VOL. 4, NO.

3 HVAC&R RESEARCH JULY 1998

303
Common Faults and Their Impacts for
Rooftop Air Conditioners
Mark S. Breuker James E. Braun, Ph.D., P.E.
Associate Member ASHRAE Member ASHRAE
This paper identifies important faults and their performance impacts for rooftop air conditioners.
The frequencies of occurrence and the relative costs of service for different faults were estimated
through analysis of service records. Several of the important and difficult to diagnose refrigera-
tion cycle faults were simulated in the laboratory. Also, the impacts on several performance indi-
ces were quantified through transient testing for a range of conditions and fault levels. The
transient test results indicated that fault detection and diagnostics could be performed using
methods that incorporate steady-state assumptions and models. Furthermore, the fault testing led
to a set of generic rules for the impacts of faults on measurements that could be used for fault diag-
noses. The average impacts of the faults on cooling capacity and coefficient of performance
(COP) were also evaluated. Based upon the results, all of the faults are significant at the levels
introduced, and should be detected and diagnosed by an FDD system. The data set obtained dur-
ing this work was very comprehensive, and was used to design and evaluate the performance of
an FDD method (Breuker 1997a) that will be reported in a future paper.
INTRODUCTION
As the cost of hardware (e.g., sensors, microprocessors) goes down, interest in automated
fault detection and diagnostics (FDD) for vapor compression grows. One of the first steps in
developing an FDD system is to identify the most important faults that should be considered.
The only publication found to have addressed causes of failure for air conditioning equipment
was presented by Stouppe and Lau (1989). In it, the authors summarized the cause of 15,716
failures that led to insurance claims in HVAC&R equipment over an eight-year period from
19801987. Of the failures in hermetic air conditioning units, 76% were attributed to electrical
components, 19% to mechanical components, and 5% to items in the refrigeration circuit. Of the
electrical failures, almost 87% were failures in the motor windings. The primary causes given
for motor failure were deterioration of the insulation, unbalanced or single-phase operation,
short cycling, and refrigerant contamination. The mechanical failures were almost all in the
compressor valves, bearings, or connecting rods. The primary reasons given for these failures
were general fatigue in the valves and valve springs, liquid slugging, and loss of lubrication.
Stouppe and Lau (1989) did not report any repair costs, nor did they attempt to identify operat-
ing conditions or other faults that may lead to premature failures.
Once the important faults are specified, the FDD development process typically involves arti-
ficially introducing these faults and measuring their impacts on measurements used by the FDD
algorithm for detection and diagnosis. For the most part, the methods that have been developed
for on-line FDD involve the use of thermodynamic measurements to detect and diagnose faults
that degrade system cooling capacity and efficiency and impact equipment life. Methods based
upon thermodynamic measurements have been documented by McKellar (1987), Stallard
Mark Breuker is a project engineer with DukeSolutions in Indianapolis, Indiana. He was a graduate research assistant
in the School of Mechanical Engineering, Purdue University, where James E. Braun is an associate professor.
TABLE OF CONTENTS
VOLUME 4, NUMBER 3, JULY 1998 304
(1989), Yoshimua and Noboru (1989), Kumamaru et al. (1991), Wagner and Shoureshi (1992),
Hiroshi et al. (1992), Grimmelius et al. (1995), Stylianou and Nikanpour (1996), and Rossi and
Braun (1997). The faults considered include compressor valve leakage, heat exchanger fan fail-
ures, evaporator frosting, condenser fouling, evaporator air filter fouling, liquid line restriction,
and refrigerant leakage. Typically, temperature and pressure measurements have been consid-
ered because of their relatively low cost.
A few studies have addressed the effects of faults on overall air-conditioning system perfor-
mance. Bultman et al. (1993) showed a 7.6% decrease in system COP for a 40% reduction in air-
flow for an air conditioner. Krafthefer et al. (1987) estimated a 10-13% decrease in COP for
typical evaporator filter fouling of a heat pump. Furthermore, they estimated operating cost sav-
ings of 10-25% through use of a high efficiency air filter upstream of the evaporator. Rossi and
Braun (1996) compared the combined service and energy costs associated with optimal mainte-
nance scheduling for cleaning of condensers and evaporator air filters for rooftop air condition-
ers. They estimated total cost savings between 5 and 15%.
None of the previous studies systematically evaluated the impact of different fault levels on
system measurements over a wide range of operating conditions and with typical dynamics. As a
result, the data are not useful in quantifying the robustness of FDD methods. In contrast, the
work associated with this paper focused on rooftop air conditioners and had two goals: (1) to
identify the important faults to include in an automated FDD system and, (2) to develop
fault-free and faulty data that could be used to evaluate and optimize the performance of FDD
methods. For the first goal, a database of service records was analyzed from an HVAC service
company that focuses on equipment for large commercial chain stores. Most of the stores use
direct expansion rooftop air conditioning units to meet their air conditioning needs. The faults
were analyzed in terms of both frequency of occurrence and total cost of repairs. For the second
goal, transient operation of a rooftop air conditioner was simulated in the laboratory. Fault lev-
els, load levels, and ambient conditions were all varied during testing and a large database of
measurements was generated. These data were used to design and evaluate the performance of
an FDD method that will be reported in a future paper. More detailed documentation of the work
presented in this paper is given by Breuker (1997a, 1997b).
Survey of Common Faults
A database was analyzed from a service company that primarily services rooftop air condi-
tioners for stores. The database contains over 6000 separate fault cases from 1989 to 1995. Both
frequency of occurrence and total cost of repair for different faults were estimated using a statis-
tically representative subset of the data. Frequency of occurrence information helps to expose
the nuisance faults, those faults that are not expensive to fix, but cause a periodic loss of com-
fort and frequent visits from service technicians. Total cost of repair data targets those faults that
are dominating service costs and should be included in an FDD system. For frequently occurring
faults, an FDD system could provide quick diagnoses and allow on-site personnel to provide
repairs. Furthermore, the FDD system could detect and prevent operating conditions or second-
ary faults that lead to expensive failures.
Table 1 shows the frequency of occurrence of faults that led to inadequate building comfort,
which is termed No Air Conditioning by service personnel. For this classification of faults,
approximately 40% of the failures were electrical or controls related and the other 60% were
mechanical. However, motor failures were classified with the equipment that they power (e.g.,
condenser motor fans with condenser). If motor failures are reclassified under the Electrical
Problem category, electrical and control failures accounted for about 60% of the failures, while
mechanical problems accounted for 40%.
305 HVAC&R RESEARCH
Table 1. Classification of No Air
Conditioning Cases
Causes for No Air
Conditioning Service Call
% Total
Occurrences
Controls error 21%
Electrical problem 20%
Refrigerant leak 12%
Condenser 7%
Air handling 7%
Evaporator 6%
Compressor 5%
Cooling water loop 4%
Plugged filters 2%
Personnel error 2%
Expansion device 2%
Cant classify 12%
Table 2. Classification of Fault Types by
Total Cost
General Classification of Faults
% Total
Occurrences
Compressor 24%
Controls 10%
Condenser 9%
Electrical 7%
Evaporator 6%
New installation 6%
Air handling 5%
Refrigerant leak 5%
Installation/start-up 4%
Cooling water loop 4%
Fan belt 2%
Others 18%
Table 2 shows the total service costs associated with repairs as a percentage of the total costs
of service provided for different faults. Although compressor failures do not occur as frequently
as other faults, they are by far the most costly failure for unitary air conditioners. Both the labor
and component costs are high for replacing compressors. The costs associated with controls and
electrical faults are also high due to the high frequency of repair. The combined refrigeration
cycle faults (condenser, evaporator, air handling, and refrigerant leakage) account for approxi-
mately 25% of the costs. Aside from costs, refrigerant leakage is an environmental concern and
detection could eventually be mandated for unitary equipment.
Table 3 gives a cost breakdown of the diagnoses associated with compressor faults. Approxi-
mately 70% of the classified faults were associated with motor problems. Another important
fault termed internal bypass/inefficient refers to a loss in compressor capacity due to compres-
sor valve leakage or other leakage paths. This type of fault causes a degradation in performance
that is not typically detected until comfort is compromised.
The causes that lead to compressor failures were analyzed through personal interactions with
industrialists who are involved in reliability and repair (Megrue 1995, Janaushek 1995). It was
found that although most failures in hermetic compressors are diagnosed as a failure in the
motor, these failures are usually the result of a mechanical problem that has overloaded the
motor. Furthermore, the primary cause of mechanical failures in positive displacement compres-
sors is liquid refrigerant in the compressor.
The presence of liquid in the compression chamber can result in damage to valves, rods, and
pistons. Also, if liquid refrigerant is held in the compressor during startup (i.e. flooded start), oil
may be carried out of the compressor shell, resulting in a temporary loss of lubrication until the
oil completes the refrigeration circuit and returns to the compressor. Cool mornings, which
occur in the spring and fall, cause liquid refrigerant to pool in the compressor, resulting in a
flooded start. Continuous liquid floodback caused by a lack of suction superheat also cools the
compressor body. When the system shuts down, the liquid refrigerant collects in the cool com-
pressor shell, resulting in a flooded start when the system is restarted again. Because many air
conditioners operate with on-off control, a system could go through a number of flooded starts
in a day if liquid floodback is present. Some causes of liquid floodback are fouled evaporator
coils, fouled condenser coils, refrigerant overcharge, and a faulty TXV.
VOLUME 4, NUMBER 3, JULY 1998 306
Table 3. Compressor Fault Cost Breakdown
Description of Compressor
Fault
% of Total
Category Cost
Short to ground 25%
Open windings 17%
Locked rotor 16%
Broken compressor internals 11%
Internal bypass/inefficient 8%
Other replacements 19%
Other nonreplacement problems 4%
Table 4. Condenser Fault Cost Breakdown
Description of Condenser
Fault
% of Total
Category Cost
Defective fan motor 50%
Fouling 30%
Fan cycle control installation 6%
Incorrect initial installation 5%
Fouling-comfort problem 5%
Leak/rupture of coil 3%
Fan belt replacement 1%
Table 5. Evaporator Fault Cost
Breakdown
Description of Evaporator
Fault
% of Total
Category Cost
Fouling 61%
Coil rupture/damage 25%
Fouling-comfort problem 14%
Table 6. Air-Handling Fault Cost
Breakdown
Description of Air Handling
Fault
% of Total
Category Cost
Blower motor replacement 38%
Fan replacement 14%
Loose/leaking air ducts 12%
Electrical problems 10%
Outside air damper motor 8%
Mechanical control problem 7%
Cant classify 6%
Blower belt replacement 5%
Other conditions which lead to early compressor failure include high compressor tempera-
tures and electrical supply problems, such as low voltage and voltage spikes. High compressor
temperatures may be caused by the following: condenser fan failure, condenser fouling, liquid
line restriction, or low refrigerant charge.
Tables 4 through 6 give a cost breakdown for faults associated with the condenser, evapora-
tor, and air handler categories of Table 2. These data indicate that fouling and fan motor failures
are the most important faults for the heat exchangers. Most of the service related to fouling was
specified while the service technician visited the equipment for other reasons. It should be noted
that only 18% of evaporator fouling and 14% of condenser fouling faults resulted in a loss of
comfort within the buildings.
Of the faults analyzed, Table 1 showed that those related to controls occurred most fre-
quently. However, Table 7 indicates that many of the control problems were simple and inex-
pensive to fix, such as the reprogramming of a thermostat. Table 8 shows that electrical faults
were dominated by more expensive replacements such as the need to replace a contactor or
another damaged electrical component.
Fault Detection and Diagnostics
Faults for vapor compression systems can be divided into two categories: (1) hard failures
that occur abruptly and either cause the system to stop functioning or not meet comfort condi-
tions and (2) soft faults that cause a degradation in performance but allow continued operation
of the system. Many of the most frequently occurring and expensive faults are associated with
service in response to hard failures, such as compressor and electrical faults. Certainly, an auto-
mated FDD system should be able to diagnose hard faults. However, these faults are typically
307 HVAC&R RESEARCH
Table 7. Control Fault Cost Breakdown
Description of Control Fault
% of Total
Category Cost
Recalibrate/reset thermostat 24%
General controls malfunction 20%
Replace thermostat 19%
Compressor safety switches 17%
Controls design problem 9%
Low pressure control 7%
Other 4%
Table 8. Electrical Fault Cost Breakdown
Description of Control Fault
% of Total
Category Cost
Replace Contactor 40%
Damaged Component 27%
Wiring Failure/Short 13%
Blown Fuses 8%
Reset Breaker 6%
Poor Connection 4%
Other 2%
easy to detect and diagnose using inexpensive measurements. For instance, a compressor failure
leads to a complete loss of refrigerant flow and can be easily diagnosed by monitoring the tem-
peratures or pressures at the inlet and outlet of the compressor. Similarly, a fan motor failure
could be diagnosed by measuring temperatures or pressures at the inlets and outlets of the heat
exchangers (evaporator or condenser) that they serve. Other hard faults that should probably be
included within an FDD system include common controls failures, blown fuses, and malfunc-
tioning electrical components such as contactors. It would also be important to detect dangerous
operating conditions, such as the possibility of flooded starts that lead to hard failures.
Soft faults, such as a slow loss of refrigerant or fouling of a heat exchanger, are more difficult
to detect and diagnose. Yet they are significant, often leading to premature failure of compo-
nents, a loss in comfort, or excessive energy consumption. These types of faults are the focus of
the remainder of this paper, and of a future paper that will evaluate the performance of an FDD
system. See also Breuker (1997a). In these studies, five faults were considered: (1) refrigerant
leakage, (2) condenser fouling, (3) evaporator filter fouling, (4) a liquid-line restriction, and (5)
compressor valve leakage. In each case, faults were simulated in the laboratory and the impacts
on several measurements and performance indices were quantified. The next section describes
experimental testing procedures and the methods used to simulate and characterize the levels of
these five faults. Then, results of the transient testing and the primary impacts of the faults on
system performance are presented.
Experimental Testing
The air conditioner that was used for experimental testing was a three-ton (10 kW) packaged
rooftop unit that was documented by Rossi and Braun (1997). It had a constant speed, hermeti-
cally-sealed, reciprocating compressor with on/off control and used fixed-orifice type expansion
devices for refrigerant flow control. When operating normally, the airflows across both the
evaporator and condenser were constant.
Uniform condenser fouling was simulated in the experiments by blocking the condenser coil
with uniformly spaced, vertical strips of paper. This type of fouling is representative of a
build-up of debris on the face of the condenser coil, in that it causes a net loss of condenser sur-
face area available for heat transfer and reduces the total mass flow rate of air across the coil.
For presentation of results, the level of fouling is expressed as a total percentage reduction in the
surface area of the condenser coil.
Evaporator fouling is generally the result of a plugged air filter or a blocked return air vent,
both of which cause a decrease in the flow of air over the evaporator coil. In this study, evapora-
tor fouling was simulated by reducing the speed of a variable-speed fan used within an airflow
measurement system. Fouling is indicated by a reduction in airflow rate measured as a percent-
age of the nominal flow.
VOLUME 4, NUMBER 3, JULY 1998 308
A liquid-line restriction can be caused by a plugged filter/dryer or some debris lodged in the
fixed orifice expansion device. In either case, it results in an increased pressure drop in the liq-
uid line. It was simulated in the experiments by partially closing a globe valve placed in the liq-
uid line. The level of fault was characterized as
(1)
where P
res
is the pressure drop across the restriction and P
sys
is the difference between high
side (condensing) and low side (evaporating) pressures in the system prior to the introduction of
the restriction.
Compressor valves can become damaged when slugs of liquid refrigerant enter the compres-
sor. The valves may then lose an effective seal, such that high pressure refrigerant in the com-
pression cylinder leaks back into the suction line across the suction valve, or discharged gas
leaks back into the cylinder across the discharge valve. Leakage across either valve results in a
reduction in the volumetric efficiency of the compressor. Compressor valve leakage was simu-
lated in the experiments by using a bypass valve that allows gas from the discharge line to recy-
cle into the suction line. The percentage reduction in the net volumetric efficiency of the
compressor was used to characterize the fault level and calculated using the known compressor
specifications, the inlet refrigerant state, and the mass flow measurement.
Refrigerant leakage is simply the loss of refrigerant from the system. This was simulated by
discharging a fixed amount of refrigerant from the rooftop unit into a receiving vessel and
weighing the vessel before and after the discharge. The level of refrigerant leakage was charac-
terized as the percentage reduction in the total charge in the system.
In this study, nine temperatures and one relative humidity were measured and used in charac-
terizing the fault impacts. These measurements are depicted in Figure 1. Three of these measure-
ments characterize the inputs that affect the operating states of the unit: the temperature of the
ambient air entering the condenser coil T
amb
, the temperature of the return air entering the evap-
orator coil T
ra
, and the relative humidity
ra
or wet-bulb temperature T
wb
of the return air. In a
simple rooftop air-conditioning unit (on/off compressor control, fixed speed fans) operating nor-
mally, all of the system operating states are primarily functions of these three driving conditions.
The operating state measurements used to characterize the impact of faults in this study are as
Restriction level 100%
P
res
P
sys
--------------
=
Figure 1. Vapor compression system with measurements
Condenser
Evaporator
T
sh
T
hg
T
cond
T
sc
T
evap
T
cao
T
eao,
T
wbo
T
amb
T
ra
, T
wb
309 HVAC&R RESEARCH
follows: (1) evaporating temperature T
evap
, (2) suction line superheat T
sh
, (3) condensing tem-
perature T
cond
, (4) liquid line subcooling T
sc
, (5) hot gas line or compressor outlet temperature
T
hg
, (6) air temperature rise across the condenser T
ca
= T
cao
T
amb
, and (7) air temperature
drop across the evaporator T
ea
= T
eao
T
ra
. In addition, measurements of refrigerant pressures,
refrigerant mass flow, and evaporator air mass flow were necessary to characterize the fault lev-
els as previously described. Furthermore, the impacts of faults on system cooling capacity and
coefficient of performance were also evaluated, so that compressor power measurements were
necessary.
Air-side temperatures were measured with 1000 Platinum RTDs. The accuracy of these
devices is within 1 , or 0.26C (Rossi 1995). Temperatures in the vapor compressor cycle were
measured using K-type thermocouples. The accuracy of the thermocouples when measured with
the data acquisition system is within 0.5C (Rossi 1995). These thermocouples were soldered
onto the copper refrigerant piping and wrapped with aluminum foil and insulation. Condensing
temperatures and evaporating temperatures were taken at return bend locations in the two-phase
region of the condenser and evaporator coils. Relative humidity was measured using a
duct-mounted capacitive polymer humidity sensor with an accuracy of 3% relative humidity in
the range of conditions considered in these tests.
Refrigerant mass flow rate was measured using a coriolis-type flow sensor. After calibration,
the accuracy of the sensor was 0.4% of full scale. The air mass flow rate across the evaporator of
the air conditioning test unit was measured using an air measurement system with nozzles hav-
ing known flow characteristics as outlined in ASHRAE Standard 41.2. Refrigerant pressures
were measured using pressure transducers. After calibration, the low-side pressure transducers
have a rated accuracy of 1% of full scale (0100 psig) or 1 psi (7 kPa), whereas the high-side
pressure sensors have an accuracy of 0.5% of full scale (0500 psig) or 2.5 psi (17 kPa). Com-
pressor electric power consumption was measured using a precision, AC watt transducer with an
output between 0 and 16 kW. The device was factory-calibrated, and accurate within 32 W.
Transient tests were performed in environmental chambers that could simulate indoor and
outdoor conditions. The transient tests were designed to provide data to fully test FDD tech-
niques under realistic conditions where the unit was cycling on and off to meet a building load.
The transients for a rooftop air conditioner with on/off cycling are due to changing indoor and
outdoor driving conditions, and to system startup and shutdown. In the transient testing, the rate
of change of the ambient temperature was negligible when compared to the other transients and
was not considered. The most important transient to consider in an FDD method is due to
start-up. Figure 2 shows a typical transient profile for indoor temperature and the associated
compressor outlet temperature under controlled conditions with on/off cycling. After the unit
turns on, the indoor temperature is cooled from an upper setpoint to a lower setpoint through a
deadband. During this time, the hot gas temperature increases, due to power input to the com-
pressor. Although this refrigerant state never reaches a true steady state due to the changing
room temperature, it is nearly at steady state 10 minutes after startup. The hot gas temperature
takes the longest of the refrigerant states to reach steady state because of the mass associated
with the compressor body and oil. When the room temperature is cooled to the lower setpoint,
the unit turns off, the room temperature floats to the upper setpoint, and the hot gas temperature
cools down.
The mass of air in the environmental chambers used in this study was much smaller than a typical
building served by this rooftop unit. Consequently, direct control of the load in the environmental
test chamber would not provide the correct transient response at part-load conditions. Instead, the
temperature profile in the room was controlled to behave as if the rooftop unit were cooling a much
larger room. A cycle time of 45 minutes, an upper setpoint of 76F (24.4C), and a deadband of 2F
(1 K) were selected as representative values for commercial cooling applications. Although the
VOLUME 4, NUMBER 3, JULY 1998 310
temperature was changed from approximately 76 to 74F (24.4 to 23.3C) during each transient
cycle, the relative humidity set point was held constant at 42%. The room temperature/relative
humidity combination lies in the center of the ASHRAE comfort zone (ASHRAE 1993). The por-
tion of the total cycle time (45 minutes) in which the rooftop unit provided cooling was varied to
simulate part-load conditions. For example at 20% load, the unit ran for 9 minutes and was off for
36 minutes. Two consecutive transient start-up responses were generated and data were recorded
at 5-second intervals at each of the conditions and fault levels. Measurements from the second tran-
sient were used to evaluate the impact of faults on performance.
Four distinct load/ambient conditions were used for the transient tests. Heat gains in the test
chamber were simulated at levels of 20, 40, 60, and 80% of the rooftop air-conditioning unit's
total cooling capacity. The ambient temperature was increased with load levels, as given in
Table 9. At each of the building load levels, faults were introduced into the test unit at four to
five distinct levels, as summarized in Table 10. The maximum fault levels in Table 10 corre-
spond to twice the levels that were detectable during steady-state tests using the FDD method
evaluated by Breuker (1997a).
Transient Test Results
A total of 96 transient tests were performed for the rooftop air conditioner [(4 load levels)
(24 fault levels)]. The impacts of the faults on the transient profiles of nine performance indices
(seven temperatures, power consumption, and cooling capacity) were then evaluated for each
test. Transient profiles for all of the performance indices were presented by Breuker (1997b).
Figures 3 through 11 show a sample (i.e., 5%) of these profiles. These figures show the impact
of the level of refrigerant leakage on transient responses for the nine performance indices at a
20% load level.
One observation that pertains to all of the profiles is that the indices all approached steady
state before about 200 seconds. Thus, even at the lowest load level, fault detection and diagnos-
tics could be performed using methods that incorporate steady-state assumptions and models.
The measurements with the slowest transients were T
ca,
T
ea
, T
hg
, and T
sh
. Some of the indices
Figure 2. Transient rooftop air condition operation
Rooftop Unit Hot Gas Temp vs. Time, Load at 70% Unit Capacity
40
50
60
70
80
90
047
1
1
1
4
1
8
2
2
2
5
2
9
3
2
3
6
4
0
4
3
4
7
5
0
5
4
5
8
6
1
6
5
6
8
7
2
7
6
7
9
8
3
8
6
9
0
9
4
9
7
1
0
1
1
0
4
1
0
8
1
1
2
1
1
5
1
1
9
Ti me (mi n)
T
h
g

(
C
)
Return Air Temperature vs. Time, 70% Load, 2 C Deadband
21.5
22
22.5
23
23.5
24
24.5
048
1
2
1
6
2
0
2
4
2
8
3
2
3
6
4
0
4
4
4
8
5
2
5
6
6
0
6
4
6
8
7
2
7
6
8
0
8
4
8
8
9
2
9
6
1
0
0
1
0
4
1
0
8
1
1
2
1
1
6
1
1
9
Ti me (mi n)
T
r
a

(
C
)
311 HVAC&R RESEARCH
(e.g., T
sh
and cooling capacity) showed a slow downward trend after the initial fast transient.
This was due to the cool-down of the return air (T
ra
) as the room temperature moved through its
deadband. The transient for hot gas temperature would probably have been slower if the indoor
temperature had not been decreasing.
The hot gas temperature, condensing temperature, cooling capacity, and air temperature dif-
ferences appeared to have first-order dynamics in response to the on/off cycling of the unit. The
hot gas temperature was relatively slow to respond because of the large energy storage associ-
ated with the compressor body, motor, and oil. The condensing temperature followed a similar
trend, indicating a relatively slow buildup of the condensing pressure. The first-order dynamics
of the air-side cooling capacity and air temperature differences suggest that energy storage
within the heat exchanger materials is important. The evaporation temperature, suction super-
heat, condenser subcooling, and the compressor power consumption exhibited higher-order
dynamic behavior. This behavior was undoubtedly due to transients associated with migration of
mass in the system.
Table 9. Outdoor Room Temperatures at Selected Load Levels
Load Level Ambient Temp., F (C)
20% 65 (18.3)
40% 73 (22.8)
60% 80 (26.7)
80% 87 (30.6)
Table 10. Fault Levels Introduced To Test Unit at Each Load/Ambient Level
Fault Fault Levels, %
Refrigerant leakage (% reduction in mass of charge) 0, 3.5, 7, 10.5, 14
Liquid line restriction (% of system pressure drop) 0, 5, 10, 15, 20
Compressor valve leakage (% reduction in volumetric efficiency) 0, 7, 14, 21, 28
Condenser fouling (% blockage of face area) 0, 14, 28, 42, 56
Evaporator fouling (% loss of airflow rate) 0, 12, 24, 36
Figure 3. T
evap
startup transients with decreasing refrigerant charge
VOLUME 4, NUMBER 3, JULY 1998 312
Figures 3 through 11 also show the impact of the faults on the transient profiles. As each fault
became progressively worse, the performance indices increasingly deviated from the no-fault
case. Many FDD methods use differences between measured states and expected states for nor-
mal operation as inputs for both fault detection and diagnosis. For this purpose, it is important that
the noise associated with the measured states be small compared to the magnitude of changes
due to the operating fault. This was found to be the case for all output measurements and faults,
except for the impact of refrigerant leakage on subcooling. As indicated in Figure 7, the short-term
noise associated with the measurement of liquid line subcooling (T
sc
) was significant compared
to the influence of refrigerant leakage at the levels introduced. This particular measurement is
Figure 4. T
sh
startup transients with decreasing refrigerant charge
Figure 5. T
cond
startup transients with decreasing refrigerant charge
313 HVAC&R RESEARCH
important in distinguishing between refrigerant leakage from a liquid line restriction using the
FDD method evaluated by Breuker (1997a). Thus, small fault sensitivity to noise ratio for this
measurement causes problems with the correct diagnosis of refrigerant leakage.
Fault Impacts on Performance
Breuker (1997a) evaluated an FDD method using the transient data described in the previous
section. The FDD method requires steady-state measurements of the seven temperatures pre-
sented in Figures 3 through 9 and incorporates a steady-state detector that identifies operating
Figure 6. T
hg
startup transients with decreasing refrigerant charge
Figure 7. T
ea
startup transients with decreasing refrigerant charge
VOLUME 4, NUMBER 3, JULY 1998 314
conditions that are near steady state. Diagnoses are performed through comparison of
steady-state residuals (differences between the measured temperatures and expected tempera-
tures for no fault operation) with a set of rules based on directional changes. The set of rules was
derived from the test data described in the previous section and is summarized in Table 11. Each
of the faults results in a different combination of positive or negative deviations from the mea-
surements for the no-fault case. For instance, the deviations from the no-fault case for refrigerant
leakage are evident from Figures 3 through 9. The rules of Table 11 held over all the loads and
ambient conditions tested and are thought to be generic for the type of equipment considered in
this study.
Figure 8. T
hg
startup transients with decreasing refrigerant charge
Figure 9. T
ea
startup transients with decreasing refrigerant charge
315 HVAC&R RESEARCH
Tables 12 through 16 show the average impact of the five faults on cooling capacity, coeffi-
cient of performance (COP), and compressor suction and discharge temperatures, as determined
from all of the transient profiles. These performance indices provide a means of comparing the
impact of different faults and quantifying the level at which faults become important. Reduc-
tions in capacity and efficiency are important because they result in higher energy bills and/or
loss of comfort for the building occupants, whereas no superheat or high discharge temperatures
can lead to early compressor failure. Although the faults have very different effects on these
indices, all of the faults are significant at the levels introduced and should be detected and diag-
nosed by an FDD system. Refrigerant leakage, liquid-line restriction, and evaporator fouling
Figure 10. T
ea
startup transients with decreasing refrigerant chargearge
Figure 11. Air-side capacity startup transients with decreasing refrigerant charge
VOLUME 4, NUMBER 3, JULY 1998 316
Table 11. Generic Rules for the Impact of Faults on Temperature Measurements
Fault T
evap
T
sh
T
cond
T
sc
T
hg
T
ca
T
ea
Refrigerant leak


Compressor valve leakage
Liquid-line restriction
Condenser fouling
Evaporator filter fouling
Table 12. Changes in Rooftop Operation Due to Refrigerant Leakage
Fault Level,
% leakage
% Change in
Capacity
% Change in
COP
Change in T
sh
,
F (K)
Change in T
hg
,
F (K)
3.5 3.0 2.7 3.5 (1.9) 3.3 (1.8)
7.0 3.8 2.8 7.0 (3.9) 6.1 (3.4)
10.5 5.6 3.6 9.9 (5.5) 8.4 (4.7)
14.0 8.0 4.6 11.1 (6.2) 10.0 (5.6)
Table 13. Changes in Rooftop Operation Due to Liquid Line Restriction
Fault Level,
% P
% Change in
Capacity
% Change in
COP
Change in T
sh
,
F (K)
Change in T
hg
,
F (K)
5 3.5 3.0 5.5 (3.1) 5.8 (3.2)
10.0 5.2 3.7 8.7 (4.8) 8.8 (4.9)
15.0 8.8 5.1 11.9 (6.6) 12.2 (6.8)
20.0 17.2 8.7 16.0 (8.9) 16.6 (9.2)
Table 14. Changes in Rooftop Operation Due to Compressor Valve Leakage
Fault Level
%
v
% Change in
Capacity
% Change in
COP
Change in T
sh
,
F (K)
Change in T
hg
,
F (K)
7 7.3 7.9 3.6 (2.0) 0.2 (0.1)
14 9.6 10.5 4.8 (2.7) 0.0 (0.0)
28 12.5 14.0 7.2 (4.0) 0.1 (0.06)
35 21.3 23.8 11.8 (6.6) 0.6 (0.3)
Table 15. Changes in Rooftop Operation Due to Condenser Fouling
Fault Level,
% area block
% Change in
Capacity
% Change in
COP
Change in T
sh
,
F (K)
Change in T
hg
,
F (K)
14 3.1 4.3 0.8 (0.4) 2.2 (1.2)
28 4.8 7.7 4.2 (2.3) 2.6 (1.4)
42 7.4 12.2 8.0 (4.4) 3.1 (1.7)
56 10.9 17.9 11.2 (6.2) 4.5 (2.5)
Table 16. Changes in Rooftop Operation Due to Evaporator Fouling
Fault Level,
% airflow
% Change in
Capacity
% Change in
COP
Change in T
sh
,
F (K)
Change in T
hg
,
F (K)
12 6.7 6.0 2.1 (1.2) 1.5 (0.8)
24 13.6 12.3 3.9 (2.2) 3.2 (1.8)
36 19.4 17.4 5.5 (3.1) 5.1 (2.8)
317 HVAC&R RESEARCH
have a greater effect on capacity than COP. Condenser fouling affects COP more than capacity,
and compressor valve leakage affects both features about the same. Refrigerant leakage, liquid
line restriction, and condenser fouling lead to higher compressor temperatures. Evaporator foul-
ing, compressor valve leakage, and condenser fouling cause low suction superheat.
SUMMARY
This paper has identified important faults and their impacts on the performance of rooftop air
conditioners. The frequencies of occurrence and relative costs of service for different faults were
estimated through analysis of service records. Electrical and controls problems occur most fre-
quently, while compressor failure lead to the greatest overall service costs. The direct service
costs associated with refrigerant cycle faults, such as refrigerant leakage and condenser fouling,
are significant but smaller than those for compressor failures. However, these soft faults lead
to compressor failures and degradations in cooling capacity and efficiency. Furthermore, soft
faults such as refrigerant leakage are more difficult to detect and diagnose than hard failures.
Several of these refrigeration cycle faults were simulated in the laboratory and the impacts on
performance indices were quantified.
The tests were designed to simulate realistic operation for a range of conditions where the unit
was cycling on and off to meet a building load. A total of 96 transient tests were performed for
the rooftop air conditioner at various load levels, ambient temperatures, and fault levels. Tem-
peratures, cooling capacity and compressor power consumption were used as performance indi-
ces to quantify the impacts of the faults on the system performance. The transient test results
indicate that the system approaches steady-state during the on portion of each on/off cycle, even
at low load levels. Thus, fault detection and diagnostics could be performed for this type of
equipment using methods that incorporate steady-state assumptions and models.
Each of the faults resulted in a different combination of positive or negative deviations from
the measurements for the no-fault case. These changes resulted in a set of rules that can be used
for diagnosing faults. The rules held over all the loads, fault levels, and ambient conditions
tested and are thought to be generic for the type of equipment considered in this study. The aver-
age impacts of the faults on cooling capacity and coefficient of performance (COP) were also
evaluated. These indices are important because they result in higher energy bills and/or loss of
comfort for the building occupants and provide a common measure for comparing the impact of
different faults. All of the faults are significant at the levels introduced and should be detected
and diagnosed by an FDD system. Refrigerant leakage, liquid line restriction, and evaporator
fouling have a greater effect on capacity than COP. Condenser fouling affects COP more than
capacity, and compressor valve leakage affects both features about the same.
The data obtained during this work are very comprehensive and useful in the development
and evaluation of FDD methods. Furthermore, these data have been used to design and evaluate
the performance of an FDD method (Breuker, 1997a) that will be reported in a future paper.
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