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<article xmlns:xlink="http://www.w3.org/1999/xlink">
  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Operational Management of Data Centers Energy Efficiency by dynamic optimization -Based on a Vector Autoregressive Model- Reinforcement Learning(VAR- RL) approach</article-title>
      </title-group>
      <contrib-group>
        <aff id="aff0">
          <label>0</label>
          <institution>University of Birmingham</institution>
          ,
          <addr-line>Edgbaston, Birmingham B15 2TT</addr-line>
          ,
          <country country="UK">UK</country>
        </aff>
      </contrib-group>
      <pub-date>
        <year>2020</year>
      </pub-date>
      <fpage>371</fpage>
      <lpage>381</lpage>
      <abstract>
        <p>With the increasing demands of digital computing, Data Centers (DCs) have become a leading scheme for global energy issues. Major efforts that can be observed for DC energy efficacy solutions are focusing on relatively problematic infrastructure designs. Nevertheless, we emphasised the managerial strategies of using the existing facilities to achieve energy efficiency through active intervention. It is believed that there exists a trade-off between the cooling devices and IT devices. Accordingly, the Vector Autoregressive Model- Reinforcement Learning(VAR-RL) approach will be proposed as a combination of traditional multivariate time series modeling technique and the artificial intelligence technique which allows us to predict and adjust the prediction of an error would help to explore the complex dynamic interrelationships between the two types of devices. Moreover, an optimization decision support system will also be conducted subsequently to optimize Power Usage Effectiveness (PUE) by controlling the combination of Air Conditioners (ACs). The proposed VAR-RL approach would not only increase the forecasting accuracy but also would adapt to the environment changes dynamically, this would give a better foundation for the DC energy efficiency optimization. The data we adopted is the real-time data from a DC located in Turkey. Consequently, the novel of this study would save the DC energy consumption tremendously.</p>
      </abstract>
      <kwd-group>
        <kwd>DC</kwd>
        <kwd>Energy consumption</kwd>
        <kwd>optimisation</kwd>
      </kwd-group>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>Introduction</title>
      <p>DCs are energy-intensive industries and they are taking 1-1.5% of global electricity
usage every year [1]. There are two main units of DCs that are supplied the energy, IT,
Copyright © 2020 for this paper by its authors.</p>
      <p>Use permitted under Creative Commons License
Attribution 4.0 International (CC BY 4.0).
and cooling units. Widely cited studies and conservatively evaluation demonstrated the
fact that there are around 40% of energy has been taken by the cooling system in a
typical air-cooling DC [2]. IT equipment, along with its respective power supply,
creates heat when being in use and will raise the surrounding ambient temperature. In
consequence, the equipment is likely to fail if the temperature becomes too high. Previous
to 2004, IT companies were too fixated upon the performance of their equipment and
adjusted the equipment’s environment with only reliability in mind, with little
weighting to energy costs. Nowadays the temperature range has been wider to 18 −
27℃ (ASHRAE 2016)[3]. However, there are over 90% of DCs still keeping a constant
temperature which means that the DCs are over-cooled and energy inefficiency [4].</p>
      <p>Since most of the energy consumption lies in cooling, efforts have been made on
reducing the cooling energy consumption in the DCs. It has been found that
configuration design predominantly affects on energy consumption. As long as there is a design
revolution, the application still requires a long time. As a result, traditional air-cooling
will still domain the DC cooling system in the next few decades [5]. Therefore, we are
seeking DC cooling efficiency solutions from a different aspect. As we mentioned
earlier, cooling devices are the biggest energy consumers in the DC however there is no
guideline on how to make the optimal usage of them. The common operations in DCs
are still following traditional rules by turning off some certain number of ACs to save
energy in winter. But to our knowledge, there is no sophisticated analysis so far to guide
the optimal use of ACs combination, which gives us ideas to fill up this gap.</p>
      <p>According to the relationship of energy consumption units both IT and Air
conditioning devices, a lower temperature will increase the energy supplied, inversely, will
reduce the energy consumption of IT devices due to an increasing computing
efficiency. Therefore, smart operation management on DCs to find out the optimal solution
on temperature control to minimize the energy consumption without affecting the
performance of IT devices and meeting the service-level agreement has been investigated.
Therefore, this has become our motivation for this study. The question can be modeled
as a Linear Programming (LP) problem. However, applying the LP method to the
problem requires understanding the complex interactions among many variables within the
DC. To solve and simplify this issue, we adopt VAR model to identify such complex
interactions. It has been taken to account for common features of the industry big data</p>
      <p>Changes rapidly in the structures. Changes in server workload, outside environment,
device locations or human intervention all can be reasons that lead to structural breaks
of the series. Numerous empirical studies put attention on post-event detection, which
wildly used for economic or business analysis, while rarely of them are looking at this
issue in a real-time. Instead, we expect the model would able to autonomous evaluate
itself and correct the mistake once it notices it. In this study, we adopt RL approach for
dynamic real-time adjustment of VAR model. It would take the responsibility to detect
the structural break and trigger the parameter re-estimated system. With the proposed
VAR-RL approach, the subsequent optimization problem can be solved with the
consideration of the changes in the environment in real-time.</p>
      <p>Our contributions to the literature including the following: (1) Give the DC
energyefficient solution without changing DC configurations. (2) A dynamic simulation
system based on VAR-RL approach has been made, this will provide an efficient and
accurate forecast for the complex environment with the adjustment of structural changes
in the data. (3) Real-time optimization will be conducted based on the simulation result
and future optimization also can be made by the forecasted data set. (4) This study will
also arouse the environmental awareness of energy saving.
2</p>
    </sec>
    <sec id="sec-2">
      <title>Literatures review</title>
      <p>We have searched the empirical studies on DC effective cooling strategy of
simulationbased optimization. Among the ten results, eight of them adopted the Computational
Fluid Dynamic (CFD) while and the rest of them used Data-driven Models (DDM)
model and other configuration design simulation tools for airflow simulation.</p>
      <p>
        Most of them are from a pure configuration design and layout aspect, ie. [6] on
sensors placement strategy and [
        <xref ref-type="bibr" rid="ref1">8</xref>
        ] on air aisle and racks layouts [7]. There are only [
        <xref ref-type="bibr" rid="ref1 ref2 ref3">8, 9,
10</xref>
        ] among the results that looking at the optimal temperature solutions, however [
        <xref ref-type="bibr" rid="ref2">9</xref>
        ] it
doesn’t take the trade-off relationships between cooling and IT into considerations and
[
        <xref ref-type="bibr" rid="ref1">8</xref>
        ] is an equation-based simulation that looking at system network control. Also [
        <xref ref-type="bibr" rid="ref3">10</xref>
        ]
studied the combination of water and airflow in Indirect Adiabatic Cooling (IAC) DC.
Numerous studies that use the First principle (FP) in terms of DC objectives largely
rely on pre-defined algorithms. However, in practical, there are a variety of unknown
relationships that cannot be acquired from physical principles. Data-Driven Models
(DDMs) avoid this problem by adopting experimental data to train a system. There is
study compares temperature prediction performance of four different types of DDMs
including Artificial Neural Networks (ANN), Support Vector Regression (SVR),
Gaussian Process Regression (GPR) as well as Proper Orthogonal Decomposition
(POD) in a DC, the training data is given by CFD simulation and the result
demonstrated that most of them can give a relatively accurate prediction however only ANN
could handle multiple output points in one model. Because of the unknown features of
the system and multi-dimensional problem need to be solved in one model, so that it
requires a large volume of data to feed in the model and moreover, all these types of
models are facing similar difficulties which are computational expensive practical cases
and relatively time-consuming [
        <xref ref-type="bibr" rid="ref4">11</xref>
        ].
      </p>
      <p>
        We conservatively conclude that our VAR-RL approach would be the first study that
further extended Linear Regression (LR) based RL to analyze complex industrial
environment, then apply the simulation result to real-time optimization in industrial
practical case. Due to the limited resources, we reviewed similar studies that used the similar
method for different problems. RL approach has been used for an auto-select different
combination of data streams to feed to the parameters-fixed LRs and practical
application on typhoon rainfall prediction shows a better performance than traditional LRs
[
        <xref ref-type="bibr" rid="ref5">12</xref>
        ]. More comprehensively, a Multi-Agent reinforcement learning (P-MARL) on
predicting the future environment which allows the agents to adapt to the changes off-line
by the combination of ANN and Autoregressive Integrated Moving Average (ARIMA)
models, this joint approach also increased the prediction accuracy of the agents [
        <xref ref-type="bibr" rid="ref6">13</xref>
        ].
Moreover, efforts have been made on adapting RL to the side of the sensor to reduce
the energy transmission cost in the wireless sensor networks for signal prediction [
        <xref ref-type="bibr" rid="ref7">14</xref>
        ].
These approaches provided evidences that with RL adjustment, the prediction accuracy
would be largely increased and gives the model more flexibility by self-learning during
prediction without any training data which would require large storage and costs for
computing.
      </p>
      <p>Our VAR-RL approach would take advantage of these empirical studies, moreover,
we will adapt this into DC industrial practice: (1) Our model parameters will be
dynamically changed according to the feedback from the learning process that would allow
our model to adapt to the environment changes. (2) We will propose a time-series linear
regression model that will not only consider the previous one step (MACOV) but the
whole period which has an effect on the present. (3) RL tool will be plugin to determine
whether the model should be reused or rebuilt. (4) We will also avoid using the
technique which has a black-box property such as Artificial Neuron Network (ANN)
because it hides the interrelationships into the black-box procedure which limited the
interpretative of the model. (4) Also, as we expect to perform a light, fast, and efficient
model to adapt to the rapid industrial practice. we will avoid the use of techniques that
requires huge size of training data and local storage. (5) We will not change any DC
configurations including the sensors, only managerial strategies will be applied to the
DC energy-saving practice.</p>
    </sec>
    <sec id="sec-3">
      <title>Methodology.</title>
      <sec id="sec-3-1">
        <title>VAR model- A fundamental simulator</title>
        <p>Based on the field study in TUKSAT DC target IT room, we identified the main factors
that participated in the IT room computing environment. We are going to include
ceiling sensors temperatures, Server rack inlet and outlet temperatures, air conditioner
outflow temperatures as well as PDU values of the servers as our endogenous variables.
To our knowledge, IT room objectives are mutually affected by each. As the graph
shows below, we can infer that each variable can affect the others in two directions
(direct or indirect), shown as a circulation (Fig.1). Statistical test (Granger causality
test) results also confirmed the underlined inferences. Therefore, we briefly include all
the related variables into one VAR model.</p>
        <p>Here we present how VAR modelling the above dynamic. VAR assumes all the
variables to be endogenous and explain those endogenous variables one by one by all their
past values. This allows us to use the estimated model to predict the future values of
variables. A  ℎ order ()
can be represented as:</p>
        <p>(1)
 × 1
 × 1</p>
        <p>Assume we have  variables, then   is the  × 1
order constant vector, the П
 is the  ×</p>
        <p>order time series vector,  is the
order parameter matrix,  is the
order random error vector. We can extend the above equation to the matrix
formula as following (The lag length will be selected by the combination of "AIC", "HQ",
"SC", "FPE" criteria):</p>
        <p>As VAR model is a dynamic forecasting model. We can use it to simulate the DC
environment as well as forecast the future values of each variable. After we get the
model parameters by real-time estimation, we will feed the data that cover the lag length
and forecast the future value of each variable. To make it clear, here we summarize the
procedure to train a VAR model and use it as a simulator to forecast DC environment
in a flowchart (See Fig.2).</p>
        <p>We first downloaded data from the historical Application Programming Interface
(API) (Step 1). After data processing (Step 2), we use this data set to train a VAR model
(Step 3). Then download historical data again (Step 4), after processing the data for
another time (Step 5), we extract the most recent data which cover our lags, then input
to the VAR model. The simulator will carry out iterations until reach to the requested
forecasting length.
3.2</p>
      </sec>
      <sec id="sec-3-2">
        <title>RL -A dynamic environment adaptor</title>
        <p>As we mentioned earlier, the data estimated in DC has a rapidly changing feature,
therefore our fundamental simulator VAR may not apply for some special cases: ie.,
suddenly changing load by holidays or online exams, temperatures changes, or other
human interventions. Therefore, we need to adjust our model to ensure the prediction
accuracy and be able to detect the environment changes and adapt itself to the changing
world. Reinforcement learning as an environment adaptor to VAR model will be
introduced in this section. The process is shown in the following graph (Fig.3).
With every prediction, we will have an evaluation of the accuracy. And we will give a
reward (or punishment) to each prediction. The accumulated reward would be:

= ∑=1  +
Where</p>
        <p>is the total cumulated reward values,  is the reward for each forecast
evaluation. With the number of time steps increasing, the difficulty level to predict would
be increasing too, to make it fair enough for the judgement, we assign the weight to
each reward, and the weight of the reward would be decreasing over the time.
= ∑∞=0   ++1 ,  ∈ [0,1)</p>
        <p />
        <sec id="sec-3-2-1">
          <title>Where,  is the weight.</title>
          <p>(3)
(4)
Time windows will be plugin at every seasonality changing point. And the system will
trigger RL to evaluate the prediction result. In this case, the prediction result from the
fundamental simulator VAR will be evaluated by the error rate. A reward will be given
to each evaluation. When the accumulated reward value reaches to a certain boundary,
the environment changes will be detected. Then the RL adaptor will trigger the alarm
then the VAR model parameters and features will be rebuilt.
3.3</p>
        </sec>
      </sec>
      <sec id="sec-3-3">
        <title>LP approach- An energy efficiency optimizer</title>
        <p>
          Empirical evidences show that increasing the AC setpoint by a single degree can result
in 4-5% energy cost savings; and increasing the setpoint by 10 degrees, which is also a
realistic number, can result in savings of over 40% [
          <xref ref-type="bibr" rid="ref8">15</xref>
          ]. Although this sounds
straightforward and simple, considering the complex nature of DC assets, it is hardly the case.
Increasing the AC setpoints blindly can jeopardize the health of servers and other
hardware, as existing hot spots may become even hotter and higher hot aisle temperature
may activate server fans and offset efficiency gains. Therefore, a rigorous plan for
optimizing the AC temperature setpoint is critical to increasing the energy efficiency of
the DC. Particularly, we aim to optimize the energy efficiency in the DC by determining
the optimal combination of the supplied temperature of AC units, while taking into
consideration the dynamic nature of IT power consumption, as well as satisfying the
temperature constraints.
        </p>
        <p>We will use the following notations:</p>
        <p>{ 1,  2, … ,   } denotes the Server rack number 1 to 
= { 1,  2, … ,   } is a set of ACs unit number 1 to  .
  ( ): the temperature supply of the  ℎ AC unit at time  .
 ( ): the inlet temperature of the  ℎ server rack at time  .</p>
        <p>( ): the outlet temperature of the  ℎ server rack at time  .</p>
        <p>( ): the room temperature at time  .</p>
        <p>( ): the computational power (PDU) for the  ℎ server rack at time  .
( ): the computational power for the  ℎ AC unit at time  .
 ( )]: the estimated workload (CPU usage) for the  ℎ server rack at time  .
: the coefficient of performance.</p>
        <p>is the thermal correlation index.</p>
        <p>The IT consumption
. Assumingly, the IT power consumption would not only be influenced by the
computational workload, but also will be affected by the working temperature because the
temperature will affect its working performance. Hence, at any time  , the total IT
computing power of server rack   is the function of power spent on executing IT jobs and
the rack inlet temperature.
 =
 
 
  
[
 
 ( ) =   [  ( )] +    
 ( )</p>
        <p>(5)</p>
        <sec id="sec-3-3-1">
          <title>Where   and   are weight coefficients.</title>
          <p>The cooling consumption
( ) =
 ( 



( ))
( )</p>
          <p>
            (6)
. Based on [
            <xref ref-type="bibr" rid="ref10 ref11 ref9">16,17,18</xref>
            ], the cooling cost of AC device  
∈  can be presented as:
Where 
removal. 
the AC device   needs to remove to the energy it needs to consume to perform the
 is the performance coefficient, shown as the ratio of the amount of heat
 indicates the efficiency of the AC device, and is typically a non-linear,
increasing function of the supplied cold air temperature,  
( ). It means that
operating the AC system at a higher temperature is saving energy, as providing colder air
requires the AC to work harder and consume more energy to remove heat. Hence, we
can minimise
          </p>
          <p>( ) by maximise the allowable supplied cold air temperature,
( ) that satisfies the constraint of redline thresholds. The simulation approach will
also be used to get the function of 
is the thermal correlation
index,</p>
          <p>
            =∆    , which represents the influence of each AC unit   on inlet
temperature of server rack   . As defined in Eq. (6), it quantifies the response of the server
  ’s inlet temperature 

 to a step-change in the supply temperature  
 is a static metric, which is stable with time but based on the physical
configuration of the DC. Hence, we use the simulation approach to get the value of 
of   .
 . The
detailed explanation of this metric can be seen in [
            <xref ref-type="bibr" rid="ref10 ref11">17,18</xref>
            ].
          </p>
          <p>Thermal modelling
. According to the law of energy conservation, almost all the computing power
consumed by a server is transformed into heat, hence the relationship between the power
consumption and inlet/outlet temperature of server rack   can be presented as:
( )</p>
          <p>
            (7)
Where   =    is the thermal-physical term. This can be estimated by our data
obtained in DC.
plied air temperature ( 
Typically, the server’s inlet temperature (

 ) tends to be higher than the AC’s
sup) due to the phenomenon so-called heat recirculation where
the hot air from the server and the supplied cool air from the AC are mixed then
recirculats in the room. Based on the energy conservation as described in Eq. (8) and the
assumption of the fixed airflow pattern in the computer room, prior studies (eg. [
            <xref ref-type="bibr" rid="ref12">19</xref>
            ])
characterise this phenomenon with a heat distribution matrix 
= {  } where  
is
the temperature increase at the inlet of server rack   due to the heat emitted at the
outlet of the server rack
          </p>
          <p>. Here we adjust this to matrix  = {  } denotes the heat
increased at the inlet of server rack   caused by the heat recirculated inside the rack
due to computation. Hence, the inlet temperature of a server rack   comes from the
combination of the supplied cold air from the AC and hot air recirculated inside the
rack. This relationship can be written as:
(8)
(9)
 ( ) = ∑=1 

 
  
( )+   

( )
Where</p>
          <p>is a binary variable which equals to 1 if the AC unit   is assigned to supply
cold air to the rack slot of server rack   , and 0 otherwise. As the DC layout is fixed,
the value of</p>
          <p>will be given by VAR estimation.</p>
          <p>With equations (5) and (8), we can transfer 

 ( ) to the function of  
( ).

1−</p>
          <p>( )+  [  ( )]</p>
          <p>Optimization solution
Moreover, for each AC, there are thresholds ( 4
the AC temperatures to be within the range (0 − 30℃).
) and ( 5</p>
          <p>), which will restrict
Similarly, by aligning with Eq. (9), we can transfer the constraints functions Eq. (13,14)
to the function of</p>
          <p>In short, the operational problem that we will address at the first stage is to optimize
the objective function in Eq. (12) by determining the optimal supplied cold temperature
of the AC devices, given the constraints in Eq. (13, 14, 15). The optimization would
start once we estimate the DC may perform inefficiently by VAR-RL forecasting, and
 . is also defined by VAR-RL).
target temperature combination will be set at  1 − 
periods on the timeline (Where
4</p>
        </sec>
      </sec>
    </sec>
    <sec id="sec-4">
      <title>Future Studies</title>
      <p>Future studies will be made on forecasting verification and model adjustment. An
application UI (User Interface) will be applied for the DC managers to make sustainable
DC management. Field trial studies will also be conducted subsequently, we will
modify our models and further studies will be done accordingly.
(14)
(15)
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Trends to 2030. Challenges, 6(1). 117–157, (2015).</p>
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2. A. Capozzoli and G. Primiceri: Cooling systems in data centers: state of art and emerging
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