates coil valves and pumps to circulate water, in case the second stage does not
work (e.g., stuck economizer damper).

1. If the supply air temperature drops below 4.4°C (40°F) for 5 minutes, send two (or
more, as required to ensure that heating plant is active) Boiler Plant Requests,
override the outdoor air damper to the minimum position and modulate the heating
coil to maintain a supply air temperature of at least 5.6°C (42°F). Disable this
function when supply air temperature rises above 7.2°C (45°F) for 5 minutes.

The first stage of freeze protection locks out the economizer. Most likely this has
already occurred by this time, but this logic provides insurance.

2. If the supply air temperature drops below 3.3°C (38°F) for 5 minutes, fully close
both the economizer damper and the minimum outdoor air damper for one hour,
and set a Level 3 alarm noting that minimum ventilation was interrupted. After one
hour, the unit shall resume minimum outdoor air ventilation and enter the previous
stage of freeze protection (see 5.14K.1).

A timer is used (rather than an OAT threshold) to exit the second stage of freeze
protection because a bad OAT sensor could lock out ventilation indefinitely, while
a timer should just work and thus avoid problems with the unit getting “stuck” in
this mode with no ventilation.
Upon timer expiration, the unit will re-enter the previous stage of freeze protection
(minOA ventilation, with heating to maintain SAT of 5.6°C (42°F)), after which one
of three possibilities will occur:
1) If it is warm enough that the SAT rises above 7.2°C (45°F) with minimum
ventilation, the unit will remain in Stage “a” freeze protection for five minutes,
then resume normal operation.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 127

2) If it is cold enough that SAT remains between 3.3°C (38°F) and 7.2°C (45°F)
with heating and minimum ventilation, the unit will remain in Stage “a” freeze
protection indefinitely, until outdoor conditions warm up.
3) If it is so cold that SAT is less than 3.3°F (38°F) with minimum ventilation,
despite heating, then the unit will revert to Stage “b” freeze protection, where it
will remain for one hour. This process will then repeat.

3. Upon signal from the freezestat (if installed) or if supply air temperature drops
below 3.3°C (38F) for 15 minutes or below 1.1°C (34°F) for 5 minutes, shut down
supply and return/relief fan(s), close outdoor air damper, open the cooling coil
valve to 100%, and energize the chilled water pump system. Also, send two (or
more, as required to ensure that heating plant is active) Boiler Plant Requests,
modulate the heating coil to maintain the higher of the supply air temperature or
the mixed air temperature at 27°C (80°F), and set a Level 2 alarm indicating the
unit is shut down by freeze protection.

a. If a freeze protection shutdown is triggered by a low air temperature sensor

reading, it shall remain in effect until it is reset by a software switch from the
operator’s workstation. (If a freeze stat with a physical reset switch is used
instead, there shall be no software reset switch.)

Stage three can be triggered by either of two conditions. The second condition is
meant to respond to an extreme and sudden cold snap.
Protecting the cooling coil in this situation will require water movement through
the coil, which means that the CHW pumps need to be energized.
Heating coil is controlled to an air temperature setpoint. The sensors will not read
accurately with the fan off, but they will be influenced by proximity to the heating
coil. A temperature of 27°C (80°F) at either of these sensors indicates that the
interior of the unit is sufficiently warm. This avoids the situation where a fixed
valve position leads to very high (and potentially damaging) temperatures inside
the unit.

L. Alarms

1. Maintenance interval alarm when fan has operated for more than 1,500 hours:
Level 4. Reset interval count when alarm is acknowledged.

2. Fan alarm is indicated by the status being different from the command for a period
of 15 seconds.

a. Commanded on, status off: Level 2

b. Commanded off, status on: Level 4

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 128

3. Filter pressure drop exceeds alarm limit: Level 4. The alarm limit shall vary with
total airflow (if available; use fan speed if total airflow is not known) as follows:

DPx  DP100  x 
1 .4

where DP100 is the high limit pressure drop at design airflow (determine limit
from filter manufacturer) and DPx is the high limit at the current airflow rate x
(expressed as a fraction). For instance, the setpoint at 50% of design airflow
would be (.5)1.4 or 38% of the design high limit pressure drop.

4. High building pressure [more than 25 Pa (0.10”)]: Level 3

5. Low building pressure (less than 0 Pa (0.0”), i.e. negative): Level 4

Automatic Fault Detection and Diagnostics (AFDD) is a sophisticated system

for detecting and diagnosing air handler faults.

To function correctly, it requires specific sensors and data be available, as

detailed in the sequences below. If this information is not available, AFDD tests
that do not apply should be deleted.

M. Automatic Fault Detection and Diagnostics

The Automatic Fault Detection and Diagnostics (AFDD) routines for AHUs
continually assesses AHU performance by comparing the values of BAS inputs and
outputs to a subset of potential fault conditions. The subset of potential fault conditions
that is assessed at any point depends on the Operating State of the AHU, as determined
by the position of the cooling and heating valves and the economizer damper. Time
delays are applied to the evaluation and reporting of fault conditions, to suppress false
alarms. Fault conditions that pass these filters are reported to the building operator
along with a series of possible causes.
These equations assume that the air handler is equipped with hydronic heating and
cooling coils, as well as a fully integrated economizer. If any of these components are
not present, the associated tests and variables should be omitted from the
programming.
Note that these alarms rely on reasonably accurate measurement of mixed air
temperature. An MAT sensor is required for many of these alarms to work, and an
averaging sensor is strongly recommended for best accuracy.

1. AFDD conditions are evaluated continuously and separately for each operating air
handling unit.

2. The Operating State (OS) of each AHU shall be defined by the commanded
positions of the heating coil control valve, cooling coil control valve, and

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 129

economizer damper in accordance with the following table and corresponding

graphic.

The Operating State is distinct from and should not be confused with the Zone
Status (Cooling, Heating, Deadband) or Zone Group Mode (Occupied,
Warmup, etc.).
OS#1 – OS#4 represent normal operation during which a fault may
nevertheless occur, if so determined by the fault condition tests in section e
below. By contrast, OS#5 may represent an abnormal or incorrect condition
(such as simultaneous heating and cooling) arising from a controller failure
or programming error, but it may also occur normally, e.g., when
dehumidification is active or during warmup.

Heating Cooling
Valve Valve Outdoor Air
Operating State Position Position Damper Position
#1: Heating >0 =0 = MIN
#2: Free Cooling, Modulating OA =0 =0 MIN < X < 100%
#3: Mechanical + Economizer Cooling =0 >0 = 100%
#4: Mechanical Cooling, Min OA =0 >0 = MIN
#5: Unknown or Dehumidification No other OS applies

OS#1 OS#2 OS#3 OS#4

100%
Damper/Valve Position, % Open

CHW Valve
Outdoor Air
Damper
HW Valve

0%

3. The following points must be available to the AFDD routines for each AHU:

For the AFDD routines to be effective, an averaging sensor is recommended

for supply air temperature. An averaging sensor is essential for mixed air
temperature, as the environment of the mixing box will be subject to non-

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 130

uniform and fluctuating air temperatures. It is recommended that the OAT

sensor be located at the AHU so that it accurately represents the temperature
of the incoming air.

a. SAT = Supply air temperature

b. MAT = Mixed air temperature

c. RAT = Return air temperature

d. OAT = Outdoor air temperature

e. DSP = Duct static pressure

f. SATSP = supply air temperature setpoint

g. DSPSP = duct static pressure setpoint

h. HC = heating coil valve position command; 0% ≤ HC ≤ 100%

i. CC = cooling coil valve position command; 0% ≤ CC ≤ 100%

j. FS = fan speed command; 0% ≤ FS ≤ 100%

k. CCET = cooling coil entering temperature; depending on the AHU

configuration, this could be the MAT or a separate sensor for this specific
purpose.

l. CCLT = cooling coil leaving temperature; depending on the AHU

configuration, this could be the SAT or a separate sensor for this specific
purpose.

m. HCET = heating coil entering temperature; depending on the AHU

configuration, this could be the MAT or a separate sensor for this specific
purpose.

n. HCLT = heating coil leaving temperature; depending on the AHU

configuration, this could be the SAT or a separate sensor for this specific
purpose.

4. The following values must be continuously calculated by the AFDD routines for
each AHU:

a. 5-minute rolling averages with 1-minute sampling time of the following point
values; operator shall have the ability to adjust the averaging window and
sampling period for each point independently

1) SATAVG = rolling average of supply air temperature

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 131

2) MATAVG = rolling average of mixed air temperature

3) RATAVG = rolling average of return air temperature

4) OATAVG = rolling average of outdoor air temperature

5) DSPAVG = rolling average of duct static pressure

6) CCETAVG = rolling average of cooling coil entering temperature

7) CCLTAVG = rolling average of cooling coil leaving temperature

8) HCETAVG = rolling average of heating coil entering temperature

9) HCLTAVG = rolling average of heating coil leaving temperature

‐
b. %OA = actual outdoor air fraction as a percentage = or per airflow
‐
measurement station if available.

c. %OAMIN = Active minimum OA setpoint (MinOAsp) divided by actual total

airflow (from sum of VAV box flows, or by airflow measurement station) as a
percentage.

d. OS = number of changes in Operating State during the previous 60 minutes

(moving window)

5. The following internal variables shall be defined for each AHU. All parameters are
adjustable by the operator, with initial values as given below:

Default values are derived from NISTIR 7365 (Jeffrey Schein, October 2006)
and have been validated in field trials. They are expected to be appropriate
for most circumstances, but individual installations may benefit from tuning to
improve sensitivity and reduce false alarms.
The default values have been intentionally biased towards minimizing false
alarms, if necessary, at the expense of missing real alarms. This avoids
excessive false alarms that will erode user confidence and responsiveness.
However, if the goal is to achieve the best possible energy performance and
system operation, these values should be adjusted based on field measurement
and operational experience.
Values for physical factors such as fan heat, duct heat gain, and sensor error
can be measured in the field or derived from trend logs. Likewise, the
occupancy delay and switch delays can be refined by observing in trend data
the time required to achieve quasi steady state operation.
Other factors can be tuned by observing false positives and false negatives
(i.e., unreported faults). If transient conditions or noise cause false errors,
increase the alarm delay. Likewise, failure to report real faults can be

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 132

addressed by adjusting the heating coil, cooling coil, temperature, or flow

thresholds.
Default
Variable Name Description Value
TSF Temperature rise across supply fan 1.1°C (2°F)
Minimum difference between OAT and RAT
5.6°C
TMIN to evaluate economizer error conditions
(FC#6) (10° F)
ƐSAT Temperature error threshold for SAT sensor 1.1°C (2°F)
ƐRAT Temperature error threshold for RAT sensor 1.1°C (2°F)
ƐMAT Temperature error threshold for MAT sensor 2.7°C (5°F)
1.1°C (2°F)
if local
sensor @
ƐOAT Temperature error threshold for OAT sensor unit.
2.7°C (5°F)
if global
sensor.
ƐF Airflow error threshold 30%
ƐVFDSPD VFD speed error threshold 5%
ƐDSP Duct static pressure error threshold 25 Pa (0.1”)
Cooling coil entering temperature sensor
ƐCCET
error. Equal to ƐMAT or dedicated sensor error
Cooling coil leaving temperature sensor error.
ƐCCLT
Equal to ƐSAT or dedicated sensor error Varies, see
Heating coil entering temperature sensor Description
ƐHCET
error; equal to ƐMAT or dedicated sensor error
Heating coil leaving temperature sensor error.
ƐHCLT
Equal to ƐSAT or dedicated sensor error
Maximum number of changes in Operating
OSMAX State during the previous 60 minutes (moving 7
window)
Time in minutes to suspend Fault Condition
ModeDelay evaluation after a change in Mode
30
Time in minutes to that a Fault Condition
AlarmDelay 30
must persist before triggering an alarm
TestModeDelay Time in minutes that Test Mode is enabled 120

The purpose of ΔTMIN is to ensure that the mixing box/economizer damper tests
are meaningful. These tests are based on the relationship between supply,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 133

return, and outdoor air. If RAT ≈ MAT, these tests will not be accurate and
will produce false alarms.
The purpose o TestModeDelay is to ensure that normal fault reporting occurs
after the testing and commissioning process is completed as prescribed in
5.14M.12.

6. The following are potential Fault Conditions that can be evaluated by the AFDD
routines. If the equation statement is true, then the specified fault condition exists.
The Fault Conditions to be evaluated at any given time will depend on the
Operating State of the AHU.

These equations assume that the SAT sensor is located downstream of the
supply fan, and the RAT sensor is located downstream of the return fan. If
actual sensor locations differ from these assumptions, it may be necessary to
add or delete fan heat correction factors.
To detect the required economizer faults in Title 24, Section 120.2(i)7, use
Fault Conditions #2, 3, and 5-13 at a minimum. Other Title 24 AFDD
requirements, including acceptance tests, are not met through these fault
conditions.
DSP < DSPSP - ƐDSP
Equation and
VFDSPD ≥ 99% - ƐVFDSPD

Duct static pressure is too low with fan at full Applies

FC#1 Description to OS
speed
#1 – #5
Problem with VFD
Possible Mechanical problem with fan
Diagnosis Fan undersized
SAT Setpoint too high (too much zone demand)

FC#2 Equation MATAVG + ƐMAT < min[(RATAVG - ƐRAT), (OATAVG - ƐOAT)]

(omit if Description MAT too low; should be between OAT and RAT Applies
no to OS
RAT sensor error
MAT Possible #1 – #5
MAT sensor error
sensor) Diagnosis
OAT sensor error

FC#3 Equation MATAVG - ƐMAT > max[(RATAVG + ƐRAT), (OATAVG + ƐOAT)]

(omit if Description MAT too high; should be between OAT and RAT Applies
no to OS
RAT sensor error
MAT Possible #1 – #5
MAT sensor error
sensor) Diagnosis
OAT sensor error

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 134

Equation OS > OSMAX

Applies
FC#4 Description Too many changes in Operating State to OS
Possible Unstable control due to poorly tuned loop or #1 – #5
Diagnosis mechanical problem
Equation SATAVG + ƐSAT ≤ MATAVG - ƐMAT + TSF

FC#5 Description SAT too low; should be higher than MAT

(omit if SAT sensor error Applies
no MAT sensor error to OS
MAT Possible Cooling coil valve leaking or stuck open #1
sensor) Diagnosis Heating coil valve stuck closed or actuator failure
Fouled or undersized heating coil
HW temperature too low or HW unavailable
| RATAVG - OATAVG | ≥ TMIN
Equation and
| %OA - %OAMIN | > ƐF

OA fraction is too low or too high; should equal Applies

FC#6 Description to OS
%OAMIN
#1, #4
RAT sensor error
Possible MAT sensor error
Diagnosis OAT sensor error
Leaking or stuck economizer damper or actuator
SATAVG < SATSP - ƐSAT
Equation and
HC ≥ 99%
Description SAT too low in full heating Applies
FC#7 SAT sensor error to OS
Cooling coil valve leaking or stuck open #1
Possible Heating coil valve stuck closed or actuator failure
Diagnosis Fouled or undersized heating coil
HW temperature too low or HW unavailable
Leaking or stuck economizer damper or actuator

Equation | SATAVG - TSF - MATAVG | > Ɛ Ɛ

FC#8
(omit if Description SAT and MAT should be approximately equal Applies
no to OS
SAT sensor error
MAT #2
Possible MAT sensor error
sensor)
Diagnosis Cooling coil valve leaking or stuck open
Heating coil valve leaking or stuck open

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 135

Equation OATAVG - ƐOAT > SATSP - TSF + ƐSAT

OAT is too high for free cooling without additional Applies

Description
FC#9 mechanical cooling to OS
SAT sensor error #2
Possible
OAT sensor error
Diagnosis
Cooling coil valve leaking or stuck open

FC#10 Equation | MATAVG - OATAVG | > Ɛ Ɛ

(omit if Applies
no Description OAT and MAT should be approximately equal to OS
MAT MAT sensor error #3
Possible
sensor) OAT sensor error
Diagnosis
Leaking or stuck economizer damper or actuator
Equation OATAVG + ƐOAT < SATSP - TSF - ƐSAT

Description OAT is too low for 100% OA cooling Applies

FC#11 SAT sensor error to OS
Possible OAT sensor error #3
Diagnosis Heating coil valve leaking or stuck open
Leaking or stuck economizer damper or actuator
Equation SATAVG - ƐSAT - TSF ≥ MATAVG + ƐMAT

FC#12 Description SAT too high; should be less than MAT

(omit if SAT sensor error Applies
no MAT sensor error to OS
MAT Possible Cooling coil valve stuck closed or actuator failure #3, #4
sensor) Diagnosis Fouled or undersized cooling coil
CHW temperature too high or CHW unavailable
Heating coil valve leaking or stuck open
SATAVG > SATSP + ƐSAT
Equation and
CC ≥ 99%

Description SAT too high in full cooling Applies

FC#13 to OS
SAT sensor error
#3, #4
Cooling coil valve stuck closed or actuator failure
Possible
Fouled or undersized cooling coil
Diagnosis
CHW temperature too high or CHW unavailable
Heating coil valve leaking or stuck open

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 136

FC#14 Equation Applies

CCETAVG - CCLTAVG ≥ Ɛ Ɛ + TSF* to OS
*Fan heat factor included or not depending on location of #1, #2
sensors used for CCET and CCLT
Description Temperature drop across inactive cooling coil
Possible CCET sensor error
Diagnosis CCLT sensor error
Cooling coil valve stuck open or leaking.
FC#15 Equation Applies
HCLTAVG - HCETAVG ≥ Ɛ Ɛ + TSF* to OS
*Fan heat factor included or not depending on location of #2 – #4
sensors used for HCET and HCLT
Description Temperature rise across inactive heating coil
Possible HCET sensor error
Diagnosis HCLT sensor error
Heating coil valve stuck open or leaking.

7. A subset of all potential fault conditions is evaluated by the AFDD routines. The
set of applicable fault conditions depends on the Operating State of the AHU:

a. In OS #1 (Heating), the following Fault Conditions shall be evaluated:

1) FC#1: Duct static pressure is too low with fan at full speed

2) FC#2: MAT too low; should be between RAT and OAT

3) FC#3: MAT too high; should be between RAT and OAT

4) FC#4: Too many changes in Operating State

5) FC#5: SAT too low; should be higher than MAT

6) FC#6: OA fraction is too low or too high; should equal %OAMIN

7) FC#7: SAT too low in full heating

8) FC#14: Temperature drop across inactive cooling coil

b. In OS#2 (Modulating Economizer), the following Fault Conditions shall be

evaluated:

1) FC#1: Duct static pressure is too low with fan at full speed

2) FC#2: MAT too low; should be between RAT and OAT

3) FC#3: MAT too high; should be between RAT and OAT

4) FC#4: Too many changes in Operating State

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 137

5) FC#8: SAT and MAT should be approximately equal

6) FC#9: OAT is too high for free cooling without mechanical cooling

7) FC#14: Temperature drop across inactive cooling coil

8) FC#15: Temperature rise across inactive heating coil

c. In OS#3 (Mechanical + 100% Economizer Cooling), the following Fault

Conditions shall be evaluated:

1) FC#1: Duct static pressure is too low with fan at full speed

2) FC#2: MAT too low; should be between RAT and OAT

3) FC#3: MAT too high; should be between RAT and OAT

4) FC#4: Too many changes in Operating State

5) FC#10: OAT and MAT should be approximately equal

6) FC#11: OAT too low for 100% OA

7) FC#12: SAT too high; should be less than MAT

8) FC#13: SAT too high in full cooling

9) FC#15: Temperature rise across inactive heating coil

d. In OS#4 (Mechanical Cooling, Min OA), the following Fault Conditions shall
be evaluated:

1) FC#1: Duct static pressure is too low with fan at full speed

2) FC#2: MAT too low; should be between RAT and OAT

3) FC#3: MAT too high; should be between RAT and OAT

4) FC#4: Too many changes in Operating State

5) FC#6: OA fraction is too low or too high; should equal %OAMIN

6) FC#12: SAT too high; should be less than MAT

7) FC#13: SAT too high in full cooling

8) FC#15: Temperature rise across inactive heating coil

e. In OS#5 (Other), the following Fault Conditions shall be evaluated:

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 138

1) FC#1: Duct static pressure is too low with fan at full speed

2) FC#2: MAT too low; should be between RAT and OAT

3) FC#3: MAT too high; should be between RAT and OAT

4) FC#4: Too many chances in Operating State

8. For each air handler, the operator shall be able to suppress the alarm for any Fault
Condition.

9. Evaluation of Fault Conditions shall be suspended under the following conditions:

a. When AHU is not operating.

b. For a period of ModeDelay minutes following a change in Mode (e.g., from

Warm up to Occupied) of any Zone Group served by the AHU.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 139

10. Fault Conditions that are not applicable to the current Operating State shall not be
evaluated.

11. A Fault Condition that evaluates as true must do so continuously for AlarmDelay
minutes before it is reported to the operator.

12. Test Mode shall temporarily set ModeDelay and AlarmDelay to 0 minutes for a
period of TestModeDelay minutes to allow instant testing of the AFDD system and
ensure normal fault detection occurs after testing is complete.

13. When a Fault Condition is reported to the operator, it shall be a Level 3 alarm and
shall include the description of the fault and the list of possible diagnoses from the
table in 5.14M.6.

N. Testing/Commissioning Overrides: Provide software switches that interlock to a

chilled water and hot water plant level to

1. If there is a hot water coil, force hot water valve full open

2. If there is a hot water coil, force hot water valve full closed

3. Force chilled water valve full open

4. Force chilled water valve full closed

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

Central plant sequences are not part of the initial scope of Guideline 36, but control
logic for Plant Requests are being included for future use, when central plant
sequences are added.
Typically, the chiller or boiler plant will start when there is at least one request for 5
minutes and stop when there are no requests for 5 minutes, after a minimum run-time
has elapsed.
Chilled Water and Hot Water reset requests are used in Trim & Respond loops to
control supply water temperature and/or pump DP setpoints based on zone and AHU
demands.

O. Plant Requests

1. Chilled Water Reset Requests

a. If the supply air temperature exceeds the supply air temperature setpoint by
2.8°C (5°F) for 2 minutes, send 3 Requests,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 140

b. Else if the supply air temperature exceeds the supply air temperature setpoint
by 1.7°C (3°F) for 2 minutes, send 2 Requests,

c. Else if the CHW valve position is greater than 95%, send 1 Request until the
CHW valve position is less than 85%,

d. Else if the CHW valve position is less than 95%, send 0 Requests.

2. Chiller Plant Requests. Send the chiller plant that serves the system a Chiller Plant
Request as follows:

a. If the CHW valve position is greater than 95%, send 1 Request until the CHW
valve position is less than 10%,

b. Else if the CHW valve position is less than 95%, send 0 Requests.

3. If there is a hot water coil, Hot Water Reset Requests

a. If the supply air temperature is 17°C (30°F) less than setpoint for 5 minutes,
send 3 Requests,

b. Else if the supply air temperature is 8.3°C (15°F) less than setpoint for 5
minutes, send 2 Requests,

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests.

4. If there is a hot water coil, Boiler Plant Requests. Send the boiler plant that serves
the AHU a Boiler Plant Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%,

b. Else if the HW valve position is less than 95%, send 0 Requests.

5.15 Dual Fan Dual Duct Heating VAV Air Handling Unit

A. Supply Fan Control

1. Supply Fan Start/Stop

a. Fan shall run when system is in the Warmup Mode and Setback Mode and
during Occupied Mode while there are any Heating Fan Requests with a
minimum runtime of 15 minutes.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 141

Delete the following paragraph if air handler serves dual duct boxes that do not
have hot duct inlet airflow sensors, i.e., those that have only a box discharge
airflow sensor. This paragraph may also be deleted if there is a supply AFMS.

b. Totalize current airflow rate from VAV boxes to a software point.

VAV box airflow rates are summed to get overall supply air rate without the
need for an airflow measuring station at the air handler discharge. This is used
only for display and diagnostics and filter alarm.

2. Static Pressure Setpoint Reset

a. Static pressure setpoint: Setpoint shall be reset using Trim & Respond logic
[see 5.1N] using the following parameters:

Variable Value
Device Supply Fan
SP0 120 Pa (0.5 inches)
SPmin 25 Pa (0.1 inches)
SPmax Max_DSP
(See 3.2A.1)
Td 10 minutes
T 2 minutes
I 2
R Zone Hot Duct Static
Pressure Reset
Requests
SPtrim -12 Pa (-0.05 inches)
SPres 15 Pa (+0.06 inches)
SPres-max 32 Pa (+0.13 inches)

The trim & respond reset parameters above are a suggested as a starting place;
they will most likely require adjustment during the commissioning/tuning
phase.

3. Static Pressure Control

a. Supply fan speed is controlled to maintain duct static pressure at setpoint when
the fan is proven on. Where the Zone Groups served by the system are small,
provide multiple sets of gains that are used in the control loop as a function of
a load indicator (such as supply fan airflow rate, the area of the Zone Groups
that are occupied, etc.).

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 142

High pressure trips may occur if all VAV boxes are closed (as in Unoccupied
Mode) or if fire/smoke dampers are closed (in some FSD designs, the dampers
are interlocked to the fan status rather than being controlled by smoke
detectors).

B. Supply Air Temperature Control

1. Control loop is enabled when the supply air fan is proven on and disabled and
output set to zero otherwise.

2. Supply Air Temperature Setpoint

a. During Occupied Mode: Setpoint shall be reset using Trim & Respond logic
[see 5.1N] between 21°C (70°F) and Max_SAT. See 3.1E.1 for Max_SAT.

Variable Value
Device Heating Supply Fan
SP0 SPmax
SPmin 21°C (70°F)
SPmax Max_SAT
Td 10 minutes
T 2 minutes
I 2
R Zone Heating SAT
Requests
SPtrim -0.22°C (-0.4ºF)
SPres +0.33°C (+0.6ºF)
SPres-max +0.78°C (+1.4ºF)

The trim & respond reset parameters below are suggested as a starting
place; they will most likely require adjustment during the
commissioning/tuning phase.

b. During Warmup and Setback Modes: Setpoint shall be Max_SAT.

3. Supply air temperature shall be maintained at setpoint by a PID loop modulating

the heating coil hot water valve.

C. Alarms

1. Maintenance interval alarm when fan has operated for more than 1,500 hours:
Level 4. Reset interval counter when alarm is acknowledged.

2. Fan alarm is indicated by the status being different from the command for a period
of 15 seconds.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 143

a. Commanded on, status off: Level 2

b. Commanded off, status on: Level 4

3. Filter pressure drop exceeds alarm limit: Level 4. The alarm limit shall vary with
total airflow (if available; use fan speed if total airflow is not known) as follows:

DPx  DP100  x 
1 .4

where DP100 is the high limit pressure drop at design airflow (determine limit
from filter manufacturer) and DPx is the high limit at airflow rate x (expressed
as a fraction). For instance, the setpoint at 50% of design airflow would be
(.5)1.4 or 38% of the design high limit pressure drop.

D. Automatic Fault Detection and Diagnostics

The Automatic Fault Detection and Diagnostics (AFDD) routines for AHUs
continually assesses AHU performance by comparing the values of BAS inputs and
outputs to a subset of potential fault conditions. Time delays are applied to the
evaluation and reporting of fault conditions, to suppress false alarms. Fault conditions
that pass these filters are reported to the building operator along with a series of
possible causes. The AFDD routines listed in this section are intended for heating
ducts only – AFDD routines for cooling ducts are listed in Sections 5.14M and 5.16K.

1. AFDD conditions are evaluated continuously and separately for each operating air
handling unit.

2. The following points must be available to the AFDD routines for each AHU:

For the AFDD routines to be effective, an averaging sensor is recommended

for supply air temperature.

a. SAT = Supply air temperature

b. RAT = Return air temperature

c. DSP = Duct static pressure

d. SATSP = supply air temperature setpoint

e. DSPSP = duct static pressure setpoint

f. HC = heating coil valve position command; 0% ≤ HC ≤ 100%

g. FS = fan speed command; 0% ≤ FS ≤ 100%

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 144

3. The following values must be continuously calculated by the AFDD routines for
each AHU:

a. 5-minute rolling averages with 1-minute sampling time of the following point
values; operator shall have the ability to adjust the averaging window and
sampling period for each point independently

1) SATAVG = rolling average of supply air temperature

2) RATAVG = rolling average of return air temperature

3) DSPAVG = rolling average of duct static pressure

4. The following internal variables shall be defined for each AHU. All parameters are
adjustable by the operator, with initial values as given below:

Default values are derived from NISTIR 7365 (Jeffrey Schein, October 2006)
and have been validated in field trials. They are expected to be appropriate
for most circumstances, but individual installations may benefit from tuning to
improve sensitivity and reduce false alarms.
The default values have been intentionally biased towards minimizing false
alarms, if necessary, at the expense of missing real alarms. This avoids
excessive false alarms that will erode user confidence and responsiveness.
However, if the goal is to achieve the best possible energy performance and
system operation, these values should be adjusted based on field measurement
and operational experience.
Values for physical factors such as fan heat, duct heat gain, and sensor error
can be measured in the field or derived from trend logs. Likewise, the
occupancy delay and switch delays can be refined by observing in trend data
the time required to achieve quasi steady state operation.
Other factors can be tuned by observing false positives and false negatives
(i.e., unreported faults). If transient conditions or noise cause false errors,
increase the alarm delay. Likewise, failure to report real faults can be
addressed by adjusting the heating coil, cooling coil, temperature, or flow
thresholds.
Default
Variable Name Description Value
TSF Temperature rise across supply fan 1.1°C (2° F)
ƐSAT Temperature error threshold for SAT sensor 1.1°C (2° F)
ƐRAT Temperature error threshold for RAT sensor 1.1°C (2° F)
ƐVFDSPD VFD speed error threshold 5%
ƐDSP Duct static pressure error threshold 25 Pa (0.1”)
Time in minutes to suspend Fault Condition
ModeDelay evaluation after a change in Mode
30

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 145

Default
Variable Name Description Value
Time in minutes to that Fault Condition must
AlarmDelay persist before triggering an alarm
30
TestModeDelay Time in minutes that Test Mode is enabled 120

5. The following are potential Fault Conditions that can be evaluated by the AFDD
routines. If the equation statement is true, then the specified fault condition exists.

DSP < DSPSP - ƐDSP

Equation and
VFDSPD ≥ 99% - ƐVFDSPD

Duct static pressure is too low with fan at full

FC#1 Description
speed
Problem with VFD
Possible Mechanical problem with fan
Diagnosis Fan undersized
SAT Setpoint too high (too much zone demand)
SATAVG < SATSP - ƐSAT
Equation and
HC ≥ 99%

FC#2 Description SAT too low in full heating

SAT sensor error
Possible Heating coil valve stuck closed or actuator failure
Diagnosis Fouled or undersized heating coil
HW temperature too low or HW unavailable

RATAVG - SATAVG ≥ Ɛ Ɛ + TSF

Equation and
HC = 0%
FC#3
Description Temperature rise across inactive heating coil
HCET sensor error
Possible
HCLT sensor error
Diagnosis
Heating coil valve stuck open or leaking.

6. For each air handler, the operator shall be able to suppress the alarm for any Fault
Condition.

7. Evaluation of Fault Conditions shall be suspended under the following conditions:

a. When AHU is not operating.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 146

b. For a period of ModeDelay minutes following a change in Mode (e.g., from

Warm up to Occupied) of any Zone Group served by the AHU.

8. A Fault Condition that evaluates as true must do so continuously for AlarmDelay

minutes before it is reported to the operator.

9. Test Mode shall temporarily set ModeDelay and AlarmDelay to 0 minutes for a
period of TestModeDelay minutes to allow instant testing of the AFDD system and
ensure normal fault detection occurs after testing is complete.

10. When a Fault Condition is reported to the operator, it shall be a Level 3 alarm and
shall include the description of the fault and the list of possible diagnoses from the
table in 5.14M.6.

E. Testing/Commissioning Overrides: Provide software switches that interlock to a

chilled water and hot water plant level to

1. Force hot water valve full open

2. Force hot water valve full closed

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden together at a Zone Group
level, per 5.3E.
E.g., The CxA can check for leaking dampers by forcing all VAV boxes in a Zone Group
closed and then recording airflow at the AHU.

Central plant sequences are not part of the initial scope of Guideline 36, but control
logic for Plant Requests are being included for future use, when central plant
sequences are added.
Typically, the boiler plant will start when there is at least one request for 5 minutes
and stop when there are no requests for 5 minutes, after a minimum run-time has
elapsed.
Hot Water reset requests are used in Trim & Respond loops to control supply water
temperature and/or pump DP setpoints based on zone and AHU demands.

F. Plant Requests

1. Hot Water Reset Requests

a. If the supply air temperature is 17°C (30°F) less than setpoint for 5 minutes,
send 3 Requests,

b. Else if the supply air temperature is 8.3°C (15°F) less than setpoint for 5
minutes, send 2 Requests,

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 147

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests

2. Boiler Plant Requests. Send the boiler plant that serves the AHU a Boiler Plant
Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%

b. Else if the HW valve position is less than 95%, send 0 Requests.

5.16 Single Zone VAV Air Handling Unit

A. See Generic Thermal Zones for setpoints, loops, control modes, alarms, etc.

B. Supply Fan Speed Control and Supply Air Temperature Setpoint Reset

These sequences use two supply air temperature setpoints, SATsp and SATsp-C, that
are reset at different rates but are reset based on the same sensor and control loop, as
well as a supply fan speed reset that varies depending on outdoor air temperature. The
goal of this scheme is to maximize free cooling and avoid chiller use when the outdoor
air is cool, while avoiding excessive fan energy use and utilizing the cooling coil when
outdoor air is warm.

For this to work, it is essential that both SATsp and SATsp-C are controlled off the
same physical SAT sensor.

It is also critical that the minimum value of the setpoint that controls the economizer
(SATsp) is lower than the minimum value of the setpoint that controls the chilled water
valve (SATsp-C). Otherwise, a brief temperature excursion due to the cooling coil will
lead to short cycling of the economizer and subsequent unnecessary energy use by the
cooling coil.

1. The supply fan shall run whenever the unit is in any mode other than Unoccupied
Mode.

2. Provide a ramp function to prevent changes in fan speed of more than 10% per
minute.

3. Minimum, medium, and maximum fan speeds shall be as follows:

a. Maximum cooling fan speed (MaxCoolSpeed), maximum heating fan speed

(MaxHeatSpeed), and minimum fan speed (MinSpeed) setpoints shall be per
3.2B.1.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 148

b. Medium fan speed (MedSpeed) shall be reset linearly based on outdoor air
temperature between the following endpoints:

1) For ASHRAE Standard 90.1 “A” Climate Type, use the following
endpoints:

a) When the outdoor air drybulb temperature is greater than or equal to the
maximum supply air dewpoint MaxDpt (default: 16.7°C (62°F)),
MedSpeed shall be equal to MinSpeed.
b) When the outdoor air drybulb temperature is less than or equal to the
maximum supply air dewpoint MaxDpt minus 1.1°C (2°F), MedSpeed
shall be equal to MaxCoolSpeed.
In humid type “A” climates, the supply air dewpoint should be
maintained below about 16.7°C (62oF) to help mitigate the risk of
mold/mildew. Since dewpoint sensors are expensive and can drift out of
calibration, this sequence uses outside air drybulb temperature as a proxy for
supply air dewpoint.

2) For ASHRAE Standard 90.1 “B” and “C” Climate Types, use the following
endpoints:

a) When the outdoor air temperature equals the zone temperature +0.56°C
(1°F), Medspeed shall be MinSpeed.
b) When the outdoor air temperature is 5.6°C (10°F) below the zone
temperature, Medspeed shall be equal to MaxCoolSpeed.

4. Minimum and maximum supply air temperature setpoints shall be as follows:

a. Cool_SAT and Heat_SAT shall be per 3.1F.1.

b. The Deadband values of SATsp and SATsp-C shall be the average of the zone
heating setpoint and the zone cooling setpoint but shall be no lower than 21°C
(70°F) and no higher than 24°C (75°F).

The Deadband setpoint is intended to provide neutral-temperature air when the

Zone State is Deadband. The values of this setpoint are limited to avoid the
situation where an extreme value for zone temperature setpoint forces
unnecessary heating or cooling, e.g., a cold aisle setpoint of 32°C (90°F) in a
datacenter could cause unnecessary heating if this limit were not in place.

5. When the supply fan is proven on, fan speed and supply air temperature setpoints
are controlled as shown in the following diagrams and text. The points of transition
along the x-axis shown and described below are representative. Separate gains shall
be provided for each section of the control map (hot water, economizer, chilled
water), that are determined by the contractor to provide stable control.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 149

Alternatively, contractor shall adjust the precise value of the x-axis thresholds
shown in the figure to provide stable control.

Supply Temperature or Fan Speed Setpoint

Fan Speed
(varies based
SATsp on OAT)

SATsp-C

Fan Speed

SATsp-C
SATsp

Heating Loop Signal Deadband Cooling Loop Signal

Below, the same diagram is separated into two diagrams for clarity and to illustrate
the relative setpoints. However, both fan speed and supply air temperature
setpoints are reset simultaneously and by the same signal – the value of the Heating
Loop or Cooling Loop.
Maximum
Fan Speed

Medium Fan
Medium Fan Speed Speed at
at low OAT (equal intermediate
to Maximum Speed) OAT
Fan Speed Setpoint

Maximum Heating Speed

Minimum Fan Speed

Medium Fan Speed at high OAT

(equal to Minimum Speed)

Heating Loop Signal Deadband Cooling Loop Signal

a. For a Heating Loop signal of 100% - 50%, fan speed is reset from
MaxHeatSpeed to MinSpeed.

b. For a Heating Loop signal of 50% - 0%, fan speed setpoint is MinSpeed.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 150

c. In Deadband, fan speed setpoint is MinSpeed.

d. For a Cooling Loop signal of 0% - 25%, fan speed is MinSpeed.

e. For a Cooling Loop signal of 25% - 50%, fan speed is reset from MinSpeed to
MedSpeed.

f. For a Cooling Loop signal of 50% - 75%, fan speed is MedSpeed.

g. For a Cooling Loop signal of 75% - 100%, fan speed is reset from MedSpeed
to MaxCoolSpeed.

Maximum SATsp
Supply Temperature Setpoint

SATsp = Deadband value

SATsp-C = Deadband value

Minimum
SATsp-C

Minimum SATsp

Heating Loop Signal Deadband Cooling Loop Signal

h. For a Heating Loop signal of 100% - 50%, SATsp is Heat_SAT.

i. For a Heating Loop signal of 50% - 0%, SATsp is reset from Max_SAT to the
Deadband value.

j. In Deadband, SATsp is the Deadband value.

k. For a Cooling Loop signal of 0% - 25%, SATsp is reset from the Deadband
value to Cool_SAT minus 1.1°C (2°F), while SATsp-C is the Deadband value.

l. For a Cooling Loop signal of 25% - 50%, SATsp and SATsp-C are unchanged.

m. For a Cooling Loop signal of 50% - 75%, SATsp remains at Cool_SAT minus
1.1°C (2°F), SATsp-C is reset from the Deadband value to Cool_SAT.

n. For a Cooling Loop signal of 75% - 100%, SATsp and SATsp-C are unchanged.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 151

In Cooling, the economizer is controlled to a lower setpoint than the CHW valve
(i.e., SATsp < SATsp-C) so that a low temperature excursion does not cause the
economizer to close inadvertently while cooling with CHW.

C. Supply Air Temperature Control

1. There are two supply air temperature setpoints, SATsp and SATsp-C. Each
setpoint is maintained by a separate control loop but both loops use the same supply
air temperature sensor.

2. The control loop for SATsp is enabled when the supply air fan is proven on and
disabled and set to Neutral otherwise.

a. Supply air temperature shall be controlled to SATsp by a control loop whose

output is mapped to sequence the hot water valve or modulating electric heating
coil (if applicable) and economizer dampers as shown in the diagram below.
Outdoor air damper minimum (MinOA-P) and maximum (MaxOA-P) positions
are limited for economizer lockout and to maintain minimum outdoor airflow
rate as described in paragraphs 5.16D and 5.16E.

These sequences assume that the heat source can be modulated and thus control
SAT to a setpoint in Heating. If this is not the case (e.g., because heating is by
multi-stage furnace or electric coil), then the following will need to be modified
to add appropriate staging logic.

b. The points of transition along the x-axis shown below are representative.
Separate gains shall be provided for each section of the control map (hot water,
economizer, chilled water), that are determined by the contractor to provide
stable control. Alternatively, contractor shall adjust the precise value of the x-
axis thresholds shown in the figure to provide stable control.

Dampers are complementary (rather than sequenced, as they are for

multiple-zone VAV AHUs) to reduce equipment costs (avoiding multiple
actuators) and to maintain a more-linear relationship between fan speed
and outdoor air volume.
In order to make this relationship as linear as possible, the economizer
should use parallel blade dampers.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 152

MaxOA-P
100%

Outdoor Air
Return Air Damper Position

Damper/valve Position, % open

Damper Position

HW Valve/Coil
(if applicable)
Return Air
Damper Position

MinOA-P Outdoor Air

Damper Position
0%
SATsp Control Loop

3. The control loop for SATsp-C is enabled when the supply fan is proven on and the
Zone State is Cooling and disabled and set to Neutral otherwise. When enabled,
supply air temperature shall be controlled to SATsp-C by modulating the CHW
valve.

D. Minimum Outdoor Air Control

This section describes minimum outdoor air control logic for a unit with a single
common minimum OA and economizer damper (i.e., no separate minimum OA damper)
and Demand Control Ventilation.
This logic assumes that there is no airflow measurement station or differential pressure
sensor across the outdoor air intake and controls OA volume directly via damper
position setpoints. This works for a single zone unit because there are no downstream
dampers that would change the relationship between OA damper position and OA
airflow. This logic is not appropriate for a system with actuated dampers downstream
of the AHU.
Other configurations are possible and would require modifications to the points list
(above) and the control logic below.

1. See 5.2B for calculation of zone minimum outdoor airflow setpoint.

2. Outdoor Air Damper Control

a. See 3.2B.2 for minimum damper position setpoints.

b. At least once per minute while the zone is in Occupied Mode, the BAS shall
calculate MinPos* as a linear interpolation between MinPosMin and
MinPosMax based on the current fan speed.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 153

c. At least once per minute while the zone is in Occupied Mode, the BAS shall
calculate DesPos* as a linear interpolation between DesPosMin and
DesPosMax based on the current fan speed.

d. If MinOAsp is zero, MinOA-P shall be zero (i.e., outdoor air damper fully
closed).

e. If MinOAsp is non-zero, then the outdoor air damper minimum position

MinOA-P shall be the value between MinPos* and DesPos* that is proportional
to the value of MinOAsp between MinOA and DesOA. The following diagram
is an illustrative example (points are chosen arbitrarily and are not meant to be
representative):

DesPosMin
100% DesPos*
DesPosMax

The diamond
This line represents the
OA Damper Position, % open

represents MinOAsp
range of OA volumes, from at damper position
MinOA at MinPos* to MinOA-P.
MinOA-P

DesOA at DesPos*. (MinOAsp is about ¼

of the way between
MinOA and DesOA
for this example.)
MinPosMin
MinPosMax
MinPos*

0%
Min Speed Current Speed Max Speed
Supply Fan Speed

E. Economizer Lockout

This section describes economizer lockout logic for a unit with a common minimum OA
and economizer damper (i.e., no separate minimum OA damper). Other configurations
are possible and would require modifications to the points list (above) and the control
logic below.

1. The normal sequencing of the economizer dampers (above) shall be disabled in

accordance with 5.1Q.

2. Once the economizer is disabled, it shall not be re-enabled within 10 minutes, and
vice versa.

3. When economizer is enabled, MaxOA-P = 100%. When economizer is disabled

set MaxOA-P equal to MinOA-P. See Supply Air Temperature Control (5.16C)
and Minimum Outdoor Air Control (5.16D) for outdoor air damper minimum
setpoint.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 154

The engineer must select among control logic options for return/relief/exhaust.
This decision is based on the AHU configuration.

Control logic selections should be made as follows:

 For AHUs using actuated relief dampers without a fan, use section “F”
below, and delete section “G” and section “H” below.
 For AHUs using actuated relief dampers with relief fan(s), use section “G”
below, and delete section “F” and section “H” below.
 For AHUs using a return fan, use section “H” below, and delete section “F”
and section “G” below.
 For AHUs using non-actuated barometric relief only, delete all three sections
“F,” “G,” and “H” below.
A building pressure sensor is required for option “G.” One is not required for
options “F” or “H.”

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 155

F. Control of Actuated Relief Dampers without Fans

1. See 3.2B.3 for relief damper position setpoints:

2. Relief dampers shall be enabled when the associated supply fan is proven on and
any outdoor air damper is open and disabled and closed otherwise.

3. Relief damper position shall be reset linearly from MinRelief to MaxRelief as the
commanded economizer damper position goes from MinPos* to 100% open.

Relief fan control logic is incorporated by reference in subsection “1”

below. If the project includes both single-zone and multiple-zone AHUs,
then no change is required. However, if the project includes only
single-zone AHUs, we recommend deleting section “G” below and
copying the full text of 5.14H in its place.

G. Relief Fan Control

1. Refer to 5.14H Relief Fan Control for multiple-zone air handlers.

H. Return Fan Control

Exhaust damper may be barometric (no actuator). In that case, delete

subsections “1” and “4” below.
1. Exhaust damper shall open whenever associated supply fan is proven on.

2. Return fan shall run whenever associated supply fan is proven on.

3. Return fan speed shall be the same as supply fan speed with a user adjustable offset
determined per 3.2B.1.

4. Exhaust damper shall be closed when return fan is disabled.

This concludes the section where the control logic for return/relief/exhaust is
selected.

When the sequences are complete, at most one of sections “F,” “G,” or “H”
should remain. If relief is barometric (without actuators) only, then all three
subsections should be deleted. Delete these flag notes after the decision has been
made.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 156

If a freezestat is present, it may be hardwired to perform some or all of these

functions. In that case, delete those functions from sequence logic, but maintain
the alarms. Delete this flag note when sequences are complete.

I. Freeze Protection

There are three stages of freeze protection. The first stage modulates the heating valve
to maintain a safe SAT. The second stage eliminates outdoor air ventilation, in case
heating is not available for whatever reason. The third stage shuts down the unit and
activates coil valves and pumps to circulate water, in case the second stage does not
work (e.g., stuck economizer damper).

1. If the supply air temperature drops below 4.4°C (40°F) for 5 minutes, send two (or
more, as required to ensure that heating plant is active) Boiler Plant Requests,
override the outdoor air damper to the minimum position, and modulate the heating
coil to maintain a supply air temperature of at least 5.6°C (42°F). Disable this
function when supply air temperature rises above 7.2°C (45°F) for 5 minutes.

The first stage of freeze protection locks out the economizer. Most likely this has
already occurred by this time, but this logic provides insurance.

2. If the supply air temperature drops below 3.3°C (38°F) for 5 minutes, fully close
both the economizer damper and the minimum outdoor air damper for one hour,
and set a Level 3 alarm noting that minimum ventilation was interrupted. After one
hour, the unit shall resume minimum outdoor air ventilation and enter the previous
stage of freeze protection (see 5.16I.1).

A timer is used (rather than an OAT threshold) to exit the second stage of freeze
protection because a bad OAT sensor could lock out ventilation indefinitely, while
a timer should just work and thus avoid problems with the unit getting “stuck” in
this mode with no ventilation.
Upon timer expiration, the unit will re-enter the previous stage of freeze protection
(minOA ventilation, with heating to maintain SAT of 5.6°C (42°F)), after which one
of three possibilities will occur:
1) If it is warm enough that the SAT rises above 7.2°C (45°F) with minimum
ventilation, the unit will remain in Stage “a” freeze protection for five minutes,
then resume normal operation.
2) If it is cold enough that SAT remains between 3.3°C (38°F) and 7.2°C (45°F)
with heating and minimum ventilation, the unit will remain in Stage “a” freeze
protection indefinitely, until outdoor conditions warm up.
3) If it is so cold that SAT is less than 3.3°C (38°F) with minimum ventilation,
despite heating, then the unit will revert to Stage “b” freeze protection, where it
will remain for one hour. This process will then repeat.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 157

3. Upon signal from the freezestat (if installed) or if supply air temperature drops
below 3.3°C (38°F) for 15 minutes or below 1.1°C (34°F) for 5 minutes, shut down
supply and return/relief fan(s), close outdoor air damper, make the minimum
cooling coil valve position 100%, and energize the chilled water pump system.
Also, send two (or more, as required to ensure that heating plant is active) Boiler
Plant Requests, modulate the heating coil to maintain the higher of the supply air
temperature or the mixed air temperature at 27°C (80°F), and set a Level 2 alarm
indicating the unit is shut down by freeze protection.

a. If a freeze protection shutdown is triggered by a low air temperature sensor

reading, it shall remain in effect until it is reset by a software switch from the
operator’s workstation. (If a freeze stat with a physical reset switch is used
instead, there shall be no software reset switch.)

Stage three can be triggered by either of two conditions. The second condition is
meant to respond to an extreme and sudden cold snap.
Protecting the cooling coil in this situation will require water movement through
the coil, which means that the CHW pumps need to be energized.
Heating coil is controlled to an air temperature setpoint. The sensors will not read
accurately with the fan off, but they will be influenced by proximity to the heating
coil. A temperature of 27°C (80°F) at either of these sensors indicates that the
interior of the unit is sufficiently warm. This avoids the situation where a fixed
valve position leads to very high (and potentially damaging) temperatures inside
the unit.

J. Standard Alarms

1. Maintenance interval alarm when fan has operated for more than 1,500 hours:
Level 4. Reset interval counter when alarm is acknowledged.

2. Fan alarm is indicated by the status being different from the command for a period
of 15 seconds.

a. Commanded on, status off: Level 2

b. Commanded off, status on: Level 4

Automatic Fault Detection and Diagnostics (AFDD) is a sophisticated system

for detecting and diagnosing air handler faults.

To function correctly, it requires specific sensors and data be available, as

detailed in the sequences below. If this information is not available, AFDD tests
that do not apply should be deleted.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 158

K. Automatic Fault Detection and Diagnostics

The Automatic Fault Detection and Diagnostics (AFDD) routines for AHUs
continually assesses AHU performance by comparing the values of BAS inputs and
outputs to a subset of potential fault conditions. The subset of potential fault conditions
that is assessed at any point depends on the Operating State of the AHU, as determined
by the position of the cooling and heating valves and the economizer damper. Time
delays are applied to the evaluation and reporting of fault conditions, to suppress false
alarms. Fault conditions that pass these filters are reported to the building operator
along with a series of possible causes.
These equations assume that the air handler is equipped with hydronic heating and
cooling coils, as well as a fully integrated economizer. If any of these components are
not present, the associated tests and variables should be omitted from the
programming.
Note that these alarms rely on reasonably accurate measurement of mixed air
temperature. An MAT sensor is required for many of these alarms to work, and an
averaging sensor is strongly recommended for best accuracy. If an MAT sensor is not
installed, omit Fault Conditions #2, #3, #5, #8, #10, and #12.

1. AFDD conditions are evaluated continuously and separately for each operating air
handling unit.

2. The Operating State (OS) of each AHU shall be defined by the commanded
positions of the heating coil control valve, cooling coil control valve, and
economizer damper in accordance with the following table and corresponding
graphic.

The Operating State is distinct from and should not be confused with the Zone
Status (Cooling, Heating, Deadband) or Zone Group Mode (Occupied,
Warmup, etc.).
OS#1 – OS#4 represent normal operation during which a fault may
nevertheless occur, if so determined by the fault condition tests in section e
below. By contrast, OS#5 typically represents an abnormal or incorrect
condition (such as simultaneous heating and cooling) arising from a controller
failure or programming error, but it may also occur normally, e.g., when
dehumidification is active.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 159

Heating Cooling
Valve Valve Outdoor Air
Operating State Position Position Damper Position
#1: Heating >0 =0 = MIN
#2: Free Cooling, Modulating OA =0 =0 MIN < X < 100%
#3: Mechanical + Economizer Cooling =0 >0 = 100%
#4: Mechanical Cooling, Min OA =0 >0 = MIN
#5: Unknown or Dehumidification No other OS applies
OS#1 OS#2 OS#3 OS#4

100%
Damper/Valve Position, % Open

CHW Valve
Outdoor Air
Damper
HW Valve

0%

3. The following points must be available to the AFDD routines for each AHU:

For the AFDD routines to be effective, an averaging sensor is recommended

for supply air temperature. An averaging sensor is essential for mixed air
temperature, as the environment of the mixing box will be subject to non-
uniform and fluctuating air temperatures. It is recommended that the OAT
sensor be located at the AHU, so that it accurately represents the temperature
of the incoming air.

a. SAT = Supply air temperature

b. MAT = Mixed air temperature

c. RAT = Return air temperature

d. OAT = Outdoor air temperature

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 160

e. DSP = Duct static pressure

f. SATsp = supply air temperature setpoint for heating coil & economizer control

g. SATsp-C = supply air temperature setpoint for cooling coil control

h. HC = heating coil valve position command; 0% ≤ HC ≤ 100%

i. CC = cooling coil valve position command; 0% ≤ CC ≤ 100%

j. FS = fan speed command; 0% ≤ FS ≤ 100%

k. CCET = cooling coil entering temperature; depending on the AHU

configuration, this could be the MAT or a separate sensor for this specific
purpose.

l. CCLT = cooling coil leaving temperature; depending on the AHU

configuration, this could be the SAT or a separate sensor for this specific
purpose.

m. HCET = heating coil entering temperature; depending on the AHU

configuration, this could be the MAT or a separate sensor for this specific
purpose.

n. HCLT = heating coil leaving temperature; depending on the AHU

configuration, this could be the SAT or a separate sensor for this specific
purpose.

4. The following values must be continuously calculated by the AFDD routines for
each AHU:

a. 5-minute rolling averages with 1-minute sampling of the following point

values; operator shall have the ability to adjust the averaging window and
sampling period for each point independently

1) SATAVG = rolling average of supply air temperature

2) MATAVG = rolling average of mixed air temperature

3) RATAVG = rolling average of return air temperature

4) OATAVG = rolling average of outdoor air temperature

5) CCETAVG = rolling average of cooling coil entering temperature

6) CCLTAVG = rolling average of cooling coil leaving temperature

7) HCETAVG = rolling average of heating coil entering temperature

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 161

8) HCLTAVG = rolling average of heating coil leaving temperature

b. OS = number of changes in Operating State during the previous 60 minutes

(moving window)

5. The following internal variables shall be defined for each AHU. All parameters are
adjustable by the operator, with initial values as given below:

Default values are derived from NISTIR 7365 (Jeffrey Schein, October 2006)
and have been validated in field trials. They are expected to be appropriate
for most circumstances, but individual installations may benefit from tuning to
improve sensitivity and reduce false alarms.
The default values have been intentionally biased towards minimizing false
alarms, if necessary at the expense of missing real alarms. This avoids
excessive false alarms that will erode user confidence and responsiveness.
However, if the goal is to achieve the best possible energy performance and
system operation, these values should be adjusted based on field measurement
and operational experience.
Values for physical factors such as fan heat, duct heat gain, and sensor error
can be measured in the field or derived from trend logs. Likewise, the
occupancy delay and switch delays can be refined by observing in trend data
the time required to achieve quasi steady state operation.
Other factors can be tuned by observing false positives and false negatives
(i.e., unreported faults). If transient conditions or noise cause false errors,
increase the alarm delay. Likewise, failure to report real faults can be
addressed by adjusting the heating coil, cooling coil, temperature, or flow
thresholds.
Default
Variable Name Description Value
0.56°C
TSF Temperature rise across supply fan
(1°F)
Minimum difference between OAT and RAT
5.6°C
TMIN to evaluate economizer error conditions
(FC#6) (10°F)
ƐSAT Temperature error threshold for SAT sensor 1.1°C (2°F)
ƐRAT Temperature error threshold for RAT sensor 1.1°C (2°F)
ƐMAT Temperature error threshold for MAT sensor 2.7°C (5°F)
1.1°C (2°F)
if local
sensor @
ƐOAT Temperature error threshold for OAT sensor unit.
2.7°C (5°F)
if global
sensor.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 162

Cooling coil entering temperature sensor

ƐCCET
error. Equal to ƐMAT or dedicated sensor error
Cooling coil leaving temperature sensor error.
ƐCCLT
Equal to ƐSAT or dedicated sensor error Varies, see
Heating coil entering temperature sensor Description
ƐHCET
error; equal to ƐMAT or dedicated sensor error
Heating coil leaving temperature sensor error.
ƐHCLT
Equal to ƐSAT or dedicated sensor error
Maximum number of changes in Operating
OSMAX State during the previous 60 minutes (moving 7
window)
Time in minutes to suspend Fault Condition
ModeDelay evaluation after a change in Mode
30
Time in minutes that a Fault Condition must
AlarmDelay persist before triggering an alarm
30
TestModeDelay Time in minutes that Test Mode is enabled 120

The purpose of ΔTMIN is to ensure that the mixing box/economizer damper tests
are meaningful. These tests are based on the relationship between supply,
return, and outdoor air. If RAT ≈ MAT, these tests will not be accurate and
will produce false alarms.
The purpose of TestModeDelay is to ensure that normal fault reporting occurs
after the testing and commissioning process is completed as described in
5.16K.12.

6. The following are the potential Fault Conditions that can be evaluated by the AFDD
routines. (At most, 14 of the 15 Fault Conditions are actively evaluated, but
numbering was carried over from multiple zone AHUs for consistency.) If the
equation statement is true, then the specified fault condition exists. The Fault
Conditions to be evaluated at any given time will depend on the Operating State of
the AHU.

These equations assume that the SAT sensor is located downstream of the
supply fan, and the RAT sensor is located downstream of the return fan. If
actual sensor locations differ from these assumptions, it may be necessary to
add or delete fan heat correction factors.
To detect the required economizer faults in Title 24, Section 120.2(i)7, use
Fault Conditions #2, 3, and 5-13 at a minimum. Other Title 24 AFDD
requirements, including acceptance tests, are not met through these fault
conditions.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 163

Applies
This fault condition is not used in single zone units, as it requires a
FC #1 to OS
static pressure setpoint.
#1 – #5

Equation MATAVG + ƐMAT < min[(RATAVG - ƐRAT), (OATAVG - ƐOAT)]

FC #2
(omit if Description MAT too low; should be between OAT and RAT Applies
no RAT sensor error to OS
MAT Possible #1 – #5
MAT sensor error
sensor) Diagnosis
OAT sensor error
Equation MATAVG - ƐMAT > min[(RATAVG + ƐRAT), (OATAVG + ƐOAT)]
FC #3
(omit if Description MAT too high; should be between OAT and RAT Applies
no RAT sensor error to OS
MAT Possible #1 – #5
MAT sensor error
sensor) Diagnosis
OAT sensor error
Equation OS > OSMAX
Applies
Description Too many changes in Operating State
FC #4 to OS
Possible Unstable control due to poorly tuned loop or #1 – #5
Diagnosis mechanical problem
Equation SATAVG + ƐSAT ≤ MATAVG - ƐMAT + TSF
Description SAT too low; should be higher than MAT
FC #5
(omit if SAT sensor error Applies
no MAT sensor error to OS
MAT Possible Cooling coil valve leaking or stuck open #1
sensor) Diagnosis Heating coil valve stuck closed or actuator failure
Fouled or undersized heating coil
HW temperature too low or HW unavailable
| RATAVG - OATAVG | ≥ TMIN
Equation and
| RATAVG - MATAVG | > | OATAVG - MATAVG |
OA fraction is too high; MAT should be closer to Applies
FC #6 Description to OS
RAT than to OAT
#1, #4
RAT sensor error
Possible MAT sensor error
Diagnosis OAT sensor error
Leaking or stuck economizer damper or actuator

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 164

SATAVG < SATSP - ƐSAT

Equation and
HC ≥ 99%
Description SAT too low in full heating Applies
FC #7 SAT sensor error to OS
Cooling coil valve leaking or stuck open #1
Possible Heating coil valve stuck closed or actuator failure
Diagnosis Fouled or undersized heating coil
HW temperature too low or HW unavailable
Leaking or stuck economizer damper or actuator

Equation | SATAVG - TSF - MATAVG | > Ɛ Ɛ

FC #8
(omit if Description SAT and MAT should be approximately equal Applies
no SAT sensor error to OS
MAT Possible MAT sensor error #2
sensor) Diagnosis Cooling coil valve leaking or stuck open
Heating coil valve leaking or stuck open
Equation OATAVG + ƐOAT > SATSP - TSF + ƐSAT
OAT is too high for free cooling without additional
Description Applies
mechanical cooling
FC #9 to OS
SAT sensor error #2
Possible
OAT sensor error
Diagnosis
Cooling coil valve leaking or stuck open

FC #10 Equation | MATAVG - OATAVG | > Ɛ Ɛ

(omit if Description OAT and MAT should be approximately equal Applies
no to OS
MAT MAT sensor error #3
Possible
sensor) OAT sensor error
Diagnosis
Leaking or stuck economizer damper or actuator
Equation OATAVG + ƐOAT < SATSP - TSF - ƐSAT
Description OAT is too low for 100% OA cooling
Applies
FC #11 SAT sensor error to OS
Possible OAT sensor error #3
Diagnosis Heating coil valve leaking or stuck open
Leaking or stuck economizer damper or actuator

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 165

Equation SATAVG - ƐSAT - TSF ≥ MATAVG + ƐMAT

Description SAT too high; should be less than MAT
FC #12
(omit if SAT sensor error Applies
no MAT sensor error to OS
MAT Possible Cooling coil valve stuck closed or actuator failure #3, #4
sensor) Diagnosis Fouled or undersized cooling coil
CHW temperature too high or CHW unavailable
Heating coil valve leaking or stuck open
SATAVG > SATSP-C + ƐSAT
Equation and
CC ≥ 99%
Description SAT too high in full cooling Applies
FC #13 SAT sensor error to OS
Cooling coil valve stuck closed or actuator failure #3, #4
Possible
Fouled or undersized cooling coil
Diagnosis
CHW temperature too low or CHW unavailable
Heating coil valve leaking or stuck open

CCETAVG - CCLTAVG ≥ Ɛ Ɛ + TSF*

Equation
*Fan heat factor included or not depending on location of
sensors used for CCET and CCLT Applies
FC#14 to OS
Description Temperature drop across inactive cooling coil
#1, #2
CCET sensor error
Possible
CCLT sensor error
Diagnosis
Cooling coil valve stuck open or leaking.
HCLTAVG - HCETAVG ≥ Ɛ Ɛ + TSF*
Equation
*Fan heat factor included or not depending on location of
sensors used for HCET and HCLT Applies
FC#15 to OS
Description Temperature rise across inactive heating coil
#2 – #4
HCET sensor error
Possible
HCLT sensor error
Diagnosis
Heating coil valve stuck open or leaking.

7. A subset of all potential fault conditions is evaluated by the AFDD routines. The
set of applicable fault conditions depends on the Operating State of the AHU. If an
MAT sensor is not installed, omit Fault Conditions #2, #3, #5, #8, #10, and #12:

a. In OS #1 (Heating), the following Fault Conditions shall be evaluated:

1) FC#2: MAT too low; should be between RAT and OAT

2) FC#3: MAT too high; should be between RAT and OAT

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 166

3) FC#4: Too many changes in Operating State

4) FC#5: SAT too low; should be higher than MAT

5) FC#6: OA fraction is too high; MAT should be closer to RAT than to OAT

6) FC#7: SAT too low in full heating

7) FC#14: Temperature drop across inactive cooling coil

b. In OS#2 (Modulating Economizer), the following Fault Conditions shall be

evaluated:

1) FC#2: MAT too low; should be between RAT and OAT

2) FC#3: MAT too high; should be between RAT and OAT

3) FC#4: Too many changes in Operating State

4) FC#8: SAT and MAT should be approximately equal

5) FC#9: OAT is too high for free cooling without mechanical cooling

6) FC#14: Temperature drop across inactive cooling coil

7) FC#15: Temperature rise across inactive heating coil

c. In OS#3 (Mechanical + 100% Economizer Cooling), the following Fault

Conditions shall be evaluated:

1) FC#2: MAT too low; should be between RAT and OAT

2) FC#3: MAT too high; should be between RAT and OAT

3) FC#4: Too many changes in Operating State

4) FC#10: OAT and MAT should be approximately equal

5) FC#11: OAT too low for 100% OA

6) FC#12: SAT too high; should be less than MAT

7) FC#13: SAT too high in full cooling

8) FC#15: Temperature rise across inactive heating coil

d. In OS#4 (Mechanical Cooling, Min OA), the following Fault Conditions shall
be evaluated:

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 167

1) FC#2: MAT too low; should be between RAT and OAT

2) FC#3: MAT too high; should be between RAT and OAT

3) FC#4: Too many changes in Operating State

4) FC#6: OA fraction is too high; MAT should be closer to RAT than to OAT

5) FC#12: SAT too high; should be less than MAT

6) FC#13: SAT too high in full cooling

7) FC#15: Temperature rise across inactive heating coil

e. In OS#5 (Other), the following Fault Conditions shall be evaluated:

1) FC#2: MAT too low; should be between RAT and OAT

2) FC#3: MAT too high; should be between RAT and OAT

3) FC#4: Too many changes in Operating State

8. For each air handler, the operator shall be able to suppress the alarm for any Fault
Condition.

9. Evaluation of Fault Conditions shall be suspended under the following conditions:

a. When AHU is not operating.

b. For a period of ModeDelay minutes following a change in Mode (e.g., from

Warm up to Occupied) of any Zone Group served by the AHU.

10. Fault Conditions that are not applicable to the current Operating State shall not be
evaluated.

11. A Fault Condition that evaluates as true must do so continuously for AlarmDelay
minutes before it is reported to the operator.

12. Test Mode shall temporarily set ModeDelay and AlarmDelay to 0 minutes for a
period of TestModeDelay minutes to allow instant testing of the AFDD system and
ensure normal fault detection occurs after testing is complete.

13. When a Fault Condition is reported to the operator, it shall be a Level 3 alarm and
shall include the description of the fault and the list of possible diagnoses from the
table in 5.16K.6.

L. Testing/Commissioning Overrides: Provide software switches that interlock to a

chilled water and hot water plant level to

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 168

1. If there is a hot water coil, force hot water valve full open.

2. If there is a hot water coil, force hot water valve full closed.

3. If there is a chilled water coil, force chilled water valve full open.

4. If there is a chilled water coil, force chilled water valve full closed.

Per 5.1K, all hardware points can be overridden through the BAS. Each of the
following points is interlocked so that they can be overridden as a group on a plant
level.
E.g., The CxA can check for valve leakage by simultaneously forcing closed all CHW
valves at all AHUs served by the chiller plant and then recording flow at the chiller.

Central plant sequences are not part of the initial scope of Guideline 36, but control
logic for Plant Requests are being included for future use, when central plant
sequences are added.
Typically, the chiller or boiler plant will start when there is at least one request for 5
minutes and stop when there are no requests for 5 minutes, after a minimum run-time
has elapsed.
Chilled Water and Hot Water reset requests are used in Trim & Respond loops to
control supply water temperature and/or pump DP setpoints based on zone and AHU
demands.

M. Plant Requests

1. Chilled Water Reset Requests

a. If the supply air temperature exceeds SATsp-C by 2.8°C (5°F) for 2 minutes,
send 3 Requests,

b. Else if the supply air temperature exceeds SATsp-C by 1.7°C (3°F) for 2
minutes, send 2 Requests,

c. Else if the CHW valve position is greater than 95%, send 1 Request until the
CHW valve position is less than 85%,

d. Else if the CHW valve position is less than 95%, send 0 Requests

2. Chiller Plant Requests. Send the chiller plant that serves the system a Chiller Plant
Request as follows:

a. If the CHW valve position is greater than 95%, send 1 Request until the CHW
valve position is less than 10%

b. Else if the CHW valve position is less than 95%, send 0 Requests.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 169

3. If there is a hot water coil, Hot Water Reset Requests

a. If the supply air temperature is 17°C (30°F) less than SATsp for 5 minutes, send
3 Requests,

b. Else if the supply air temperature is 8.3°C (15°F) less than SATsp for 5 minutes,
send 2 Requests,

c. Else if HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 85%,

d. Else if the HW valve position is less than 95%, send 0 Requests

4. If there is a hot water coil, Boiler Plant Requests. Send the boiler plant that serves
the AHU a Boiler Plant Request as follows:

a. If the HW valve position is greater than 95%, send 1 Request until the HW
valve position is less than 10%

b. Else if the HW valve position is less than 95%, send 0 Requests.

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 170

PART 6 - CONTROL DIAGRAMS (INFORMATIVE APPENDIX)

This section provides control diagrams for a selection of the equipment configurations described
in this document. These diagrams may be used in drawings when appropriate, but they are not
intended to represent all of the possible equipment configurations that are supported by these
sequences. The designer should edit these diagrams as required for the project.

These diagrams are an informative appendix to the guideline.

6.1 VAV Terminal Unit, Cooling Only

6.2 VAV Terminal Unit with Reheat

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 171

6.3 Parallel Fan-Powered Terminal Unit, Constant Volume Fan

6.4 Parallel Fan-Powered Terminal Unit, Variable Volume Fan

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 172

6.5 Series Fan-Powered Terminal Unit, Constant Volume Fan

6.6 Dual Duct Terminal Unit with Inlet Sensors

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 173

6.7 Dual Duct Terminal Unit with Discharge Sensor

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 174

6.8 Multiple Zone VAV Air Handling Unit with Return Fan and OA Measurement Station

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 175

6.9 Multiple Zone VAV Air Handling Unit with Relief Fan & Differential Pressure OA Measurement

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 176

6.10 Dual Fan Dual Duct Heating VAV Air Handling Unit

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review
Page 177

6.11 Single Zone VAV Air Handling Unit (Return Fan Option)

ASHRAE Guideline 36: High Performance Sequences of Operation for HVAC Systems
Second Publication Public Review