International Energy Agency

Occupant behaviour-centric building design

and operation EBC Annex 79
October 2018, updated after approval by IEA EBC
Prepared by:
Andreas Wagner Liam O’Brien
Karlsruhe Institute of Technology Carleton University
Faculty of Architecture Civil and Environmental Engineering
Building Science Group Human Building Interaction Laboratory
Englerstr. 7, 3432 Mackenzie Building1125 Colonel By Drive
76131 Karlsruhe, Germany Ottawa, Ontario, Canada K1S 5B6
Phone: +49 721 608 46511 Phone +011 613-520-2600 ext. 8037
Email: wagner@kit.edu Email: liam.obrien@carleton.ca

EBC is a programme of the International Energy Agency (IEA)

PREAMBLE
This annex text has been developed since the concept was first proposed in June 2017. It
benefitted from a first brainstorming at the Annex 66 expert meeting at DTU in Lyngby,
Denmark (June 2017), where ideas for future topics were collected, and from intensive
discussions over 1.5 days at the final Annex 66 expert meeting in Beijing (September 2017).
On this basis, a concept proposal was developed for the Ottawa IEA EBC ExCo meeting
(November 2017), and after approval, talks started with potential subtask leaders who then
helped to prepare and invite for a workshop which was held in London in April 2018. With
the results of this workshop, the feedback received from the Annex Advisor, Per Heiselberg,
and the contributions from the Subtask leaders, the final proposal was presented at the IEA
EBC ExCo meeting in Stockholm in June 2018 where it was approved and listed as EBC
Annex 79.

ANNEX 79 IN BRIEF
With the overall goal to integrate and implement occupancy and occupant behaviour into the
design process and building operation to improve both energy performance and occupant
comfort, the Annex will focus on:
• developing new scientific knowledge about adaptive occupant actions driven by
multiple interdependent indoor environmental parameters,
• understanding interactions between occupants and building systems, e.g. how
interfaces en-/discourage occupants taking advantage of adaptive opportunities for
improving their comfort situation, as well as the impact on building energy use,
• deploying ‘big data’ (e.g. data mining and machine learning) for the building sector
based on various sources of building and occupant data as well as sensing
technologies,
• developing methods and guidelines and preparing standards for integrating occupant
models in building design and operation, and
• performing focused case studies to test the new methods and models in different
design and operation phases in order to obtain valuable feedback for the researchers
and practitioners.
The purpose of the Annex is to provide new insight into comfort-related occupant behaviour
in buildings and its impact on building energy performance. An open collaboration platform
for data and software will support the use of data-mining methods and advanced occupant
behaviour models. It will further promote the usage of this knowledge in building design and
operation processes by giving policy support, preparing proposals for standards and
providing guidelines for practitioners. Results of the Annex will be widely disseminated
through conference and journal publications, journal special issues, panel discussions,
presentations, books, technical reports, and guidelines.
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1. BACKGROUND AND JUSTIFICATION

According to the International Energy Agency’s Energy Efficiency 2017 report (IEA, 2017),
total energy use of the building sector continues to increase over time. While energy
efficiency (measured by energy use intensity) is slowly improving (mostly driven by
technology and policy), it is being exceeded by the floor area growth rate. This means the
total absolute energy use of the buildings sector is still increasing. The majority of policies
(e.g., building codes and incentives) are focused on traditional domains, including building
envelopes and HVAC efficiency. Meanwhile, the unrealized energy efficiency potential of
buildings exceeds 80% - greater than the other major sections: industry, transport, and
power generation (IEA, 2017).
Depending on the building type and degree of automation, occupants remain one of the
greatest influences of building energy use. For instance, Hong and Lin (2013) performed a
simulation study to show that occupant behaviour at the office scale could increase energy
use by 80% or reduce it by 50% from standard assumptions (see Figure 1).

Figure 1: Relative impact on energy of occupant-related behaviours and building operational

parameters (Hong and Lin 2013)

While modern automation technologies have been introduced into buildings – in part to
reduce absolute energy use and uncertainty of energy use associated with occupants –
emerging evidence suggests that occupants are often dissatisfied with automation and may
intervene (e.g., Lee, Fernandes et al. 2013). Such interventions can include energy-intensive
behaviours such as leaving a window open in winter, covering motion sensors that control
lighting (e.g., Figure 2) covering inefficiently using a space heater, or prompting building
operators to make permanent overrides to reduce further complaints (Gunay, Shen et al.
2018). Designers often overlook or do not understand the fact that providing greater control
to occupants increases their acceptance and preference for a wider range of indoor
environmental conditions (Brager, Paliaga et al. 2004). Thus, a major question emerges and
remains in the field: what is the ideal between building automation and manual systems to
optimize occupant comfort, usability, perception of control, and energy efficiency (Figure 3)?
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Figure 2: Illustrative example of the importance of building interface details. Left: motion sensor
covered by an occupant to prevent lights from turning on. Right: a 95% energy reduction was
achieved by changing lighting control default to require occupants to turn lights on rather than them
turning on from occupant detection. (Gilani and O'Brien 2018)

Fully manual Fully automated

Figure 3: The spectrum of fully manual buildings to fully automated buildings; the optimal solution,
when occupant psychology and physiology are considered, is not evident.

Recent research (e.g., resulting from IEA EBC Annex 66 (2014-2017)) identified the strong
influence of occupants on building performance and provided a sound framework for
experimentally studying and modeling different behavioural actions, including the
implementation of these models into simulation platforms. However, design and building
operation practice shows that many of the models do not represent the manifold human
interactions with a building appropriately enough, and that there is no guidance for designers
and building managers on how to apply occupant behaviour models in standard practice.
The new Annex builds upon IEA EBC Annex 66, but will include much greater emphasis on
occupant comfort, data-driven methods, focused case studies projects, and policy. Some of
the key discoveries, developments, and outcomes of Annex 66 include:

• A detailed review of, and best practices guide, for data collection methods (sensors,
research methods) using four main research methods in-situ, lab, survey, virtual
reality. Development of building data ontology to structure and describe all building
data (including occupant-related)

• Rigorous comparison of occupant modeling methods (e.g., Markov chains, Bernoulli)

with theoretical explanations for all common occupant modeling forms. The issue of
modeling inter-occupant diversity was explored with recommendations made and
methods for evaluating occupant model performance were developed. Occupant
model implementation into simulation tools was explored using various approaches,
including obFMU (occupant behaviour functional mock-up unit)

• Investigation of relationship between model application and model complexity (“fit for
purpose”). Surveys were performed to gain a better understanding of industry’s
attitudes and practice about occupant modeling and 30 case study buildings were
documented to understand the role of occupant behaviour in buildings
However, new research questions emerged out of Annex 66, including:
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• What are the relationships and interdependencies between different indoor

environmental parameters (thermal, visual, olfactory, and aural comfort) and their
impact on perception and behaviour? (see Figure 4)?

• How do building controls’ interfaces and their underlying logic affect behaviour? How
can and should interfaces be systematically tested in experimental, in situ, immersive
environments, and simulation approaches?

• How can we systematically leverage building automation systems and other readily-
available data sources (e.g., using data-mining and artificial intelligence methods) to
develop occupant models, inform building design, and optimize building controls and
operations?

• How should experimental and occupant modeling findings be used to influence

building codes, standards, and policies?

• How much impact does occupant behaviour have across building types, climates,
and against other agents (e.g., building operators)?

• How can uncertainty and risks from occupants be managed and exploited in building
design?

• Are current post-occupancy surveys adequate to study behaviour?

Conventional occupant modeling Next generation occupant modeling

Occupant(s)

Adaptive actions
Occupant(s) Paradigm Acoustic
comfort
Visual
comfort (windows, thermostats,
Heat, moisture, shift blinds, lights, etc.)
CO2 gains IEQ
Operating Performance Indoor air
Building quality Interface (considering
conditions Energy, comfort
Thermal
comfort design, context, logic)

Operating Performance
conditions Building
Energy, comfort

Figure 4: Paradigm shift in the way occupants are modelled in buildings: from occupants as passive
sources of heat, moisture, and emissions to active decision-making agents that respond to indoor
environmental conditions.

2. OBJECTIVES AND SCOPE

2.1. Objectives
The overall goal to which Annex 79 is to contribute is:
Developing, demonstrating, and deploying methodologies, technologies, and policies
to design and operate buildings that are comfortable, usable, adaptable, and energy-
efficient – particularly in the context of occupancy and occupant behaviour.
To achieve the above goal, the following objectives will be addressed:

• Improvement of knowledge about occupants’ interactions with building technologies.

A specific focus will be on comfort-driven actions caused by multiple and
interdependent environmental influences which are not yet covered by current
models.
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• Understanding of building technologies’ interfaces which play an important role on

whether occupants take advantage of adaptive opportunities for improving their
actual comfort situation at all. As most behavioural actions relate to building energy
consumption, special emphasis will be given to energy-saving strategies with regard
to the use of building technologies.

• Deployment of ‘big data’ for the building sector as the availability of various data
related to occupants’ behaviour in buildings increases rapidly. It will be investigated
whether techniques as data mining and machine learning offer new modeling
strategies which are suitable to represent occupant behaviour in an improved
manner.

• Sustainable implementation of occupant behaviour models in building practice by

developing guidelines and preparing recommendations for standards for applying
occupant behaviour models during building design and operation. Focused case
studies will be used to implement and test the new models in different design and
operation phases in order to get valuable feedback for the researchers.

2.2. Scope
As per the above objectives, Annex 79 will focus on studying, designing, and operating
occupiable spaces at the room, zone, and building scales. The Annex will build up a solid
framework in which the main influencing factors of occupancy and occupants’ actions in
buildings will be systematically identified and described – first independently from the
building type. Then, depending on available data and case study buildings, exemplary use
cases will be investigated starting most likely with office and residential buildings, though the
focus may extend to other building types, such as academic, retail, and health care
buildings. The Annex is not focused on the community and city scales.
All topics are focused on occupants, occupancy (i.e., presence), occupant behaviour,
occupant comfort, and usability. These are the current pillars for the overarching goal to
significantly reduce operating energy of buildings, while improving occupant comfort. We
dispute the notion that excellent comfort and energy performance are mutually exclusive.
Instead, this Annex will demonstrate that a comfortable and usable building is an energy-
efficient building.
Focused case studies, whereby the members are actively involved in real building projects
(not passive reporting of case studies), will be a major emphasis of the Annex. They will
serve as a platform to implement, test and demonstrate new models, standards and
guidelines emerging from Annex research in a real building context during different design
and operation phases. Feedback and optimization loops ensure a fit for actual needs in
building practice.
The Annex will not be focused on simulation tool development, hardware development, or
specific policy development; however, it will provide recommendations and guidance for
these topics. Particularly the integration in modern digital planning environments will be
considered.
The annex will make use of research methods from various domains like engineering,
architecture, information technology, psychology, social sciences, etc.

3. MEANS
In order to achieve the above objectives, the following research questions have been
established. For each question, the Annex will: (1) review and develop methodological
approaches, (2) develop new knowledge, (3) perform focused cases studies, where
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applicable, and (4) transfer new methods and knowledge to key stakeholders (policy makers,
researchers, building designers, technology companies). To accomplish this, the Annex will
be organized in 4 Subtasks; the corresponding Subtasks that the questions map, are
indicated in brackets below and illustrated in Figure 5 which also shows the connections in
between them.

• How do the different indoor environmental parameters (thermal, visual, olfactory, and
aural comfort) relate to each other in the context of energy-related occupant behaviours?
(ST1)
• How do building interfaces, their context (e.g., placement), and their underlying logic
affect behaviour? What interface features and characteristics are most effective at
delivering a comfortable environment, outstanding perceived control, and reductions in
energy consumption? (ST1)
• How can new and existing data sources (e.g., building automation systems, human
resource databases, information technology networks, Internet of Things, etc.) and
advanced data analytics (e.g., machine learning, artificial intelligence, statistical
modelling) be exploited to develop new fundamental knowledge about occupant
behaviour, indoor environmental quality, energy, and the relationship between them?
(ST2)
• How can simulation-aided building design processes, energy code and standards be
advanced to properly account for occupants in order to yield more comfortable, healthy,
usable, and energy-efficient buildings? (ST3)
• How can building operations and controls be advanced to exploit new data sources and
on-line learning methods to adapt to occupancy and occupant preferences to provide
more comfortable environments using less energy? (ST4)

ST1: Multi-aspect
ST2: Data-driven
environmental exposure,
occupant modeling
building interfaces, and
strategies and digital tools
human behaviour

ST3: Applying occupant ST4: Development and

behaviour models in a demonstration of
performance-based occupant-centric building
design process operating strategies

Figure 5: Structure of Annex 79 with 4 Subtasks

In Table 1 the interdependencies between research methods to be applied and the Annex’s
main topics are shown. New knowledge about multi-aspect environmental exposure and
building interfaces which will be relevant for advanced models will be gained in ST1 by
experiments in different settings. ST2 collects and deploys data sources of different kinds for
 6

applying data-driven modeling techniques. It will be informed by ST1 about necessary data
points for taking into account relevant behavioural aspects. The implementation of advanced
occupant behaviour models and strategies (emerging out of ST1 and ST2, but also existing
ones) into building design and operation will be the main focus of ST3 and ST4. This shall be
achieved by preparing guidelines and recommendations for standards. Finally, applications
will be tested in case studies in order to challenge them in real design contexts and building
environments.

Table 1: Interdependencies between research methods and topics (dark shaded areas are particularly
emphasized, while lightly-shaded areas are still important)

Occupant Technologies, “Big data” Advanced

behaviour interfaces from BMS models
etc.
Experiments (lab / in situ) ST1 ST1
Data mining, machine ST2
learning
Modeling and design ST3/4
guidelines, building policy
(standard and code)
recommendations
Field application - testing, ST3/4 ST3/4
monitoring and verification
in case studies

3.1. Subtask 1: Multi-aspect environmental exposure, building interfaces, and

human behaviour

1. Multi-aspect comfort and behaviour models

a. State of the art assessment
The scope of Subtask 1 is: (1) multi-aspect environmental occupant exposure and its
impact on behaviour and comfort and (2) the usability and comfort and energy
implications of building interfaces. Existing models of human comfort, perception, and
behaviour are commonly formulated for single-domain environmental exposure
circumstances (e.g., thermal, visual, aural). We will conduct a comprehensive overview
of existing theoretical and experimental work relevant to multi-domain models and
provide input to Subtask 4 regarding relevant information for the development of their
database (see 3.4 Activity 2b).

b. A platform for multi-disciplinary human comfort and behaviour theories

Annex 66 participants and outcomes identified the key importance of interdisciplinary
collaboration, especially between technical/engineering disciplines and human sciences
(e.g., psychology, sociology), as a precondition for the development of next generation
behavioural models. To start addressing this issue, two parallel efforts are needed: First,
a structured overview of past multi-disciplinary efforts (involving both natural and human
sciences) toward formulation of human comfort and behaviour models must be obtained.
Second, a common conceptual framework (involving terminology and methodology
discourse) must be established to facilitate the integrated consideration of both technical
and social sciences in model development. This will result in a documentation of past
multi-disciplinary theory building efforts in relevant fields (i.e., human comfort, occupant
behaviour) as well as a common terminology/methodology document to support
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collaborative multi-disciplinary model developments. This subtask will aim to involve

scientists from sociology/psychology and engineers focused on the indoor environment
are needed for this task, particularly from the domains of acoustics, visual comfort, and
indoor air quality.

2. Buildings interfaces and human behaviour

a. Systematic review of state of the art
To encourage user behaviour patterns that are desirable from the operational standpoint
(i.e., patterns that can bring about desirable indoor environmental conditions while
meeting the operational efficiency criteria), a better understanding of interfaces to
control-relevant building features and systems (and corresponding occupant behaviours)
is critical. There are many building interfaces that can have either a positive or negative
impact on energy use or occupant comfort; however, many interfaces are poorly
understood in terms of occupant behaviour and resulting energy impacts or comfort. In a
systematic review, human-building interfaces will be explored and categorized. An
interdisciplinary group is envisioned, including human factors experts, social scientists,
designers, architects, and engineers.

b. A systematic theory of the interface attributes of buildings and their

systems
Based on the review and framework in 2.a and 2.b, new research studies will be initiated
to explore the identified gaps of knowledge. This will be done through experimental
studies in laboratories, field study campaigns, studies based on both surveys and
qualitative methods (i.e. photographs, interviews, etc.), as well as virtual experiments via
agent-based modeling approaches. The research will not be restricted to the physical
aspects of interface but will also include aspects related to interface controls and
behaviour. The data collected with these studies will also be used where possible in
Subtask 2, e.g. by using data analytics to better understand occupant interactions with
interfaces for internet-enabled thermostats. The outcome will be an enhanced knowledge
base surrounding the acceptance and usability of interfaces and their effect on human
comfort and behaviour together with a best practice guide for interface design. In
addition, information will be shared with Subtask 4 to support the decision process in the
development of occupant-centric control algorithms.

3. Method and Studies

a. New field and laboratory studies on human comfort and behaviour with
respect to multi-aspect environmental variables
Based on the platform and framework developed in parts 1a and 1b, new field and
laboratory studies will be conducted together with qualitative studies to close knowledge
gaps identified. These studies are not restricted to Annex members; researchers in the
field will be informed of the developed framework and invited to design studies based on
the framework. Thereby, the framework will serve as a strong recommendation and
guideline, but will not be enforced. Due to the number of influencing variables and their
possible interactions, this subtask will focus on controlled experimental studies, which
will permit the control of single and multiple aspects/variables, as well as with their
respective interactions to establish cause-effect relationships. Such studies can be
conducted in well-equipped laboratories and living labs. Moreover, the potential of an
agent-based computational platform for the design and implementation of virtual
experiments in occupant behaviour field well be studied and documented. Such a
platform can aid the preparation of real (labor and field) studies and – in return – benefit
from them in terms of model calibration. The outcome will be a compilation of new
findings regarding cause-effect relations of interactions between distinct parameters of
the indoor environment on human comfort and behaviour. These findings can be
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implemented in occupant behaviour models used for performance-based design process

in Subtask 3.
b. New research on building interfaces
Based on the review and framework in 2.a and 2.b, new research studies will be initiated
to explore the identified gaps of knowledge. This will be done through experimental
studies in laboratories, field study campaigns, studies based on both surveys and
qualitative methods (i.e. photographs, interviews, etc.), as well as virtual experiments via
agent-based modeling approaches. The outcome will be an enhanced knowledge base
regarding the acceptance and usability of interfaces and their effect on human comfort
and behaviour.

3.2. Subtask 2: Data-driven occupant modeling strategies and digital tools

The focus of Subtask 2 is to investigate and develop methodologies and tools for data-driven
Occupant Presence and Action (OPA) modelling. The developments in sensing modalities
and computing platforms enable many new sensing technologies and data sources on OPA.
The wealth of data opens new opportunities for extracting knowledge through data-driven
modeling of OPA. In terms of data-driven methods, Subtask 2 will focus on the many
opportunities with machine learning techniques including supervised and unsupervised
learning for both classification, regression and clustering problems. Utilizing these
opportunities creates new models and information relevant for generating new knowledge on
multi-aspect environmental exposure, building interfaces, and human behaviour (Subtask 1),
occupant-centric building design (Subtask 3) and operation (Subtask 4). Thereby the data-
driven outcomes of this subtasks will provide recommendations for the occupant modeling
methodologies of Subtask 1, 3 and 4, e.g., for calculating new schedules or models based
on the real conditions observed in buildings, data-driven analysis of the performance design
versus the built, model predictive controls for buildings and fault detection and diagnostics.

Activities:
1. Develop a Novel Occupant Data Collection Approach for OPA
a. Assessment of the state of the art
Work in Annex 66 reviewed the properties of sensor modalities and general protocols
for collecting OPA data using sensors. The general focus was on optimizing the
accuracy of the collected data. However, in any deployment trade-offs have to be
made among accuracy, privacy invasiveness and the cost of data collection (e.g.
building installed versus tenant/occupant owned sensors). Therefore, this activity will
conduct a literature review on the above-mentioned trade-offs made by current state-
of-the-art sensor-based methods.

b. Collect data examples and improve methods for ground truth annotation
The activity will collect data examples with sensors of different qualities including
established and novel sensor modalities. The data collection will consider the trade-
offs in previous work on accuracy, privacy invasiveness and cost and compare the
trade-offs effect on the data. To support the collection the activity will develop novel
means for collecting annotation labels for in situ OPA data that enable more accurate
and fine grained labeling.

c. Develop novel data collection methods

The activity will develop examples of data collection methods that go beyond state-
of-the-art data-driven methods in how they are able to balance data quality, privacy
invasiveness and cost of data collection. The methods will cover opportunities for
fusing sensing modalities and online data streams. For evaluation, the activity will
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apply techniques for benchmarking data-driven methods including cross-validation

and real-time validation.

2. Investigate new Data-driven Methods for OPA

a. Systematic review of existing methods
Previous work has documented the challenges in selecting the best data processing
methods and knowing when data-driven methods are the right tool. To address this
challenge, this activity will distill the elements of a data processing tool chain for data-
driven models for OPA modeling. The work will cover different types of methods
including: classification, regression, clustering and preprocessing of data, e.g.,
cleaning of data from faulty, misplaced or tampered sensors. This also includes
metrics for quantifying the properties of the methods and identifying the limitations of
data-driven methods.

b. Develop anonymization methods for handling privacy invasiveness of

occupant data
The wealth of OPA data creates new threats to the occupant in terms of the violation
of the individual's right to privacy. The activity will address this challenge by
developing new anonymization methods and guidelines for privacy handling in the
processing of occupant behaviour data (e.g. based on the Findable, Accessible,
Interoperable and Reusable (FAIR) principles and to implement the EU General Data
Protection Regulation (GDPR)).

c. Demonstrate novel approaches for using data-driven data processing for

OPA modeling.
The aim of this activity is to research new approaches for data-driven models and
associated data processing for OPA data. It will demonstrate, with other subtasks,
how to apply approaches for extracting new insights from data that can contribute in
new findings on OPA and how these new findings may support occupant-centric
building design, simulation and controls. Distill application guidelines for data-driven
modeling of occupant behaviour from in situ OPA sensing data. This also includes
how to visualize the data.

3. Develop a Platform for sharing Data-Driven Methods

a. Community building for data-driven methods on OPA
To support building engineers and architects in successfully applying data-driven
methods requires better access to methods and knowledge. This activity will develop
an online platform for sharing data and methods for OPA data based on existing
repository and data science platforms (e.g. via github and Jupyter Notebook). The
activity will share examples of data and method implementations on the online
platform based on the outcomes of the other activities. The activity will also analyze
the limitations and good practices for reuse of data via the collaboration platform
including ethics review issues across countries.

b. Develop a metadata schema for OPA data

The activity will create a metadata schema for OPA data to enable consistent sharing
and reuse of OPA data. This activity builds on the outcomes of Annex 66 in terms of
ontologies.

c. Data competition on OPA data

This activity will organize a data competition with open and industry data sets to
foster community establishment based on the developed platform and benchmark
methods under identical conditions. Benchmarking for data-driven methods under
identical conditions is difficult if method implementations and data is not made
available.
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3.3. Subtask 3: Applying occupant behaviour models in performance-based

design process
The focus of Subtask 3 is occupant-centric building design process. While occupant
modeling and implementation of occupant models in simulation have matured considerably
(particularly through Annex 66), application of occupant models into the design process is in
its infancy – particularly in practice. Many opportunities are available to not only improve
energy prediction but also better understand how occupants will respond to various
architectural and controls concepts. It follows that building design can be greatly improved
with regards to energy performance and occupant comfort. The advent of advanced
occupant modelling opens many new opportunities to pursue novel design procedures, such
as: robust design, design optimization and generative design, and integration with building
information modeling (BIM). New methods will be explored to integrate occupant behaviour
models in modern digital planning environments.
The goal of Subtask 3 is to develop systematic methods to better apply existing occupant
models to achieve high-performance building designs with regards to comfort, usability, and
energy performance. Moreover, Subtask 3 will make policy recommendations through both
prescriptive and performance paths of building energy codes and standards. It will leverage
relationships with organizations and associations such as the ASHRAE (American Society
for Heating, Refrigerating, and Air-conditioning Engineers) Multidisciplinary Task Group on
Occupant Behaviour in Buildings (MTG.OBB). To this end, ST3 will take inputs from ST1 and
ST2 on the state-of-the-art multi-aspect occupant behaviour models and data-driven
modeling methods. However, given the large body of existing research on occupant
behaviour modeling, ST3 activities are not dependent on the outcomes of the
aforementioned subtasks.
Subtask 3 will also include approximately three to four focused case studies to evaluate and
disseminate new occupant modeling approaches in design practice. In this regard, ST3
researchers will adopt two approaches depending on the possible involvement in the
buildings’ design process: a) Contributing to a future building design by providing the design
teams with insights on the needs and behaviours of occupants; b) Investigating existing
buildings (ideally with detailed measurements) in a retrospective manner to identify
alternative design possibilities, which could have been resulted from the use of detailed
occupant models in the design process. ST3 will document the case study buildings (e.g.,
drawings, occupant interfaces, occupancy data, sensors, etc.) and the process and outcome
of the occupant-centric performance-based design space explorations (e.g., building models,
associated parametric and optimization-based studies, performance indicators, design
alternatives, etc.).
Because there are strong linkages between building design and operation and controls, ST3
will work closely with ST4 to ensure that the output (e.g., design guidelines) from ST3
properly encourage such integration. The case studies are expected to include aspects of
both design and controls and with thus reinforce the integration of building design and
controls.

Planned activities
1. Review of codes/standards, practices, and exemplary projects involving
performance-based simulation-assisted design, with a focus on representation of
occupants
2. Develop methods and guidelines to choose the most appropriate occupant modeling
approaches across scales, building types, design stages, climates, and modeling
objectives
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3. Develop, test, and document new simulation-based design procedures, including

robust design, parametric performance-based design, design optimization, etc.
4. Make recommendations for occupant-related prescriptive and performance paths of
building energy codes and standards
5. Develop effective ways for communicating occupant-related assumptions between
stakeholders (owner, modeler, designer, architect, engineers, etc.) in new buildings
6. Test the developed methods in a small number (3-4) of real building design projects
with stakeholder involvement

3.4. Subtask 4: Development and demonstration of occupant-centric building

controls
The focus of Subtask 4 is to develop and demonstrate occupant-centric building controls
(OCC). The activities within Subtask 4 will reveal practical challenges regarding the
implementation of OCC in existing buildings. The results from focused case studies will
highlight and quantify potential improvement in occupant comfort and energy savings
reductions through OCC. These case studies will identify future research and development
needs in OCC. They will guide practitioners in implementing occupant-centric indoor climate
control strategies. They will help identify appropriate building automation system
sensor/actuator configurations. The case study buildings will be selected starting with office
buildings. However, the focus may extend to other building types such as academic, retail,
and health care buildings.
Activities
1. Current state and future challenges in occupant-centric operating strategies
a. State-of-the-art
Current building automation systems are mostly operating in static and inefficient ways that
mainly neglect the occupants’ preferences, habits, and schedules. It is a consequence of a
variety of aspects such as lack of sensor equipment, coarse spatial control zones or lack of
building interfaces. Consequently, the results of this activity will be a review report/paper
critically assessing the existing OCC algorithms. The review paper will reflect the state-of-
the-art in this area and highlight possible ways of integrating OCC algorithms into the
building automation systems.

b. Survey of occupant sensing technologies

A comprehensive review of the common occupant sensing technologies in existing buildings
will be conducted. This contrasts activities of ST1 and Annex 66, where specific technologies
will be/were reviewed. Through interviews with facility and energy managers, and building
operators, we will identify common occupant sensor configurations in automation and control
networks – lighting, HVAC, information technology (IT), access, security, etc. Interviews will
be administered in Europe, North America, and Asia. Through this exercise, the
transferability of existing OCC algorithms (reviewed in 1a) to these sensor configurations will
be identified.

2. Development of occupant-centric control algorithms

a. Selection of case study buildings and corresponding input and output
parameters
The OCC algorithms from the literature and from ST2 will be modified so that their
inputs/outputs would be compatible with common sensor configurations identified in 1.a.
Moreover, recommendations for sensor configuration upgrades will be developed to ensure
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that the state-of-the-art OCC algorithms will become compatible with existing buildings. At
least three case study buildings will be selected with different densities of occupant sensing
technologies (high, medium, low). Here, buildings with high sensor density can have CO2
sensors, motion detectors, etc. and provide BAS-integrated interfaces so that occupants
have a high level of control over their indoor environments. In contrast, buildings with
medium sensor density may have submeters and only a subset of occupant actions can be
monitored. Buildings with low sensor coverage may have bulk utility meters, and occupants
may change their indoor climates through complaint calls only. Regarding the target function,
the outcomes of 1b will be relevant.

b. Database for OCC evaluation and data exchange

The sensor density of the case study buildings determines the type of control algorithms that
can be applied for OCC. A structured database is needed, which provides detailed
information on the building type, building automation system, applied OCC algorithms (e.g.
stochastic, agent-based, etc.), sensor/occupant data required for the development and
application of the algorithms as well as further relevant information that address multi-
domain influences on the occupant’s comfort, behaviour and their linkage to the building
interfaces defined within the scope of ST1. The platform must provide objective feedback on
energy and comfort related outputs to be able to evaluate the effectiveness of the applied
OCC algorithms. Furthermore, the database shall continue to exist beyond this Annex. It
shall give all community members the opportunity to continuously improve their knowledge
on OCC strategies.

3. Demonstration and verification of the occupant-centric control strategies

a. Integration of occupant-centric control strategies in the building

automation system
The developed algorithms will be integrated to the building automation systems of the case
study buildings. Moreover, working with ST3, the algorithms will be implemented within the
building performance simulation models of various building archetypes and climatic
conditions. The purpose of this simulation-based investigation is to explore the robustness of
OCC algorithms outside of the case study buildings. Inputs from researchers and
practitioners will be sought who have relevant experience regarding technical and non-
technical obstacles that appeared upon integrating their algorithms. Results shall be
summarized within a technical report and shall be made accessible via the data exchange
platform developed in 2b.

b. Testing phase
To be able to evaluate the new algorithms with respect to their target function (energy
efficiency, human comfort etc.) the entire system shall be tested for a minimum period of one
year in the case study buildings. This allows us to draw conclusions on the influence of
seasonal fluctuations on the algorithms, their robustness and generalization of the results.

c. Evaluation phase
This activity will start in the second half of 3b. Its main objective is to summarize the results
of the entire subtask, make the “lessons learned” available for others and highlight promising
types of algorithms. To assess the impact of the algorithms on the energy performance,
baseline energy models will be trained with energy use data collected before and after the
implementation of the OCC algorithms. To evaluate the impact of the OCCs on occupant
comfort, changes in the frequency of thermal complaints will be studied. Alternatively, online
surveys can be used to analyze changes in occupant satisfaction after implementation of the
algorithms. The summary will be documented in a report/paper, and a guideline document
 13

for the implementation of occupant centric controls will be developed. Relevant information
shall be also included in the database developed in activity 2b.

4. RESULTS AND DELIVERABLES

4.1. Overview
Annex 79 will provide new insight into comfort-related occupant behaviour in buildings and
its impact on building energy performance. It will further promote the usage of this
knowledge in building design and operation by supporting standardization processes and
providing guidelines for practitioners. With regard to the proposed activities in the four
Subtasks, the following results are expected:
• Enhanced scientific knowledge about comfort-driven occupant interactions with
building technologies. This includes methodological approaches to examine multi-
stressor effects by environmental influences on human subjects, as well as a better
understanding of how interfaces en-/discourage occupants taking advantage of
adaptive opportunities for improving their comfort situation.
• Informed insight into the potential of various data sources and sensing technologies as
well as applications of data-based methods for knowledge discovery and modeling of
occupant behaviour.
• An open collaboration platform for data and software for supporting the use of data-
mining methods and tools for applications within the area of occupant behaviour.
• A repository of advanced occupant behaviour models for digital planning
environments.
• Proposals for standards and policy support for implementing occupant behaviour
simulation in building design and operation practice. This also includes the integration
of the models in modern digital planning environments (BIM).
• Guidelines of how to apply occupant models and questions of occupant behaviour and
interactions with building technologies (interfaces) into everyday planning routines
(how can the uncertainty of stochastic models be incorporated into code compliance,
or what is the scope of applicability of various occupant models?).

4.2. Deliverables
The planned deliverables will take the form of four comprehensive technical reports that are
aimed at four distinct audiences. They are outlined in Table 2. Additionally, conference
papers, data and open-source code repositories, journal papers, and special issues of
journals are envisaged.
Table 2: Expected Annex deliverables

Stakeholder Deliverable (responsible subtask(s) in brackets)

Scientists and academics
Report on:
• Comprehensive literature review for the four Subtasks
(1,2,3,4)
• Unified theoretical framework for perceptual and
behavioural theory of building occupants;
• Guidelines for research methods related to: evaluating
occupant comfort and building interfaces (1), occupant
data collection (2), and applying data analytics to
occupant data (2)
 14

Practitioners (architects, Report on:

engineers, building managers)
Industry (controls, HVAC,
mechanical and electrical
equipment, etc.)
Policy-makers (e.g.,
government, building code
officials)
• Best-practices for building interfaces (1), occupant-
centric design workflows (3), and optimal control
strategies (4)
• Focused case studies, including lessons learned (3
and 4)
Report on:
• Best-practices for interface design and evaluation
criteria of new products considering multi-aspect
comfort (1)
Report on:
• Recommendations on occupant modelling in building
energy codes (1)
• Recommendations for standards on occupant
metering/sensing infrastructure and controls (2)

4.3. Annex beneficiaries and outreach activities

There are three main target groups which will benefit from the outcomes of Annex 79:
Science:
Building scientists, psychologists, sociologists, computer scientists, ergonomists
who will gain new knowledge on multi-stressors-based occupant behaviour in buildings and
data-based models.
Practice:
Architects, planners, energy consultants, HVAC engineers, building managers
who will receive advanced models and tools as well as guidelines to consider occupant
behaviour in energy-efficient building design and operation.
Industry:
Manufacturers of building technologies (HVAC and lighting systems, controls, controls
interfaces, shadings, etc.) who will be able to incorporate occupants’ demands into product
development.
Policy-makers: persons responsible to formulate implement new standards and codes.
Outreach activities will include seminars and workshops during international conferences,
involvement of practitioners and industry in Annex meetings and close cooperation with
ASHRAE, REHVA, and other organizations representing building-related professionals. To
enhance training of graduate students, summer school workshops on building controls
training, data-mining with occupant data, adaptive comfort and behaviour modelling.

5. ANNEX MANAGEMENT
5.1. Operating Agents
The Annex is operated by two co-Operating Agents. They are responsible for the overall
performance and the time schedule of the Annex, for reporting, and for information
dissemination activities. The Operating agents are: Prof. Andreas Wagner of Karlsruhe
Institute of Technology, Karlsruhe, Germany and Prof. Liam O’Brien, Carleton University,
Ottawa, Canada.
 15

5.2. Specific Obligations and Responsibilities of the Operating Agent

The Operating Agent is responsible for managing the overall performance, time schedule,
reporting, knowledge transfer, etc., of this Annex. In addition, the co-Operating Agents shall:

• Provide the Operating Agent and the respective subtask leads with detailed reports on
the results of the work carried out for each Subtask.
• Participate in the editing and reviewing of draft reports of the Annex and Subtasks.
• Prepare the detailed Program of Work for the Annex in consultation with the Subtask
Leaders and the Participants and submit the Program of Work and time schedule for
approval to the Executive Committee.
• Be responsible for the overall management of the Annex, including overall coordination,
liaison between the Subtasks, and communications with the Executive Committee.
• Chair each of the Annex meetings and be responsible for setting the agenda. Assistance
at each meeting will be provided by the Participant from the nation hosting the meeting.
• Prepare and distribute the results mentioned in Paragraph 4 above.
• Prepare joint assessments of research, development, and demonstration priorities when
desired or necessary.
• At the request of the Executive Committee, organize workshops, seminars, conferences,
and other meetings.
• Propose and maintain a methodology and a format for the submission of information that
is collected by the Participants.
• Provide, at least semi-annually, periodic reports to the Executive Committee on the
progress and results of the work performed under the Program of Work.
• Provide an annual technical report to the Annex Participants.
• Provide to the Executive Committee, within six (6) months after completion of all work
under the Annex, a final report for its approval and transmittal to the Agency.
• Coordinate the efforts of all Participants and ensure the flow of information in the Annex.
• In coordination with the Participants, use best efforts to avoid duplication with activities of
other related programs and projects implemented by or under the auspices of the
Agency or by other competent bodies.
• Provide the Participants with the necessary guidelines for the work to be carried out
under the Subtasks, for the reports to be made, and for information to be distributed.
• Perform such additional services and actions as may be decided by the Executive
Committee, acting by unanimity.

5.3. Subtask leaders

The Subtask leaders shall be participants who bring a high level of expertise to the subtask
they manage and who undertake substantial research and development in the field of the
subtask. To date, they have mostly been selected, as summarized below, and will be
confirmed pending funding approval. It is noteworthy that each Subtask has three
complementary subtask leaders because of the multidisciplinary nature of all Subtasks and
because the case studies have been integrated as part of Subtask 3 and 4. One of the
Subtask leaders for the latter Subtasks will coordinate the case studies.

Subtask leaders
ST
1 Ardeshir Mahdavi, TU Wien, Austria
Marcel Schweiker, Karlsruhe Institute of Technology, Germany
 16

Julia Day, Washington State University, USA

2 Mikkel Kjaergaard, University of Southern Denmark, Denmark
Bing Dong, University of Texas San Antonio, USA
Salvatore Carlucci, Norwegian University of Science and Technology, Norway
3 Farhang Tahmasebi, TU Wien, Austria
Tianzhen Hong, Lawrence Berkeley National Laboratory, USA
Da Yan, Tsinghua University, China
4 Zoltan Nagy, University of Texas Austin, USA
Burak Gunay, Carleton University, Canada
Daniel Wölki, RWTH Aachen University, Germany

Duties of the Subtask leaders are:

• Co-ordinate the work performed under the subtask

• Convene and lead Subtask meetings, as required
• Provide semi-annual status reports on progress and results to the Operating Agent and
other participants
• Assist in the coordination of the Annex and advise the Operating Agent on the
performance of the Annex
• Prepare, edit, and organize the publication of technical reports resulting from the
Subtask work
• Assist the Operating Agent in editing the final reports of the Annex

6. TIME SCHEDULE
The schedule is summarized below and in Figure 5. The formal work period will commence
during preparation (approximately one month before) the first Experts’ meeting.
Preparation phase: October 2018 – September 2019
Working Phase: October 2019 – September 2022
Reporting Phase: October 2022 – September 2023
First meeting: October 2018

Figure 5: Annex timeline

 17

7. FUNDING
Participation may partly involve funding already allocated to a national activity that falls
substantially within the scope of work to be performed under this Annex. Aside from
providing the resources required for performing the work of the Subtasks in which they are
participating, all Participants are required to commit the resources necessary for activities
that are specifically collaborative in nature and would not be part of a national program; for
example, establishing common monitoring procedures, preparing for and participating in
Annex meetings, coordinating with Subtask participants, and contributing to documentation
and information dissemination. These activities are estimated to require at least 50% of the
total required level of effort for participation in Subtasks.
The annual meetings shall be hosted in turn by the several Participants. The costs of
organizing and hosting meetings shall be borne by the host Participant. Each Participant will
bear his/her own costs to travel to the expert meetings. Attendance at expert meetings is
mandatory.
The cost of publishing the reports and summary assessments shall be met by the Operating
Agent.
All participating countries have access to the workshops and results of all subtasks. Each
participating country must designate at least one individual (an active researcher, scientist or
engineer, here called expert) for each subtask in which they decide to participate. It is
expected that the same expert attends all meetings and acts as technical contact regarding
the national subtask contribution. A minimum commitment of six person-months of labor for
each year of the Annex term will be required for participation. For the subtask coordinators
funding shall allow for six person-months and an extra two person-months per year for
Annex activities. Between the two Operating Agents, funding shall allow a total for six
person-months and an extra four person-months per year for Annex activities including the
attendance at the two ExCo meetings per year.

8. PARTICIPANTS
The following table lists all countries and participants who want to contribute to the proposed
Annex and indicates their tentative contributions within the Annex as well as if the Letter of
National Participation has already been signed by the participant or not.

Australia Astrid Roetzel Deakin University ST3

Australia Richard de Dear University of Sydney ST1
Australia Dong Chen CSIRO ST3
Australia Flora D. Salim RMIT, Melbourne ST2
Austria Ardeshir Mahdavi (STL1) Technische Universität Wien ST1 Leader
Austria Farhang Tahmasebi Technische Universität Wien
(STL3) ST3 Leader
Brazil Roberto Lamberts Universidade Federal de Santa Catarina

Brazil Leticia de Oliveira Neves University of Campinas ST1/3

Canada Adam Rysanek University of British Columbia ST3/4
Canada Azam Khan Autodesk Research ST3
 18

Canada Burak Gunay (STL4) Carleton University ST4

Canada Liam O'Brien (OA) Carleton University ST3/OA
Canada Lindsay McCunn Vancouver Island University ST1
Canada Marianne Touchie University of Toronto ST1/3
Canada Rhys Goldstein Autodesk Research ST3
Canada Terri Peters Carleton University ST1/3
Canada Omid Ardakanian University of Alberta ST2
Canada Sebastian Carrizo Rowan Williams Davies and Irwin Inc. ST3
China Da Yan (STL3) Tsinghua University ST3 Leader
China Yixing Chen Hunan University ST2/3
China Han Zhu Tongji University ST1/4
China Zhengrong Li Tongji University ST1/4
Denmark Mikkel Kjaergaard Southern University of Denmark
(STL2) ST2 Leader
Denmark Per Heiselberg Aalborg University Advisor to
Annex
Denmark Rune Korsholm Technical University of Denmark
Andersen ST1/ST3
Germany Andreas Wagner (OA) Karlsruhe Institute of Technology OA
Germany Marcel Schweiker (STL1) Karlsruhe Institute of Technology ST1 Leader
Germany Christoph van Treeck RWTH Aachen University ST3/4
Germany Daniel Wölki (STL4) RWTH Aachen University ST4 Leader
Germany Romana Markovic RWTH Aachen University ST2/4
Hungary Zsófia Bélafi DGNB Consultant ST3
Italy Verena Barthelmes Polytechnical University of Torino ST1
Italy Marilena De Simone University of Calabria ST2
Italy Stefano Corgnati Polytechnical University of Torino ST3/4
Italy Valentina Fabi Polytechnical University of Torino ST3/4
Italy Wilmer Pasut Eurac Research ST1/4
Japan Yohei Yamaguchi Osaka University ST2/3
Netherlands Ad van der Aa Cauberg Huygen ST3
Netherlands Isabella Gaetani Eindhoven University of Technology ST3
Netherlands Jan Hensen Eindhoven University of Technology ST3
Netherlands Pieter-Jan Hoes Eindhoven University of Technology ST3
Netherlands Peter Op't Veld Huygen ST3
Netherlands Simona D'Oca Huygen ST3
Norway Salvatore Carlucci Norwegian University of Science and
Technology ST2 Leader
 19

Norway Vojislav Novakovic Norwegian University of Science and

Technology ST3
Switzerland Arno Schlueter ETH Zurich ST3/4
UAE Elie Azar Masdar Institute of Science and Technology ST1
UK David Shipworth University College London ST1
UK Gesche Huebner University College London ST1
UK Stephanie Gauthier University of Southampton ST1
UK Shen Wei University of Plymouth ST3/4
UK Steven Firth Loughborough University ST2/3
USA Bing Dong (STL2) The University of Texas at San Antonio ST2 Leader
USA Chien-fei Chen University of Tennessee ST1
USA Clinton Andrews Rutgers University ST1
USA Julia Day (STL1) Washington State University ST1 Leader
USA Zoltan Nagy (STL4) University of Texas San Antonio ST4 Leader
USA Tianzhen Hong (STL3) Lawrence Berkeley National Laboratory ST3 Leader
USA Jie Zhao Delos ST1
USA Joyce Kim University of California Berkeley ST3

9. INFORMATION AND INTELLECTUAL

PROPERTY
9.1. Executive Committee’s Powers
The publication, distribution, handling, protection, and ownership of information and
intellectual property arising from this Annex shall be determined by the Executive
Committee, acting by unanimity, in conformity with the Agreement.

9.2. Right to Publish

Subject only to copyright restrictions, the Participants shall have the right to publish all
information provided to or arising from this Annex, except proprietary information.

9.3. Proprietary Information

The Participants and the Operating Agents shall take all necessary measures in accordance
with this paragraph, the laws of their respective countries, and international law to protect
proprietary information provided to or arising from this Annex. For the purposes of this
Annex, proprietary information shall mean information of a confidential nature such as trade
secrets and “know-how” (for example computer programs, design procedures and
techniques, chemical composition of materials, or manufacturing methods, processes, or
treatments) that is appropriately marked, provided such information:

• Is not generally known or publicly available from other sources;

• Has not previously been made available by the owner to others without obligation
concerning its confidentiality;
 20

• Is not already in the possession of the recipient Participant without obligation concerning
its confidentiality.
It shall be the responsibility of each Participant supplying proprietary information, and of the
Operating Agents for appraising proprietary information, to identify the information as such
and to ensure that it is appropriately marked.

9.4. Arising Information

All information developed in connection with and during activities carried out under this
Annex (arising information) shall be provided to each Participant by the Operating Agents,
subject only to the need to retain information concerning patentable inventions in confidence
until appropriate action can be taken to protect such inventions.
9.5. Production of Relevant Information by Governments
The Operating Agents should encourage the governments of all Agency Participating
Countries to make available or to identify to the Operating Agents all published or otherwise
freely available information known to them that is relevant to the Annex.

9.6. Production of Available Information by Participants

Each Participant agrees to provide to a Subtask Leader or to the Operating Agents all
previously existing information, and information developed independently of the Annex that is
needed by a Subtask Leader or by the Operating Agents to carry out its functions under this
Annex, and that is freely at the disposal of the Participant and the transmission of which is
not subject to any contractual and/or legal limitations:

• If no substantial cost is incurred by the Participant in making such information available,

at no charge to the Annex therefore;
• If substantial costs must be incurred by the Participant to make such information
available, at such charges to the Annex as shall be agreed between the Operating
Agents and the Participant with the approval of the Executive Committee.
9.7. Use of Confidential Information
If a Participant has access to confidential information that would be useful to a Subtask
Leader or to the Operating Agents in conducting studies, assessments, analyses, or
evaluations, such information may be communicated to a Subtask Leader or to the
Operating Agents, but shall not become part of the reports, handbooks, or other
documentation, nor be communicated to the other Participants, except as may be agreed,
between the Subtask Leader or the Operating Agents and the Participant who supplies such
information.

9.8. Reports on Work Performed under the Annex

The Operating Agents shall provide reports of all work performed under the Annex and the
results thereof, including studies, assessments, analyses, evaluations, and other
documentation, but excluding proprietary information; prepare the Annex Brochure and
updates to EBC Website.

9.9. Copyright
Operating Agents may take appropriate measures to protect copyrightable material
generated under this Annex. Copyrights obtained shall be the property of the Operating
Agents for the benefit of the Participants provided, however, that the Participants may
reproduce and distribute such material. However, if it shall be published for profit, permission
should be obtained from the Executive Committee.
 21

9.10. Authors
Each Participant will, without prejudice to any rights of authors under its national laws, take
necessary steps to provide the co-operation from its authors required to carry out the
provisions of this paragraph. Each Participant will assume the responsibility to pay awards or
compensation required to be paid to its employees according to the laws of its country.

10. REFERENCES

Brager, G., G. Paliaga and R. De Dear (2004). "Operable windows, personal control and
occupant comfort." ASHRAE Transactions 110(2).
Gilani, S. and W. O'Brien (2018). "A preliminary study of occupants’ use of manual lighting
controls in private offices: A case study." Energy and Buildings 159: 572-586.
Gunay, H. B., W. Shen, G. Newsham and A. Ashouri (2018). "Modelling and analysis of
unsolicited temperature setpoint change requests in office buildings." Building and
Environment 133: 203-212.
Hong, T. and H.-W. Lin (2013). Occupant behavior: impact on energy use of private offices,
Ernest Orlando Lawrence Berkeley National Laboratory, Berkeley, CA (US).
International Energy Agency (IEA) (2017). Energy Efficiency 2017.
Lee, E., L. Fernandes, B. Coffey, A. McNeil, R. Clear, T. Webster, F. Bauman, D. Dickerhoff,
D. Heinzerling and T. Hoyt (2013). "A Post-Occupancy Monitored Evaluation of the
Dimmable Lighting, Automated Shading, and Underfloor Air Distribution System in The New
York Times Building."