Hvac PDF

Research & Development Roadmap
for Emerging HVAC Technologies
W. Goetzler, M. Guernsey, and J. Young
October 2014
Prepared by Navigant Consulting, Inc.

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NOTICE
This report was prepared as an account of work sponsored by an agency of the

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Available electronically at http://www.osti.gov/home/

RESEARCH AND DEVELOPMENT ROADMAP FOR EMERGING HVAC TECHNOLOGIES
Preface
The Department of Energy’s (DOE) Building Technology Office (BTO), a part of the Office of
Energy Efficiency and Renewable Energy (EERE) engaged Navigant Consulting to develop this
research and development (R&D) roadmap for heating, ventilation, and air conditioning (HVAC)
technologies. The initiatives identified in this report are Navigant’s recommendations to BTO
for pursuing in an effort to achieve DOE’s energy efficiency goals. Inclusion in this roadmap
does not guarantee funding; HVAC initiatives must be evaluated in the context of all potential
activities that BTO could undertake to achieve their goals.
BTO also manages the residential appliance and commercial equipment standards program;
however these activities are separate. To maintain the separation between the emerging
technologies activities and the appliances standards activities, and to prevent undesirable
interaction between the two, this roadmap does not cover any details of the following topics
(general discussion of challenges, barriers, or needs in these areas may be covered as
appropriate):
» Test procedures
» Energy efficiency descriptors
» Efficiency standards levels.
Prepared for:
U.S. Department of Energy
Office of Energy Efficiency and Renewable Energy
Building Technologies Office
www.eere.energy.gov/buildings
Prepared by:
Navigant Consulting, Inc.
77 South Bedford Street, Suite 400
Burlington, MA 01803
William Goetzler
Matt Guernsey
Jim Young
ii Preface
Acknowledgements
We would like to thank the individuals who provided valuable input to this roadmap, including:
Name Organization
Omar Abdelaziz U.S. Department of Energy, Building Technologies Office
Van Baxter Oak Ridge National Lab
Anil Bhargava I & M Industrials, Inc.
Antonio Bouza U.S. Department of Energy, Building Technologies Office
Craig Bradshaw Torad Engineering
Robert Comparin Emerson Climate Technologies
Dan Dempsey Carrier
Michael Deru National Renewable Energy Laboratory
Titu Doctor CENC Inc.
Ian Doebber National Renewable Energy Laboratory
Piotr Domanski National Institute of Standards and Technology
Nicholas Fila Heery International, Inc.
Douglas Friedman LabWize, Inc.
Brian Fronk Georgia Institute of Technology
Brendan Gardes DLB Associates
Ashok Gidwani Booz Allen Hamilton / ARPA-e
Chris Gray Southern Company
Steve Greenberg Lawrence Berkeley National Laboratory
Chad Griffith Griffith Engineering
Jill Hootman Trane
Shaobo Jia Heatcraft Refrigeration
Brian Johnson Dais Analytic Corporation
Srinivas Katipamula Pacific Northwest National Laboratory
Georgi Kazachki Dayton Phoenix Group, Inc.
Thomas Leck DuPont
Jason LeRoy Trane
Dick Lord Carrier
Chris Muller Purafil, Inc.
Joe Orosz Torad Engineering
Hung Pham Emerson Climate Technologies
Pat Phelan U.S. Department of Energy, Building Technologies Office
Reinhard Radermacher University of Maryland
Ari Reeves CLASP
Tom Sayre Sizemore Group
Ken Schoeneck Ingersoll Rand
Mick Schwedler Trane
Harris Sheinman Heery International, Inc.
Mark Spector Office of Naval Research
Kristen Taddonio U.S. Department of Energy, Building Technologies Office
Troy Trant Rheem Manufacturing Company
Acknowledgements iii
Name Organization
Dutch Uselton Lennox
Parmesh Verma UTRC
Ed Vineyard Oak Ridge National Lab
Eric Walthall Danfoss
Xudong Wang AHRI
David Wasserman Southface
Thomas Watson Daikin Applied
Robert Wilkins Danfoss
Jing Zheng Coca-Cola Company
Tony Ziegler Laboratory & Biosafety System Inc.
iv Acknowledgements
List of Acronyms
A/C Air Conditioner or Air Conditioning

ACCA Air Conditioning Contractors of America
AEO Annual Energy Outlook
AFUE Annual Fuel Utilization Efficiency
AHRI Air-Conditioning, Heating, and Refrigeration Institute
API Application Programming Interface
ARPA-e Advanced Research Projects Agency-Energy
AS-IHP Air-Source Integrated Heat Pump
BTO Building Technologies Office
CBECS Commercial Buildings Energy Consumption Survey
CBERD U.S.-India Joint Center for Building Energy Research and Development
CCE Cost of Conserved Energy
CCHP Cold-Climate Heat Pump
CERC U.S.-China Clean Energy Research Center
CFC Chlorofluorocarbon
CHP Combined Heat and Power
COP Coefficient of Performance
CRADA Cooperative Research and Development Agreements
DCV Demand-Controlled Ventilation
DHC District Heating and Cooling
DOAS Dedicated Outdoor Air System
DOE Department of Energy
EER Energy Efficiency Ratio
EERE Office of Energy Efficiency and Renewable Energy
EIA Energy Information Agency
EPA Environmental Protection Agency
EPRI Electric Power Research Institute
ERV Energy Recovery Ventilator
EU European Union
FDD Fault Detection and Diagnostics
FEMP Federal Energy Management Program
FOA Funding Opportunity Announcements
GHP Geothermal or Ground-Source Heat Pump
GS-IHP Ground-Source Integrated Heat Pump
GWP Global Warming Potential
HP Heat Pump
HPWH Heat Pump Water Heater
HSPF Heating Season Performance Factor
HVAC Heating, Ventilation, and Air Conditioning
HVAC&R Heating, Ventilation, Air Conditioning, and Refrigeration
List of Acronyms v
IAQ Indoor Air Quality

IEER Integrated Energy Efficiency Ratio
IEQ Indoor Environmental Quality
IHP Integrated Heat Pump
IPOS Image Processing Occupancy Sensor
LBNL Lawrence Berkeley National Laboratory
NIST National Institute of Standards and Technology
NREL National Renewable Energy Laboratory
O&M Operations and Maintenance
ORNL Oak Ridge National Laboratory
PCM Phase-Change Material
PNNL Pacific Northwest National Laboratory
PTAC Packaged Terminal Air Conditioner
P-Tool Prioritization Tool
PV Photovoltaic
PV/T Photovoltaic and Thermal
Quad Quadrillion (10¹⁵) Btu
R&D Research and Development
RECS Residential Energy Consumption Survey
RTU Rooftop Unit
SEER Seasonal Energy Efficiency Ratio
SMDS Smart Monitoring and Diagnostics
SNL Sandia National Laboratory
SSLC Separate Sensible and Latent Cooling
STES Seasonal Thermal Energy Storage
ToU Time of Use
TRL Technology Readiness Level
VFD Variable-Frequency Drive
VHP Vuilleumier Heat Pump
VOC Volatile Organic Compounds
vi List of Acronyms
Executive Summary
The U.S. Department of Energy’s (DOE) Building Technologies Office (BTO) within the Office
of Energy Efficiency and Renewable Energy (EERE) works with researchers and industry
partners to develop and deploy technologies that can substantially reduce energy consumption in
residential and commercial buildings. BTO aims to reduce building-related primary energy
consumption by 50% by the year 2030, relative to 2010 consumption. Specifically for heating,
ventilation, and air conditioning (HVAC), BTO identified primary energy savings targets of 12%
by 2020 and 24% by 2030.
This roadmap aims to advance BTO’s energy savings goals by identifying research and
development (R&D) initiatives for high efficiency HVAC technologies. Their focus is on
innovative initiatives that accelerate development of technologies. This includes those initiatives
that produce near-term improvements as well as those that advance development of next-
generation or transformational technologies.
DOE retained Navigant Consulting Inc. (hereafter, “Navigant”) to identify and characterize high-
priority research and development (R&D) activities for BTO to pursue. This roadmap covers all
commercial and residential HVAC technologies, including related systems, such as controls,
distribution systems, and operations and maintenance.
To gather input for this roadmap, we conducted one-on-one interviews with industry leaders and
held a stakeholder forum on June 17, 2014, generously hosted by ASHRAE at their headquarters
in Atlanta, GA. Key themes arose from stakeholder discussion, including:
 Building in tolerance for system misapplication, e.g., ability to accommodate for
oversizing without hurting performance
 Recognize that each building is a unique system and they can vary widely in their
operating characteristics and requirements
 Envision what retrofits look like in 2050, as such awareness can help improve HVAC
system design and reduce maintenance and replacement costs in the future.
 Emphasize peak demand mitigation, which will provide system-wide reliability
environmental benefits as well as customer cost benefits
 Optimize components for alternative refrigerant systems given that the transition to
low global-warming-potential (GWP) refrigerants will be a prominent driver of
technological change.
In all, stakeholders provided nearly 100 unique ideas for initiatives. We carefully characterized
the full set of initiatives and evaluated them using multivariate analysis with both qualitative and
quantitative metrics. Table ES-1 and Table ES-2 show the resulting high priority initiatives for
direct-impact technologies and enabling technologies, respectively. Direct-impact initiatives
address specific technical innovations to provide energy savings, while enabling initiatives
indirectly aid improvements in energy efficiency via supplementrary technologies, processes, or
knowledge advances.
Executive Summary vii

Table ES-1: Priority Direct-Impact HVAC R&D Initiatives

Topic Area Initiative/Activity
Develop a direct-current (DC)-powered HVAC system to utilize DC power from

a solar PV system without inverter losses and facilitate microgrid integration
Develop and evaluate techniques for separate sensible and latent control and
quantify the energy savings
Develop techniques to raise heat pump performance (all fuels) at low-ambient

temperature; consider elimination of defrost (or frost buildup) and backup
heat sources to improve the application of CCHPs
Develop electrochemical compression systems
Develop methods, technologies, and other innovations to easily integrate

seasonal energy storage into residential and commercial projects
Investigate new absorption pairs, compact heat exchangers, and other

material advances to reduce the cost of absorption systems for res/light
commercial
Table ES-2: Priority Enabling HVAC Technology R&D Initiatives

Topic Area Initiative/Activity
Collect data and conduct analysis on the pervasiveness and energy impacts of
incorrect system commissioning, poor installation, incorrect operation, and
improper maintenance of HVAC in all buildings
Develop and demonstrate an open-source, open-architecture platform that
enables smart grid connectivity for demand response, and communication of
energy, operational, and financial transactions between HVAC and other building
systems
Develop a low-cost sensor network and control scheme where every surface,
critical object, and occupant has a sensor
Develop standardized methods of built-in data acquisition and data storage for
sizing and equipment selection purposes at end of life
viii Executive Summary

The report that follows provides detailed background on current R&D efforts in water heating,
discussion of BTO’s overall approach to water heating R&D, and clear articulation of the Tier 1
priority initiatives. The report is organized as follows:
1. Introduction/Background – objectives, BTO role and current R&D
2. Roadmap Approach – R&D roadmap development process steps
3. Market Overview – current state of technology and the water heating market
4. R&D Roadmap – detailed discussion of priority initiatives, as well as general discussion
of themes; Tier 1 (highest-priority) initiative discussion includes discussion of technical
and market barriers, timelines and milestones, and stakeholder roles.
Executive Summary ix
Table of Contents
Preface............................................................................................................................................. ii
Acknowledgements ........................................................................................................................ iii
List of Acronyms ............................................................................................................................ v
Executive Summary ...................................................................................................................... vii
Table of Contents ............................................................................................................................ x
1 Introduction ........................................................................................................................... 13
1.1 Background .................................................................................................................... 13
1.2 BTO HVAC Research and Development (R&D) Approach ......................................... 14
1.2.1 BTO Emerging Technologies Goals in HVAC ...................................................... 17
1.2.2 Space Cooling ......................................................................................................... 20
1.2.3 Space Heating ......................................................................................................... 22
1.2.4 Integrated Water Heating and Space Conditioning Systems .................................. 23
1.2.5 Cross Cutting .......................................................................................................... 25
1.3 Technology and Market Scope ....................................................................................... 27
1.4 Objective of This Roadmap............................................................................................ 29
2 Roadmap Approach .............................................................................................................. 30
2.1 Stage 1: Characterize Current R&D, Markets, and Objectives ...................................... 30
2.2 Stage 2: Identify Technologies ....................................................................................... 31
2.3 Stage 3: Prioritize Initiatives .......................................................................................... 31
2.3.1 Preliminary Ranking ............................................................................................... 32
2.3.2 Qualitative Prioritization......................................................................................... 33
2.3.3 Quantitative Prioritization – BTO P-Tool – Direct-Impact Initiatives Only .......... 34
2.4 Stage 4: Develop R&D Roadmap .................................................................................. 35
3 Market Overview .................................................................................................................. 36
3.1 Residential Equipment Landscape ................................................................................. 36
3.2 Commercial Equipment Landscape ............................................................................... 37
3.3 State of the HVAC Market – Equipment Trends ........................................................... 39
3.4 Barriers to Achieving Energy Savings ........................................................................... 40
3.4.1 Technical Barriers ................................................................................................... 40
3.4.2 Market Barriers ....................................................................................................... 42
4 Research & Development Roadmap ..................................................................................... 43
4.1 Central Themes .............................................................................................................. 43
4.2 Direct-Impact Technology Initiatives ............................................................................ 45
4.2.1 (ID #1) DC-Powered HVAC for Solar PV Integration ........................................... 48
4.2.2 (ID #3) Separate Sensible and Latent Heat Management ....................................... 51
4.2.3 (ID #4) Cold-Climate Heat Pumps ......................................................................... 54
4.2.4 (ID #5) Electrochemical Compression Systems ..................................................... 57
4.2.5 (ID #8) Seasonal Thermal Energy Storage ............................................................. 60
4.2.6 (ID #10) Material/Refrigerant Advances for Absorption Systems ......................... 62
4.2.7 Tier Two Direct-Impact Initiatives ......................................................................... 65
4.3 Roadmap for Enabling Technology R&D Initiatives ..................................................... 66
4.3.1 (ID #2) Impacts of Poor Installation, Commissioning, or O&M ............................ 68
4.3.2 (ID #6) Open-Source Smart Grid Connectivity Platform ....................................... 71
4.3.3 (ID #7) Low-Cost Sensor Networks ....................................................................... 73
4.3.4 (ID #9) Built-in Data Acquisition for Equipment Sizing and Selection ................. 75
x Table of Contents
4.3.5 Tier Two Enabling Technology Initiatives ............................................................. 77

4.4 HVAC Technolgy R&D Portfolio ................................................................................. 79
5 Appendix A – HVAC Forum Summary Report ................................................................... 83
6 Appendix B – Supporting Equipment Charts ....................................................................... 94
7 Appendix C – Tier 2 Initiatives ............................................................................................ 95
8 Appendix D – Tier 3 Initiatives .......................................................................................... 115
Table of Contents xi
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1 Introduction
1.1 Background
The Building Technologies Office (BTO) within the Department of Energy’s (DOE) Office of
Energy Efficiency and Renewable Energy works with researchers and industry to develop and
deploy technologies that can substantially reduce energy consumption in residential and
commercial buildings. BTO aims to reduce building-related energy consumption by 50% by the
year 2030, relative to 2010 consumption. Further development of emerging Heating, Ventilation
and Air Conditioning (HVAC) technologies has the potential to help BTO achieve this goal.
As of 2010, HVAC loads constituted 41% of all building primary energy consumption in the
U.S. Figure 1-1 shows the breakdown of primary energy consumption by end use.
Figure 1-1: Building primary energy consumption by end-use
Figure 1-2 shows BTO’s projected energy savings potential relative to the Energy Information
Administration’s (EIA) Annual Energy Outlook (AEO) projections for total consumption.
BTO’s 50% target savings goal, a 20 quadrillion (1015) Btu (quad) reduction in primary energy,
comes from all building technologies combined; each colored band in the figure represents the
savings achievable over time from each end-use. The overlaid data from AEO 2014 (purple line)
shows how the projections compare to actual consumption.
Introduction 13
Figure 1-2: BTO emerging-technology-enabled energy savings targets
As defined in its Multi-Year Work Plan, BTO’s mission is to:
Develop and promote efficient and affordable, environmentally friendly,

technologies, systems, and practices for our nation’s residential and commercial
buildings that will foster economic prosperity, lower greenhouse gas emissions,
and increase national energy security while providing the energy-related services
and performance expected from our buildings.1
As part of this mission, BTO targets primary energy savings of 24% for HVAC (12% by 2020).2
1.2 BTO HVAC Research and Development (R&D) Approach

BTO maintains an integrated approach to accelerating uptake of energy efficient technologies
that leverages the three key and distinct portions of the organization: codes and standards, market
priming teams, and emerging technologies. Figure 1-3 shows the key functions of each group.
1
Department of Energy, Office of Energy Efficiency and Renewable Energy. “Building Technologies Program
Multi-Year Work Plan 2011–2015.” Accessed September 2, 2014:
apps1.eere.energy.gov/buildings/publications/pdfs/corporate/myp11.pdf
2
BTO’s target savings general information available at: www1.eere.energy.gov/buildings/technologies/index.html.
Specific breakdown by end-use based on slide 3 of a presentation by Pat Phalen, Emerging Technologies program
manager, (April 22, 2014). Accessed September 2, 2014:
energy.gov/sites/prod/files/2014/05/f15/BTO_PeerReview_ET_Overview_042214.pdf.
14 Introduction
Figure 1-3: BTO overall approach by group function
The emerging technologies group specifically has the goal of developing technologies that save
energy and reduce our environmental burden while introducing them in the simplest applications
first, for the highest probability of success. BTO maintains a two-pronged approach to help
achieve this goal:3
1) Accelerate the development of near term technologies that have the potential to save
significant amount of energy (which may include cost reduction activities)
2) Accelerate the development of the next generation of technologies that have the potential of
“leapfrogging” existing technologies by pursuing entirely new approaches (including
crosscutting efforts).
Figure 1-4 shows how BTO views these objectives relative to cost and efficiency improvements.
3
Tony Bouza, BTO Presentation: “ET’s HVAC, WH and Appliance R&D.” (April 24, 2014) Accessed September
15, 2014: energy.gov/sites/prod/files/2014/05/f15/HVAC_Overview_Bouza_042314_and_042414.pdf
Introduction 15
Figure 1-4: BTO approach to HVAC R&D
The Emerging Technologies group has identified objectives for their HVAC R&D, including:
 Leverage previous work on less complex technologies, such as water heating; such
advances must recognize differences in key energy consumption factors, e.g., water
heating is dependent on usage patterns, whereas HVAC is more dependent on envelope,
equipment sizing, and floor area.
 Maintain a diverse portfolio of HVAC R&D activities in terms of topic/technology
readiness level (TRL), fuel choice, and market.
 Enable consumer choice (without forcing on-site fuel switching).
 Maintain cost effectiveness as a key goal, recognizing that the first commercialized
iteration of a product may not ultimately achieve the final target.
In achieving those objectives, BTO sees four leading themes:

 Continued emphasis on integrated systems that enable key cross-cutting benefits
 Primary energy savings focus versus site energy savings
 Consideration of regional and temporal differences in primary energy savings due to
electricity generation fuel mix
 Increased importance of regionally-optimized and climate-optimized solutions as
additional efficiency gains tend to require such a move.
In understanding what the building energy landscape looks like in 2030, one must consider the
impact of some key changes, including:
16 Introduction
 Water scarcity – higher water costs (and higher energy prices as a result) will become a
driving factor in the energy industry; while this primarily impacts the power generation
sector, many building technologies have an impact as well.
 Tightly sealed buildings – new building techniques and envelope energy savings
measures lead to better building envelope sealing, which in turn impacts not only the
heating and cooling capacity requirements but also ventilation and humidity control
needs.
 Higher energy costs – in combination with increasing water prices, consumer can expect
increasing energy costs. For example, EIA predicts nearly a 30% increase in the cost of
natural gas for residential customers by 2030 (relative to 2012).4
To achieve their objectives, BTO expects to continue their use of Funding Opportunity
Announcements (FOA) for initiating early-stage work and their use of Cooperative Research and
Development Agreements (CRADA) to leverage manufacturer experience in successful
technology deployment and commercialization.
The following subsection documents BTO’s technology-specific goals for cost and efficiency.
The four subsequent subsections summarize selected recent and ongoing BTO R&D activities
that are representative of their typical work.
1.2.1 BTO Emerging Technologies Goals in HVAC

BTO identified near-term efficiency and cost targets for six different HVAC technology areas
(based on analysis for the P-Tool):
 Multifunction Natural Gas-Driven Heat Pumps – See Figure 1-5
 Air-Source Integrated Heat Pumps – See Figure 1-6
 Advanced Vapor-Compression Technologies – See Figure 1-7
 Non-Vapor-Compression HVAC Systems – See Figure 1-8
 Natural Gas-Driven Heat Pumps – See Figure 1-9
 Cold-Climate Heat Pumps – See Figure 1-10
Each figure shows the efficiency based on primary energy, i.e., primary energy savings or
primary seasonal COP. Primary energy additionally accounts for the losses associated with
generation/transmission/distribution of electricity for electricity-driven systems so that
efficiencies of system using different fuels can be directly compared. The figures show costs
based on either Installed Cost Premium per square foot ($/sq.ft.) or Installed Cost per kBtu per hr
($/kBtu/hr), which is relative to the installed cost of a typical baseline model using the same fuel
as the target technology.5 Each of the six technologies is applicable to both residential and
commercial applications, except for air-source integrated heat pumps, which BTO targets for use
in residential applications only.
4
Energy Information Administration, Annual Energy Outlook. 2014. Table A3: Energy prices by sector and source.
Accessed September 2, 2014: www.eia.gov/forecasts/aeo/pdf/tbla3.pdf.
5
Baseline assumptions based on BTO analysis for P-Tool, using EIA data as the primary basis.
Introduction 17
Figure 1-5: Cost and efficiency targets for multifunction natural gas-driven HP
Figure 1-6: Cost and efficiency targets for air-source integrated heat pumps
18 Introduction
Figure 1-7: Cost and efficiency targets for advanced vapor-compression technologies
Figure 1-8: Cost and efficiency targets for non-vapor-compression HVAC systems
Introduction 19
Figure 1-9: Cost and efficiency targets for natural gas -driven heat pumps
Figure 1-10: Cost and efficiency targets for cold-climate heat pumps
1.2.2 Space Cooling

BTO has focused recent air conditioning (A/C) research on two areas:
 Explore non‐vapor-compression technologies
o Thermoelectric, electrocaloric, magnetocaloric, thermoacoustic, etc.
o Longer term; represents a potential “step‐change” in energy use
o Eliminates refrigerants.
 Explore separate sensible and latent cooling A/C systems
20 Introduction
o Total cooling load is composed of both the sensible load (temperature) and the
latent load (humidity)
o 50%–90% savings is possible for technologies optimized for specific climates and
applications
o Large portion of the U.S. building stock is located in hot/humid environments.
Table 1-1 outlines some recent activities for space cooling technologies. This work leverages
(and benefits from) much of the water heating R&D that BTO conducts. BTO’s water heating
roadmap covers all water-heating-specific initiatives; an update to the water heating roadmap is
currently underway.6
Table 1-1: Recent BTO R&D Activities on Space Cooling Technologies
Project Description / Objective [Project Lead(s)]

Develop an initial, high-efficiency rooftop unit (RTU) product intended for
(a) Next generation
introduction into to the U.S. market with an integrated energy efficiency ratio
rooftop unit
(IEER) of at least 20.0.7 [ORNL/CRADA-Trane]8
(b) Efficient window
Develop a high efficiency, 13 EER room air conditioner (RAC).9 [ORNL]
A/C
(c) Rooftop unit w/ Develop a rooftop unit consisting of a cascading vapor-compression and
integrated active desiccant cooling cycle for enhanced dehumidification [Trane, ORNL, Florida
desiccant wheel Solar Energy Center]
Develop a very high performance A/C with low global warming potential
(d) Low-GWP A/C refrigerant [United Technologies Research Center and U of Illinois-Urbana
Champaign] 10
Develop a Non-CFC-based, Critical Flow, Non-Vapor-Compression Cooling Cycle
(e) Non-vapor-
that uses a cycle involving non-equilibrium shocks and cavitation.11 [PAX
compression cooling
Streamline and Kansas State University] 12
(f) Fan/diffuser Improve residential A/C efficiency by 20 – 30% through improvements to
w/an evaporative condenser technology. The system uses variable frequency drives and rotary
condenser pre- compressors to achieve superior efficiency and initial tests show 36–41%
cooler efficiency improvement. 13 [Florida Solar Energy Center]
6
“Research and Development Roadmap for Emerging Water Heating Technologies.” prepared by Navigant
Consulting, Inc. for BTO. (September 2014.) Accessed September 29, 2014:
energy.gov/sites/prod/files/2014/09/f18/WH_Roadmap_Report_Final_2014-09-22.pdf
7
Information available at: energy.gov/eere/buildings/next-generation-rooftop-unit
8
Information available at: energy.gov/sites/prod/files/2013/12/f5/emrgtech11_shen_040313.pdf
9
Information available at: energy.gov/eere/buildings/energy-efficient-window-air-conditioner-ratings-research-
project
10
Information available at: energy.gov/eere/buildings/recovery-act-funded-hvac-projects
11
Information available at:
recovery.gov/arra/Transparency/RecoveryData/pages/RecipientProjectSummary508.aspx?AwardIdSur=130010
12
13
Introduction 21
1.2.3 Space Heating

BTO has focused heavily on advanced heat pump (HP) technologies, especially cold-climate
heat pumps (CCHP) and gas-fired HPs. They see these areas as fundamental to future gains in
efficiency in space heating. As with A/C, one key area of interest is in non-vapor-compression
HP technologies. Table 1-2 provides examples for space heating technologies.
Table 1-2: Recent BTO R&D Activities on Heating Technologies

Develop and demonstrate a high-performance commercial CCHP system and will
(g) Commercial
reduce annual electricity use for space heating in cold climates by at least 25%.14
CCHP
[United Technologies Research Center]
Develop a split system heat pump providing 48,000 Btu/hr. heating capacity with
a COP of 4.5 at the 47°F AHRI rating condition, and an efficiency degradation of
(h) CCHP
50%, and capacity loss of 25% at -13°F ambient conditions.15 [ORNL and CRADA
partner]
Develop a residential, air-source CCHP that can maintain capacity and efficiency
(i) Variable speed
at very low temperatures.16 The goals are 4.0 COP at 47°F, 3.5 COP at 17°F, and
CCHP
3.0 COP at -13°F with a payback of <5 years. [Unico]
Provide insight on the latest related HVAC/R technology developments in Europe
(j) International
and the Far East through participation in the International Energy Agency (IEA)
HVAC&R R&D
Heat Pump Programme (HPP) and also through the International Institute of
collaboration
Refrigeration (IIR). [ORNL]
(k) Natural Develop a regenerative air source HP for commercial applications that uses air
refrigerant high (R729) as the working fluid, thereby eliminating all HFC refrigerants. The HP will
efficiency have a 20-ton capacityand a 240 kBtu/hr heating capacitywith a payback of four
commercial HP years.17 [S-RAM Dynamics with: ORNL, ReGen, Purdue]
Develop a low-cost, gas-fired absorption air-source HP (80 kBtu/hr.) for high
(l) Low‐cost gas heat efficiency space heating to reduce heating costs by 30-45% compared to
pump for building conventional gas furnace/boiler technologies. The HP reaches a coefficient of
space heating performance of 1.4 at 47°F and 1.2 at -13°F using a simple, single-effect
ammonia-water absorption cycle. 18 [Stone Mountain Technologies, Inc.]
(m) Natural Design, develop and demonstrate a natural refrigerants based very high
refrigerant high- efficiency residential A/C system that provides a 30% reduction in annual energy
efficiency HVAC consumption.19 [United Technologies Corporation]
14
Information available at: www.eere.energy.gov/pdfs/building_envelope_hvac_foa_selection_projects_list.pdf
15
Information available at: energy.gov/eere/buildings/cold-climate-heat-pump-research-project
16
17
Information available at: energy.gov/eere/buildings/downloads/natural-refrigerant-high-performance-heat-pump-
commercial-applications
18
Information available at: www.eere.energy.gov/pdfs/building_envelope_hvac_foa_selection_projects_list.pdf and
energy.gov/eere/buildings/recovery-act-funded-hvac-projects
19
22 Introduction

Develop, test, and evaluate HPs (40–60 kBtu/hr.) that utilize:
(1) Both flooded compression with regeneration, and cooled compression with
(n) High
economizing; (2) Low-cost flow control devices to evenly distribute two-phase
performance CCHP
refrigerant in the evaporator; 3) Cycle optimization to integrate both
technologies above.20 [Purdue, Emerson Climate Technologies]
The project aims to develop the essential elements of a “HP furnace,” which will
allow efficient operation in the coldest U.S. climates with zero backup heat. The
(o) Supercharger for
technology will add a second compressor that operates automatically on cold
CCHP
days to boost refrigerant pressure and temperature.21 [Mechanical Solutions,
Inc.]
Develop, test, and evaluate a high performance and cost-effective vapor-
compression heat pump for use in cold-climate regions. It is anticipated that
(p) High
these system improvements can be implemented with modest consumer price
performance CCHP
premiums since they are primarily built on already commercialized, mature
technologies.22 [Purdue]
1.2.4 Integrated Water Heating and Space Conditioning Systems

BTO has also focused extensively on integrated HVAC equipment that serves multiple loads,
including space cooling/heating and water heating. The integrated heat pumps (IHP) that BTO
has supported include air-source (AS-IHP), ground-source (GS-IHP), and fuel-fired IHP
systems. The concept is to merge several end‐use together into a new solution that benefits from
energy cascading where the waste (or residual) heat from one process provides the energy input
for another. For example waste heat from A/C can be used to heat water. Table 1-3 summarizes
select recent BTO R&D activities for IHP systems.
Table 1-3: Recent BTO R&D Activities on Integrated Technologies

(q) Develop standard
Develop an ASHRAE standard for a method of test for IHPs; develop an AHRI
method of test for
rating standard for IHPs.23 [ORNL]
IHP
20
recovery.gov/arra/Transparency/RecoveryData/pages/RecipientProjectSummary508.aspx?AwardIdSur=105093 and
21
Information available at: energy.gov/sites/prod/files/2013/12/f5/emrgtech15_walter_040313.pdf and
22
recovery.gov/arra/Transparency/RecoveryData/pages/RecipientProjectSummary508.aspx?AwardIdSur=105093 and
23
Information available at: energy.gov/eere/buildings/downloads/standard-method-test-integrated-heat-pumps
Introduction 23

This IHP provides heating, ventilation, and A/C and water heating to residences
(r) Two stage AS-IHP at 40–45% energy savings vs. conventional minimum efficiency equipment by
utilizing a two-stage vapor-compression system.24 [ORNL]
Develop a variable speed AS-IHP that closely matches part-load needs and
(s) Variable speed AS-
improves efficiency.25 The technology will provide 45% to 55% energy savings
IHP
vs. minimum efficiency equipment. [ORNL/CRADA- Nordyne]
Develop a ground-source integrated heat pump that provides 55% to 65%

(t) Variable speed
energy savings vs. minimum efficiency equipment suite. The technology serves
ground source-IHP
100% of the home’s heating, cooling, and water heating needs and is about 30%
(GS-IHP)
more efficient than other available ground-source heat pumps (GHP).26 [ORNL]
Produce quality field data on the GS-IHP and AS-IHP products for manufacturers
(u) AS-IHP and GS-IHP
to use in refining system design. ORNL is testing these systems at four
field tests
unoccupied test houses at the ZEBRAlliance test site.27 [ORNL]
Accelerate GHP deployment by developing and identifying new technologies

(v) Advanced GHP that reduce cost and/or improve performance. The focus area is smart controls
technology for very- for hot water that optimizes the tank’s temperature schedule based on usage
low-energy buildings patterns for 10% savings. [ORNL – U.S. China Clean Energy Research Center,
CERC]
Develop a gas-fired IHP with four ton capacity to serve heating, cooling, and
water heating with a goal for cooling COPs of 1.3 and a heating COPs of 1.5. The
(w) Multi-function
unit aims to achieve an 80% reduction in water heating energy consumption
fuel-fired HP
with a 1 to 2 kilowatt electricity generation capability for ancillary loads, and a 5
year payback.28 29 [ORNL/CRADA]
Commercialize a Vuilleumier-based natural gas heat pump to provide heating,
(x) Natural gas heat cooling and hot water for homes and commercial buildings without the use of
pump and air harmful refrigerants and targets up to 200% efficiency improvements for space
conditioner heating, and 150% efficiency improvements for water heating and space
cooling.30 31 [ThermoLift and partners]
24
energy.gov/sites/prod/files/2014/05/f15/HVAC_Overview_Bouza_042314_and_042414.pdf
25
Information available at: energy.gov/eere/buildings/advanced-variable-speed-air-source-integrated-heat-pumps-
research-project
26
Information available at: energy.gov/articles/technology-breakthrough-geothermal
27
Information available at: energy.gov/eere/buildings/hvac-water-heater-field-tests-research-project
28
Information available at: energy.gov/sites/prod/files/2013/12/f5/et_overview_phelan_040213.pdf
29
Information available at: energy.gov/eere/buildings/multi-function-fuel-fired-heat-pump-research-project
30
Information available at: energy.gov/articles/energy-department-invests-save-heating-cooling-and-lighting
31
Information available at: www.eere.energy.gov/pdfs/et_selections_0823.pdf
24 Introduction
1.2.5 Cross Cutting

BTO also conducts R&D on many other related and cross-cutting technologies, much of which
can be leveraged to further HVAC BTO R&D objectives. These topics include:
 Covered in this roadmap
o Controls
o Heat exchangers
o Ventilation
o Compressors.
 Covered in other BTO R&D roadmaps
o Refrigerants – See BTO refrigerants roadmap, last published July 2011, with an
update currently underway32
o Water heating – See BTO water heating roadmap, published September 2014.33
Water heating in particular is an area with significant overlap with HVAC R&D given the focus
on electric and gas-fired HP technologies. Much of what is covered in the water heating
roadmap on HP technologies is valuable to advancing HVAC technologies. Table 1-4
summarizes select BTO cross-cutting activities.
Table 1-4: Recent BTO R&D Cross-Cutting and Related Activities
Project Description/Objective [Project Lead(s)]

(y) Rotating heat This project will demonstrate a rotating heat exchanger technology in
exchanger for residential HVAC that could improve cycle efficiency and enable increased use
residential HVAC of HPs in cold climates.34 [Sandia National Laboratory(SNL)/ORNL]
This project will design and build prototypes of miniaturized air-to-refrigerant

(z) Miniaturized air-
heat exchangers with10kW capacity with at least 20 percent less volume and 20
to-refrigerant heat
percent less material compared to traditional designs.35 [University of
exchangers
Maryland]
Achieve lower energy use at better cost and at increasing scale through
(aa) Building advanced energy recovery ventilation (ERV) that is incorporated into the walls
integrated heat and of a building via panels (AirflowTM panels). The project team is conducting pilot
moisture exchange installations and validated testing at various scales.36 [Architectural
Applications, Inc.]
32
“Research and Development Roadmap for Next-Generation Low-Global Warming Potential Refrigerants.” Report
by Navigant Consulting, Inc. for BTO. (July 2011) Accessed September 2, 2014:
energy.gov/sites/prod/files/2014/07/f17/next_generation_refrigerants_roadmap.pdf
33
“Research and Development Roadmap for Emerging Water Heating Technologies,” prepared by Navigant
Consulting, Inc., for BTO. (September 2014) Accessed September 29, 2014:
energy.gov/sites/prod/files/2014/09/f18/WH_Roadmap_Report_Final_2014-09-22.pdf
34
Information available at: www.eere.energy.gov/pdfs/et_selections_0823.pdf
35
36
Information available at: energy.gov/eere/buildings/downloads/building-integrated-heat-and-moisture-exchange
Introduction 25

Develop quick, easy-to-use tools that optimize ventilation control strategies in
(bb) Hybrid
commercial buildings with a focus on maximizing use of natural ventilation. The
ventilation
project is being conducted by the U.S.-China Clean Energy Research Center
optimization and
(CERC), an R&D consortium bringing together key stakeholders to develop a
control R&D
long-term platform for U.S.-China joint R&D.
Demonstrate a radial flow cooler in HVAC&R systems for savings of 15%–20%.
In addition, the project is building and testing an axial flow heat pump based on
(cc) Radial flow
the advances in the radial flow cooler that is scalable to building HVAC&R
bearing heat
applications. The axial cooler eliminates any requirement for heat transfer
exchanger
across a fluid bearing and creates a new de facto standard for cost-competitive,
high-efficiency HVAC&R technology.37 [SNL]
Optimize the operation of existing cooling and dehumidification systems, and
develop improved HVAC systems through the U.S.-India Joint Center for
(dd) Advanced HVAC Building Energy Research and Development (CBERD). The long-term goal is to
integrate an energy-efficient non-compressor dedicated outdoor air system
(DOAS), which could improve performance by up to 30%.38 [ORNL]
Develop a variable-capacity refrigerator using a linear compressor and other
novel features, that offers the potential to reduce energy use by up to 40%
(ee) Advanced compared with current refrigerators. This proposal focuses on modeling,
compressor designs developing conceptual system design and the architecture, and preliminary
testing of components, such as calorimeter testing of the linear compressor,
leading to developing a revolutionary refrigerator concept.39 [ORNL]
Evaluate alternative refrigerants with low GWP to identify the best candidate
(ff) Thermodynamic fluids and the trade-offs among them. In this context, "best" is determined
evaluation of low- primarily by a fluid's performance in the vapor-compression cycle. The final goal
global-warming- is to evaluate, identify, and publish a list of low-GWP working fluids along with
potential refrigerants thermophysical properties that yield high energy efficiency. NIST will lay out the
tradeoffs for consideration by the refrigeration industry. 40 [NIST]
A low-cost smart remote condition monitoring and diagnostic system allows
(gg) RTU smart
new and existing packaged units to easily incorporate continuous monitoring
monitoring and
and fault detection. The system provides building owners and operators with a
diagnostics system
simple way to identify performance degradation, quantify operating costs, and
(SMDS)
enables smarter maintenance decisions.41 [ORNL]
Develop advanced RTU controllers to incorporate several energy-saving
features onto existing equipment (e.g., integrated economizers, variable
(hh) RTU controls
capacity control, demand-controlled ventilation). These capabilities improve
part-load efficiency and also allow remote monitoring/diagnostics.42 [PNNL]
37
Information available at: energy.gov/eere/buildings/downloads/radial-flow-bearing-heat-exchanger
38
Information available at: energy.gov/eere/buildings/downloads/advanced-hvac-systems
39
Information available at: energy.gov/eere/buildings/downloads/advanced-compressor-technologies
40
Information available at: energy.gov/eere/buildings/downloads/thermodynamic-evaluation-low-global-warming-
potential-refrigerants-0
41
Information available at: energy.gov/sites/prod/files/2013/12/f5/commlbldgs16_brambley_040413.pdf
42
Information available at: energy.gov/sites/prod/files/2013/12/f5/commlbldgs16_brambley_040413.pdf
26 Introduction

Develop, demonstrate, and propagate an open-source, open-architecture
platform to enable advanced communication and control capabilities for major
(ii) VOLTTRON Lite building systems, including HVAC. VOLTRON Lite represents a common
integrating platform that coordinates the transactions with different systems,
data historians, grid signals, and other network agents.43 [PNNL]
Develop high-performance magnetic refrigerant materials that will significantly
enhance the efficiency and commercialization potential of magnetic
(jj) Magnetic refrigeration systems (a non-vapor cycle). The new materials should require a
refrigerant materials weaker magnetic field to operate and contain less expensive raw materials. The
proposed work will enable a 30% increase in efficiency of refrigeration and
cooling technology, and will eliminate harmful refrigerants.44 [GE]
Develop a novel refrigeration system that uses a cycle involving non-equilibrium
(kk) Non-CFC, non- shocks and cavitation. This novel refrigeration cycle allows for a substantial
vapor-compression improvement in the COP and the use of a wide range of environmentally benign
and low-cost refrigerants.45 [PAX]
1.3 Technology and Market Scope

This roadmap has a broad scope, encompassing space cooling, heating and ventilation
technologies, thermal distribution equipment, controls, and more. Figure 1-11 shows a high
level summary (not exhaustive) of the technologies covered in this roadmap.
43
Information available at: www.pnl.gov/main/publications/external/technical_reports/PNNL-22935.pdf
44
45
Introduction 27
Figure 1-11: HVAC roadmap technology scope (not exhaustive)
Not all technologies are emphasized equally or even included in the articulated initiatives in
Section 4. Inclusion in the initiatives requires that the technology, among other things, has
promising opportunity to help meet BTO goals and fits with BTO mission and capabilities. For
example, while the roadmap covers gas-fired furnaces, we identified no associated priority
initiatives in the course of the development process (see Section 2 for additional detail on the
process).
In supporting development and commercialization of these technologies, BTO focuses their

efforts on innovative initiatives that accelerate development of technologies. However, in select
cases, BTO also supports initiatives that can drive innovation broadly throughout the industry
and enable future breakthroughs. These two types of initiatives are:
 Direct-impact initiatives – R&D that targets technical innovations in a specific
component, system, or type of technology that will directly provide energy savings, e.g.,
development of improved heat exchangers for vapor-compression systems. See Section
4.2 for direct-impact technology initiatives.
 Enabling initiatives – R&D that indirectly aids improvements in energy efficiency
through development of supplementary technologies (e.g., sensors) or through advances
in processes (e.g., manufacturing) or knowledge (e.g., data collection) that benefits many
types of technologies, e.g., development of modeling software. See Section 4.3 for
enabling technology initiatives.
This roadmap does not address early stage science research that is more suitable for the Office of
Science, or late-stage market development activities that may be more suitable for industry or for
28 Introduction
the commercial or residential buildings groups (separate from the Emerging Technologies group)
within BTO.
1.4 Objective of This Roadmap

The objective of this roadmap is to provide a pathway to achieving BTO’s goal of reducing
HVAC-related building energy consumption. In this roadmap, we aim to identify and prioritize
research and development (R&D) initiatives that provide the best opportunities for accelerating
development and commercialization of emerging energy-efficient HVAC technologies.
This roadmap characterizes the current state of the market and of emerging HVAC technology
research. BTO’s efficiency and cost targets for emerging technologies, as discussed in Section
1.1, above, define the end state for HVAC technology achievements by 2030. This roadmap
aims to provide the pathway that connects the current state of HVAC technologies with the 2030
target state.
Introduction 29
2 Roadmap Approach
Figure 2-1 outlines the four stages for developing this roadmap.
Figure 2-1: Roadmap development stages
2.1 Stage 1: Characterize Current R&D, Markets, and Objectives

Key to the success of this roadmap is the clear characterization and understanding of current
markets and R&D activities, as well as the desired future state of HVAC technologies and
overarching goals of the organization. In Stage 1 we researched and analyzed these topics,
resulting in the overviews provided in Sections 1and 3. Examples of reviewed resources include
(but are not limited to):
 Past HVAC R&D roadmaps (e.g., HVAC, GHP, water heating)
 BTO technical and market reports on HVAC technologies
 BTO program peer review presentations
 EIA installed base data
 Equipment shipment data.
These background data lay the foundation for the roadmap and define the current state of HVAC
equipment and markets. Further, it puts greater context around the level of effort required to
reach BTO’s future goals.
30 Roadmap Approach
2.2 Stage 2: Identify Technologies

To identify R&D initiatives, Navigant aggregated inputs from three different sources:
1. Literature review – research and analysis of academic papers, industry reports,
national laboratory activities, and patent fillings regarding emerging opportunities for
HVAC research.
2. Stakeholder forum – stakeholder input from the June 2014 HVAC stakeholder forum
at the ASHRAE headquarters in Atlanta, GA.
3. One-on-one interviews – detailed input from individual industry experts on emerging
HVAC technologies; included both forum attendees and non-attendees.
The forum, held on June 17, 2014, brought together stakeholders and industry experts to discuss
barriers, new ideas and technologies, and strategic pathways to help achieve BTO’s energy
savings goals. The group consisted of 51 individuals representing manufacturers, academic
researchers, national laboratories, gas and electric utilities, energy-efficiency organizations, and
trade organizations. The six-hour forum included a variety of opportunities to gather feedback
and foster discussion around key challenges in accelerating development and adoption of high-
efficiency HVAC technologies. In addition to group dialogue and brainstorming, the forum also
utilized small break-out group discussions to generate intimate discussions in more specific
topics areas, including:
 Session 1 & 2 (repeated topics – attendees participated in two different sessions):
o Residential and small commercial heating/cooling
o Large commercial heating/cooling
o Controls, software, interfaces, usability, and data.
 Session 3:
o Distribution and ventilation
o System architecture (e.g., combination space and water heating systems, central
vs. distributed, storage, etc.)
o Outside the box (e.g., renewable integration, non-vapor-compression, etc.).
Participants voted on the initiatives generated during the forum based on their perceived impact
and importance to the industry; these votes became inputs to the prioritization process (see
Section 2.3). After the forum, Navigant reviewed the list of initiatives and selectively conducted
one-on-one interviews with stakeholders (both forum participants and non-participants) on topic
areas that required additional clarification. For additional information on the forum, see
Appendix A – HVAC Forum Summary Report.
2.3 Stage 3: Prioritize Initiatives

To prioritize the initiatives and identify the best opportunities for BTO to pursue, we followed a
three-step process:
1. Preliminary ranking (high, medium, low priority) – low priority were removed from
further prioritization steps
Roadmap Approach 31
2. Qualitative scoring – a multivariate, matrix-based scoring for all high and medium
priority initiatives
3. Quantitative scoring – rescoring of top high priority direct-impact initiatives using
BTO’s Prioritization Tool (P-Tool) – results were used to rescore these initiatives and re-
rank them among all high and medium priority initiatives.
The final output was a prioritized list of initiatives in three different priority tiers. Figure 2-2
summarizes the prioritization process. The following subsections describe each step.
Figure 2-2: Prioritization process steps
The Tier 1 initiatives are those which this roadmap articulates in the greatest detail in Section 4,
including timelines, milestones, barriers, and role and responsibilities.
2.3.1 Preliminary Ranking

We developed preliminary rankings of all 91 unique initiatives from our outreach and research
activities based on the following sources:
 Forum participant votes
 General feedback via follow-up interviews
 Internal research and expertise.
32 Roadmap Approach
Each priority level contained approximately 1/3 of the total number of initiatives. In the interest
of time, this preliminary ranking provided general guidance on the approximate level of time and
effort to be spent on refining the qualitative and quantitative scoring in the following steps.
2.3.2 Qualitative Prioritization

We labeled each initiative as either: “enabling” or “direct-impact” (see discussion in Section 1.3,
above). Two different individuals independently scored each of the medium and high priority
initiatives (based on preliminary rankings) on five different metrics. Table 2-1 defines each
metric and Table 2-2 shows the scoring legend on a scale of 1 to 5. A higher score in each
metric is better. Both the metrics and weights were developed in close coordination with BTO to
ensure that the prioritization approach accurately reflects their objectives.
Table 2-1: Initiative Scoring Metrics - Definitions
Metric Definition
Impact
Impact on Energy Savings Potential – Estimated technical savings potential
(Direct-impact
(assuming 100% adoption) of target markets relative to other initiatives
initiatives)
Impact Impact on Knowledge Gap or Adoption Barrier – Expected impact on
(Enabling initiatives) addressing a critical knowledge gap or overcoming a barrier to adoption of
high-efficiency HVAC technologies
Suitability of initiative (e.g., research stage and needs) to BTO’s mission,
Fit with BTO Mission
goals, and capabilities (including the initiative’s expected time to market)
Criticality of BTO
Criticality of BTO participation to the success of the initiative
Involvement
Level of Risk Funding level that may be expected for the initiative to be successful
Level of Required Expected investment risk based on the likelihood of the initiative achieving
Investment impact
Roadmap Approach 33
Table 2-2: Initiative Scoring Metrics – Scoring Legend
Metric 5 4 3 2 1 Wgt:
Impact Significant Semi-Significant Moderate Modest Minimal 30%
Core to Semi-core to Relevant to Semi-relevant Outside scope

Fit with BTO Mission 20%
mission mission mission to mission / mission
Criticality of BTO Critical to Semi-critical to Beneficial to Semi-beneficial Unnecessary
20%
Involvement success success success to success for success
Level of Risk* Low Low-Moderate Moderate High-Moderate High 10%
Level of Required
< $1M $1M – $3M $3M – $5M $5M – $10M > $10M 20%
Investment
*We score Level of Risk relative to BTO mission and goals. Accordingly, low risk for these initiatives may
still be considered high risk to a manufacturer or other industry stakeholder.
The output scores for each metric consisted of an average from each scorer, which we then
averaged together using the weightings in Table 2-2. In order to incorporate voting from the
stakeholder forum (see Section 2.2, above), we assigned an industry-input score (0-5) to each
initiative, depending on the relative number of votes. Each point on the industry-input score
corresponded to a boost in final score of 0.05 (applied after scoring of prioritization metrics from
above). For example, an initiative with a prioritization score of 3 and an industry-input score of
4 would receive a final score of 3.20 (i.e., ( ) ).
2.3.3 Quantitative Prioritization – BTO P-Tool – Direct-Impact Initiatives Only

The 10 direct-impact initiatives scored as high priority in the qualitative analysis underwent a
quantitative scoring process for overall initiative impact using BTO’s P-Tool. The P-Tool
compares investment opportunities across all of BTO to help inform decision making and
goal/target development. The National Renewable Energy Laboratory (NREL) originally
developed the tool and described it in more detail in their project report.46 In brief, the tool uses
inputs for energy measure performance, cost, market, and lifetime to analyze each measure both
individually and as part of a full portfolio of measures. No fuel switching options are included in
the analysis where installation of the new technology requires changing from one fuel to another.
The tool produces three key outputs:
 Technical Potential (TBtu): The annual energy savings achieved if the new measure
replaces all existing stock in the U.S., i.e., 100% adoption. This represents the theoretical
maximum energy savings and does not account for penetration-limiting factors.
 Un-staged Maximum Adoption Potential (TBtu): The portion of the technical potential
achieved through deployment of the technology for all end-of-life replacements and new
purchases by accounting for sales, disposals, and building stock growth.
46
Philip Farese, et. al., “A Tool to Prioritize Energy Efficiency Investments.” NREL Technical Report. (August
2012) Accessed September 2, 2014: www.nrel.gov/docs/fy12osti/54799.pdf.
34 Roadmap Approach
 Staged Maximum Adoption Potential (TBtu): The portion of the un-staged maximum
adoption potential achieved when accounting for competition among technologies,
thereby avoiding double counting savings for measures with overlapping markets. The P-
Tool attributes savings potential to competing technologies based on the cost of
conserved energy (CCE), i.e., the technology with the lowest CCE is the first to capture
its share of a given market. The P-Tool then attributes incremental savings potential to
the technology with the next higher CCE and higher energy savings potential. The P-Tool
determines staged maximum adoption potential on an individual market by market basis.
Section 4.2 provides detailed P-Tool outputs for each direct-impact initiative and provides
detailed discussion of Tier 1 initiatives. These data enable BTO to further discern which HVAC
initiatives provide the greatest benefit relative to other investments across any end-use and help
determine appropriate initiative performance and cost targets.
We rescored each high priority direct-impact initiative’s Impact score based on the P-Tool’s
staged maximum adoption potential value using the legend in Table 2-3.
Table 2-3: Direct-Impact Quantitative Scoring Metrics – Scoring Legend
Metric 5 4 3 2 1 Wgt:
Impact (TBtu/yr.)
> 750 750 – 500 500 – 250 250 – 10 < 10 30%
(Direct-impact)
Basis: P-Tool results for Staged Maximum Adoption Potential
2.4 Stage 4: Develop R&D Roadmap

As the final step in the roadmap development process, we developed detailed descriptions of all
10 Tier 1 initiatives from the prioritization process. Each initiative description includes:
 Description – General discussion of the technology/topic and the markets, applications,
etc. where it applies
 Purpose/objective – Intended emphasis of R&D activities, including specific expected
improvements that researchers should aim to achieve
 Key technical challenges– Initiative-specific technical challenges that researchers will
have to address to achieve targets
 Timeline with key milestones – Pathway to achieving intended outcomes for the initiative,
including short, medium, and long term steps and milestones as applicable
 Potential impact on existing market barriers – specific impacts achievable via the
initiative to address challenges in the market
 Recognize key stakeholder roles and responsibilities – Clear articulation of actions that
should be undertaken by various industry players in order to be successful.
Section 4 of this report contains all the roadmap details for the initiatives.
Roadmap Approach 35
3 Market Overview
3.1 Residential Equipment Landscape

In their 2009 residential energy consumption survey (RECS), EIA documented nearly 115
million homes in the U.S. For more than 55 million of those homes, natural gas was the
predominant fuel.47 Nearly 45 million of these homes heated with warm-air furnaces. Figure
3-1 summarizes residential heating equipment installed base by fuel and by equipment type.
Appendix A contains additional information on space heating fuels.
Figure 3-1: Residential space heating equipment by fuel type
Residential space cooling operates nearly 100% on electricity, running ducted central A/C
systems, ducted central HPs, or window/wall A/Cs. Fossil fuel-based space cooling systems are
under development but are not currently available to the typical customer. The percentage of
homes using various types of equipment varies by region. For example, homes in cold or mixed-
humid climates have much greater percentages of window A/Cs than other climates. Figure 3-2
summarizes residential space cooling equipment by climate and equipment type.
47
EIA. 2009. “Residential Energy Consumption Survey.” U.S. Energy Information Agency. Accessed September 2,
2014: www.eia.gov/consumption/residential/data/2009/
36 Market Overview
Figure 3-2: Residential space cooling equipment by climate
3.2 Commercial Equipment Landscape

EIA last completed their Commercial Building Energy Consumption Survey (CBECS) in 2003,
and found more than 4.8 million commercial buildings in the U.S., constituting more than 71
billion square feet of floor space. Since the publication of those survey data, EIA has published
preliminary summary results showing that as of 2012, the building stock had grown to more
than 5,500,000 commercial buildings, constituting more than 87 billion square feet of floor
space.48
Commercial buildings use a more even split of equipment types (even across various regions of
the country) than residential buildings. HPs are most common in the south, furnaces in the
Midwest, boilers in the northeast, and packaged heaters in the west; Figure 3-3 summarizes the
space heating equipment in these buildings; overall, no single equipment type serves more than
23% (for boilers) of commercial floor space. Appendix A contains additional information on
commercial space heating fuels.
48
EIA. 2012. “Commercial Building Energy Consumption Survey.” U.S. Energy Information Agency. Preliminary
results available at: www.eia.gov/consumption/commercial/; complete results from the last survey in 2003 available
at: www.eia.gov/consumption/commercial/data/2003/.
Market Overview 37
Figure 3-3: Commercial space heating equipment by region

For commercial space cooling, packaged equipment (e.g., rooftop units, RTUs) is the most
common, serving 38% of the floor space overall, with very similar percentages in each individual
region. The west, with 13% of the floor space served by “other” equipment includes the
greatest number of swamp coolers – serving 1,300 million square feet. “A/C Units”, including
packaged terminal air conditioners (PTAC) and through the wall A/Cs, are most common in the
Northeast, where 23% of floor space is cooled with this equipment. “Central A/C” in this survey
refers to residential split-system central A/C – most common in the commercial sector in small
buildings. Figure 3-4 provides detail on commercial space cooling equipment in the country.
Figure 3-4: Commercial space heating equipment by region
38 Market Overview
3.3 State of the HVAC Market – Equipment Trends

Much of the HVAC equipment market consists of low or minimum efficiency equipment. Of the
residential central A/C products sold by ENERGY STAR partner manufacturers, 32% and 20%
of sales of residential central A/Cs and air-source HPs, respectively, were for ENERGY STAR
qualified products. Similarly, 22% of sales of light commercial HVAC equipment were for
ENERGY STAR qualified products. These percentages drop when looking at the entire market
(i.e., including manufacturers that do not sell ENERGY STAR qualified products).49
However, some emerging technologies are changing the equipment landscape and making
inroads in support of DOE’s energy savings targets. Four areas worthy of closer inspection
include:
 Renewable thermal-integrated systems – Renewable thermal systems have been in
existence for many decades in some cases. Solar thermal and biomass heating systems
were pioneered on a commercial scale during the 1970s. Recent policy initiatives
(mostly on a state by state basis) have helped to start building the renewable thermal
industry. Depending on the state, renewable thermal HVAC systems may include solar
thermal space heating (and cooling), biomass heating, ultra-high-efficiency GHPs, and
ultra-high efficiency air-source HPs (e.g. Variable speed mini-split ductless). For
example, in 2012 New Hampshire added renewable thermal energy to the state’s
Renewable Portfolio Standard, making geothermal, biomass, and solar thermal eligible
for renewable energy credits (effective June 2014).50 In nearby Massachusetts in July
2014, the state legislature passed legislation that enables renewable thermal technologies
to qualify for Alternative Energy Credits under the state’s Alternative Energy Portfolio
Standard.51 While market share of these technologies is still very small, such support may
help drive growth in the coming years.
 Mini-split (and multi-split) HPs – Mitsubishi and Daikin, among others, have
popularized ductless HPs and A/Cs in Asia and Europe. Also known as mini-split or
multi-split systems, they are among the most efficient available, but until recently, have
not gained much traction in the U.S. Some systems can achieve 23 SEER, nearly 60%
higher than the ENERGY STAR minimum specification (14.5 SEER for split systems).52
 Ultra-High Efficiency RTUs – BTO’s Better Buildings Alliance initiated a High
Performance Rooftop Unit Challenge to “urge manufacturers to build and deliver
innovative, competitively priced, energy-saving rooftop units” that, among other
specifications, much achieve an integrated energy efficiency ratio (IEER) of 18.0 or
49
Environmental Protection Agency (EPA). 2014. “Unit Shipment Data.” ENERGY STAR. Available at:
www.energystar.gov/index.cfm?c=partners.unit_shipment_data
50
Davis, Matt. 2014. “NH Thermal RECs: What you need to know.” Ground Energy Support. July 17, 2014.
Available at: groundenergysupport.com/wp/nh-thermal-recs-need-know/
51
Press release from GEO, August 4, 2014, available: www.geoexchange.org/news/regional-news/massachusetts-
news/landmark-legislation-promotes-renewable-heating-cooling-massachusetts/
52
Available equipment found via the Consortium for Energy Efficiency (CEE) / Air-Conditioning, Heating, and
Refrigeration (AHRI) directory at: www.ceedirectory.org/; available equipment changes on a regular basis.
ENERGY STAR specifications for air-source HPs and central A/Cs is available at:
www.energystar.gov/index.cfm?c=airsrc_heat.pr_crit_as_heat_pumps.
Market Overview 39
more.53 The challenge began in 2011, and in May 2012, Daikin-McQuay became the first
manufacturer to meet the challenge and Carrier soon followed suit. Lennox, 7AC
Technologies, and Rheem are all participating in the challenge. By comparison the
current ENERGY STAR minimum performance level is 11.7 EER and 11.8 IEER.54
While IEER is typically within 10% of the EER, products that meet the challenge
specifications are able to boost the IEER to as much as 50% greater than the EER by
focusing on part-load performance improvement (while still increasing EER to greater
than 13).55
 Condensing RTUs – Adoption of condensing heat exchangers for gas-fired RTUs has
lagged behind condensing technology integration in residential and other select
commercial heating applications. Disposal of acidic condensate is challenging due to the
required freeze protection in sub-32°F environments and routing through sanitary sewer
as disposal through rooftop storm drains is unacceptable due to acidity concerns. Select
manufacturers, including Munters, Reznor, Engineered Air, and Modine, have started
offering products for dedicated-outdoor air system applications (DOAS).56 Sales of
condensing RTU’s may be limited to select regions where the climate justifies the
investment and the gas savings in winter greatly overcome any fan energy penalty from
the secondary heat exchanger in all seasons.
Additionally, the market is growing for other more proven technologies, such as variable speed
compressors and fans, energy recovery ventilators (ERVs), and energy management and
advanced control systems for residential and light commercial applications.
3.4 Barriers to Achieving Energy Savings
3.4.1 Technical Barriers

Table 3-1 lists some of the key technical barriers to achieving BTO energy savings goals.
53
RTU Challenge information available at: www4.eere.energy.gov/alliance/activities/technology-solutions-
teams/space-conditioning/rtu and further detail on the specifications is available at:
apps1.eere.energy.gov/buildings/publications/pdfs/alliances/cbea_rtu_spec_long.pdf
54
ENERGY STAR minimum specifications for Light Commercial Heating and Cooling equipment V2.0 with
greater than 65kBtu/hr capacity, effective May 1, 2010, available:
www.energystar.gov/index.cfm?c=lchvac.pr_crit_lchvac.
55
Comparison of EER and IEER is based on review of ENERGY STAR qualified products with greater than 65
kBtu/hr capacity. Note that it is not possible to convert between these two metrics – comparison is for illustrative
purposes only. Data accessed September 12, 2014, available: www.energystar.gov/productfinder/product/certified-
light-commercial-hvac/results
56
Kerr, Ryan. “Condensing Rooftop Units: The Road to Market.” Gas Technology Institute. (May 21, 2013)
Accessed September 2, 2014:
www.centerpointenergy.com/staticfiles/CNP/Common/SiteAssets/doc/CondensingRooftopUnit_RyanKerr.pdf
40 Market Overview
Table 3-1: Technical Barriers
Barrier Description
As complexity of systems increase in order to achieve greater performance,
degradation (fouling, mechanical wear, etc.) can have a greater impact. Systems
Sustained
must be designed to maintain performance throughout the life of the product and
performance
alert the customer if maintenance is required to return to optimal performance
levels.
Much effort is focused on improving standard energy metrics for the primary heating
or cooling equipment in an HVAC system (e.g., SEER, AFUE); however, energy use
and cost of the entire system is equally dependent on performance of distribution
Whole-system systems, auxiliary components, and controls. For example, a high-efficiency water-
efficiency cooled chiller losses some of its potential energy savings if the distribution system,
cooling tower, and control scheme is not designed and controlled appropriately.
Future R&D should emphasize lossless (or near lossless) distribution systems and
controls that ensure that space conditioning only occurs where and when needed.
Traditional vapor-compression systems and fossil-fuel-based heating systems have
Few available not changed substantially in decades. Recent R&D efforts have helped tackle much
incremental of the low-hanging efficiency fruit (e.g., ultra-high efficiency mini split systems,
improvements condensing boilers, etc.). To make substantial leaps forward in efficiency, new
approaches must be considered that radically deviate from traditional equipment.
In addition to high level barriers, HVAC R&D efforts run into many technology-specific
barriers; Figure 3-5 lists a selection of these technology-specific barriers.
Figure 3-5: Technology-specific barriers to achieving energy savings
Market Overview 41
3.4.2 Market Barriers

While this roadmap aims to support BTO energy savings goals through technical R&D,
researchers must be aware of market challenges as well as technical challenges in order for their
work to be successful in the marketplace. Table 3-2 lists some of the key technical barriers to
achieving BTO energy savings goals.
Table 3-2: Market Barriers
Barrier Description
As with any high-efficiency equipment, cost is of utmost importance in order to
assure market acceptance. Cost is particularly important for HVAC equipment, which
is already a very large investment for most home and building owners. Consumers
Cost who make purchase decisions based primarily on first cost will not be likely
effectiveness candidates for purchase of higher cost equipment that can save them on operating
costs. While part of this barrier can be overcome through greater consumer
education and awareness of energy benefits, first-cost barriers must also be
addressed directly.
Many new HVAC market entrants require additional resources and/or knowledge for
safe, correct installation. Primary causes include heavier and larger equipment;
Market mounting structures that are incompatible with existing ductwork, requiring new
acceptance roof curb adapters (for RTUs); and complex installation procedures that require
participation by multiple trades. Without knowledge of, and experience with, these
challenges with new equipment, installers are hesitant to sell such systems.
New equipment purchases generally occur at the time of equipment failure and
therefore consumers are limited to products that are readily through their local
Energy is not
distributor or HVAC contractor. In selecting new equipment, comfort, noise level,
the sole driving
and other non-energy factors constitute the greatest influence on buying decisions.
factor for sales
High efficiency equipment must incorporate these additional benefits in order to
succeed through rapid market adoption.
42 Market Overview
4 Research & Development Roadmap

This roadmap contains four sections below:
 Central Themes – Summary of themes that emerged during roadmap development that
carry common threads through many (if not all) of the prioritized initiatives
 Direct-Impact Technologies – Summary of findings on direct-impact technology
initiatives, including P-Tool results
 Enabling Technologies – Summary of findings on enabling technology initiatives
The sections do not specifically distinguish between the various end-use and market sector
subcategories of HVAC technologies; where relevant, the initiatives are labeled with their
associated subcategory. The various high priority initiatives, detailed below, broadly cover the
various sectors and market sectors as applicable, though this roadmap makes no specific effort to
cover each category evenly.
4.1 Central Themes

The Roadmap Forum in Atlanta, in addition to providing valuable input on specific initiatives,
also uncovered some key themes that undercut much of the work that BTO may pursue. The
themes in Figure 4-1 provide general context to the individual roadmap activities listed in the
proceeding sections.
Research & Development Roadmap 43

Figure 4-1: Key qualitative themes
In addition, analysis of the stakeholder inputs provided insights into key content categories that
the stakeholders emphasized, including:
 Renewables integration – Components, equipment, systems, and design tools that
enable integration of renewable energy sources with HVAC system, generally with the
renewable source as the primary thermal source.
o Related initiatives: solar thermal heating and cooling (sorption), phase-change
materials (PCMs) for energy storage, waste-heat capture, photovoltaic (PV)
powered unitary A/C.
 Holistic, system-level analysis and integrated energy systems – Components,
equipment, modeling tools, and enabling technologies that facilitate cascading energy
to/from HVAC to another building process to reduce overall building consumption.
o Related initiatives: Integrated systems, single-compressor-based home “energy
wall,” systems-based analysis and design tools, and design guides.

 Proper system design, installation, and operation – Hardware, software, design tools,
and other enabling technologies that more readily incorporate high-efficiency HVAC
products in high-performance buildings.
o Related initiatives: Enabling design tools, commissioning, proper operations and
maintenance (O&M), contractor-focused approaches to performance
improvements.
 Optimal ventilation and indoor air quality (IAQ) – Technologies that ensure proper
IAQ through improved methods and techniques.
o Related initiatives: IAQ monitors, sensors, and controls, humidity management,
demand ventilation.
 Advanced HPs – Technologies and designs that improve the current state of unitary
HVAC equipment.
o Related initiatives: improved controls, self-commissioning, on-board storage,
variable speed equipment, non-vapor-compression based systems.
 Region-specific designs – Technologies and system designs that specialize in a specific
climate (cold-climate, hot-dry, hot-humid), instead of traditional, one-size-fits-all-regions
approaches.
o Related initiatives: Cold-climate heat pumps (CCHPs), separated latent and
sensible load management for humid climates.
 Adapting to alternative refrigerants – component and equipment design, safety
protocols (including sensors, fault detection and diagnostics [FDD]), contractor tools, etc.
that proactively help facilitate and accelerate the industry’s transition to refrigerants with
lower global warming potential (GWP).
o Note: these initiatives are not covered in this roadmap. For additional
information, see the BTO Refrigerants Roadmap, published in 2011. BTO is
currently preparing an update to this roadmap.57
4.2 Direct-Impact Technology Initiatives

Table 4-1 lists the 10 direct-impact initiatives that were scrutinized in greatest detail during
roadmap development. This subsections that follow detail the Tier 1 initiatives (6 of 10) in
greater detail, with Tier 2 initiatives described further in Appendix C – Tier 2 Initiatives.
.
57
“Research and Development Roadmap for Next-Generation Low-Global Warming Potential Refrigerants,” Report
by Navigant Consulting, Inc., for BTO, July 2011, available:
energy.gov/sites/prod/files/2014/07/f17/next_generation_refrigerants_roadmap.pdf

Table 4-1: Prioritized List of Direct-Impact R&D Initiatives
ID Activity/Initiative Topic Tier
Develop a direct-current (DC)-powered HVAC system to utilize DC

1 power from a solar PV system without inverter losses and facilitate 1
microgrid integration
Develop and evaluate new techniques for separate sensible and

3 1
latent control and quantify the energy savings
Develop techniques to raise HP performance (all fuels) at low-

ambient temperature; consider elimination of defrost (or frost
4 1
buildup) and backup heat sources to improve the application of
CCHPs
5 Develop electrochemical compression systems 1
Develop methods, technologies, and other innovations to easily

8 integrate seasonal energy storage into residential and commercial 1
projects
Investigate new absorption pairs, compact heat exchangers, and

10 other material advances to reduce the cost of absorption systems 1
for res/light commercial
Develop hybrid systems to combine mechanical and natural

20 ventilation techniques aka mixed-mode conditioning or integrated 2
window ventilation
Research strategies to improve ground-source heat pump (GHP)

33 ground-loop cost and performance; also consider siting, 2
installation, and modeling to reduce costs
Develop alternative non-solid-state, non-thermally activated HPs

35 with suitable efficiency, cost, and performance compared to next 2
generation HVAC equipment
52 Develop solid-state cooling systems 2
Figure 4-2 shows the savings potential values from the P-Tool for all nine initiatives.

Figure 4-2: Direct-impact initiative savings potential

Table 4-2 summarizes the building sectors and fuel sources used in the P-Tool analysis for each
initiative and provides the resulting technical and staged savings potential. We assume that the
applicable market for each technology is only the portion of the market using the same fuel as
the target technology, i.e. we do not account for fuel switching opportunities.
Table 4-2: Summary of Inputs to P-Tool Analysis for Direct-Impact Initiatives
Technical Staged Max

Applicable Applicable
ID Activity/Initiative Potential Adoption Potential
Sectors Fuel Sources
(TBtu) (TBtu)
DC-Powered HVAC for
1 Residential Electricity 1,894 1,008
Solar PV Integration
Separate Sensible and Residential,
3 Electricity 1,082 673
Latent Heat Management Commercial
Residential, Electricity,
4 CCHPs 1,211 566
Commercial Natural Gas
Electrochemical Residential,
5 Electricity 848 572
Compressor Systems Commercial
Residential, Electricity,
8 Seasonal Energy Storage 867 400
Commercial Natural Gas

Technical Staged Max

Applicable Applicable
ID Activity/Initiative Potential Adoption Potential
Sectors Fuel Sources
(TBtu) (TBtu)
Material/Refrigerant
Residential,
10 Advances for Absorption Natural Gas 1,017 121
Commercial
Systems
Hybrid, Mixed-Mode
20 Commercial Electricity 597 165
Ventilation
Residential,
33 GHP Cost Reductions Electricity 799 133
Commercial
Alternative Non-Solid-
Residential,
35 State, Non-Thermally Electricity 1,636 42
Commercial
Activated HPs
Residential,
52 Solid-State Cooling Electricity 848 0
Commercial
The following subsections provide detail on the Tier 1 direct-impact initiatives.
4.2.1 (ID #1) DC-Powered HVAC for Solar PV Integration

Initiative: Develop a direct-current (DC)-powered HVAC system to utilize DC
power from a solar PV system without inverter losses and facilitate microgrid
integration
Under this initiative, BTO would investigate the potential benefits of direct-current
(DC)-enabled HVAC technologies for microgrid integration, and if promising, support the
development of prototype systems. With the increasing popularity of customer-sited electrical
generation and/or storage systems, building owners are evaluating the benefits of semi-
autonomous electrical systems, known as microgrids, for use as either system back-up or as a
cost-savings measure.
Because solar PV, fuel cells, and battery systems operate with DC power, buildings with
microgrids attempt to minimize the conversion losses (e.g., AC-to-DC and DC-to-AC) between
generation, storage, and end usage. As one of the largest building loads, HVAC systems
designed for DC-power would reduce the losses normally incurred from conversion of PV and
battery electricity to AC power. Additionally, the systems would significantly offset the
building’s peak electrical demand since the peak solar resource generally coincides with highest
space cooling demands. DC-enabled HVAC systems already exist for specialized markets such
as telecommunications, electronics, and transportation systems, but limited options exist for
building-scale HVAC systems. If successfully developed, DC-enabled HVAC systems could
facilitate greater integration of distributed energy resources, including renewable generating
sources, and reduce transmission, distribution, and conversion losses throughout the current
electricity infrastructure.
Table 4-3 describes the technical challenges facing DC-powered HVAC systems.

Table 4-3: Technical Challenges
Technical Barriers Description

The current test procedures and efficiency metrics (e.g., SEER, HSPF) would
Limited improvement
not account for the potential source energy savings of a DC-enabled HVAC
for efficiency metrics
system.
DC-enabled HVAC systems would rely on on-site electricity storage and other
Limited microgrid microgrid technologies that have limited adoption and availability for
technologies to date residential and light-commercial buildings outside of specialized off-grid or
transportation applications.
Lack of trained HVAC technicians and system designers would require training to design,
workforce install, and service DC-powered systems and components.
Technologies that incorporate on-site HVAC, electrical, and utility
Potential stakeholder
infrastructure require the coordination of many stakeholders who do not
conflicts
typically interact on most residential and light-commercial projects.
Figure 4-3 outlines an approximate timeline for this initiative and identifies the major action
items and milestones that need to be reached to bring this technology to market.

Near-Term (1–3 Yrs.)

Mid-Term (3–5 Yrs.)
Action Items: Long-Term (5–7 Yrs.)
» Research the benefits of Action Items:
DC-enabled HVAC » Conduct limited field Action Items:
systems evaluation of DC-enabled » If market and technology
» Conduct market analysis HVAC system & microgrid look favorable, develop
of other microgrid on sample home(s) market-ready prototype
technologies required for » Develop R&D and and conduct year-long
DC-enabled HVAC commercialization field studies
» Develop and test roadmap of necessary » Support the development
prototype DC-enabled activities to address of alternative test
HVAC systems remaining technology, procedures and rating
market, and policy gaps schemes for DC-enabled
» Support advances in other HVAC systems
microgrid technologies by
researchers & industry
groups
Milestones: Milestones: Milestones:

» Publish findings » Publish findings and » Publish findings
» Go/no-go decision for roadmap » Adoption of alternative
prototype development » Go/no-go decision on test procedures
» Go/no-go decision for further development and
field demonstration commercialization
Figure 4-3: Timeline & milestones – DC-powered HVAC for solar PV integration
This initiative will develop, test, and identify the role of DC-enabled HVAC systems as part of
larger microgrid energy systems for residential and commercial buildings. Table 4-4 identifies
the impact that the initiative will have on key market barriers in the HVAC industry.

Table 4-4: Market Impact – DC-Powered HVAC for Solar PV Integration
Relevant Market Barrier Initiative’s Impact

Limited DC-power equipment available Develops prototype systems for common equipment
outside of ductless mini-splits types.
Documents performance and efficiency during field
Limited performance information to date testing in relevant applications for industry evaluation
in microgrid systems.
Published studies, roadmap, and field tests of
Limited focus on HVAC systems in future on-
prototypes will highlight HVAC’s role in future
site energy and microgrid systems
distributed energy and microgrid systems.
Table 4-5 identifies the critical stakeholders for implementing the initiative and discusses each
stakeholder’s role.
Table 4-5: Stakeholder Involvement – DC-Powered HVAC for Solar PV Integration
Tasks Key Stakeholder Roles and Responsibilities

» National laboratories
R&D » Academic researchers
» HVAC equipment and electrical component manufacturers
Field studies, data » Independent research firms – protocols, field test design
analysis, and report » National laboratories – survey design, end-use knowledge/support
publication » Surveying organizations – survey design, recruitment, execution
» BTO – Residential & Commercial Buildings
Deployment » Building designers (residential and commercial)
» Industry organizations
» Utilities
» BTO – Appliance & Equipment Standards
Codes and » National laboratories
standards » HVAC equipment and electrical component manufacturers
4.2.2 (ID #3) Separate Sensible and Latent Heat Management

Initiative: Develop and evaluate techniques for separate sensible and latent
control and quantify the energy savings
Under this initiative, BTO would support the development and demonstration of
technologies that incorporate or enable sensible and latent control (also referred to
as “separate sensible and latent cooling” [SSLC]) for A/C systems, and promote their usage
through field demonstrations, test procedure development, and other activities. Traditional A/C
systems remove both sensible heat (temperature) and latent heat (the energy required to

evaporate or condense water) from supply air to create comfortable conditions for building
occupants. While this practice serves most cooling applications effectively, high-efficiency
buildings with low conduction and infiltration loads or those in humid climates require a higher
percentage of latent cooling capacity.
Several strategies and techniques are available to achieve SSLC including: using multiple vapor-
compression cycles (e.g., dehumidifier), lowering supply airflow for moisture removal, solid or
liquid desiccant materials that capture water vapor, selectively permeable membranes that
transport water molecules across their surface, heat pipes, and other methods. Through the
Building America program, BTO has supported simulation and field studies to identify low-
energy dehumidification strategies and identify best practices for the building industry. While
many of these technologies are available today as add-on components, incorporating these
technologies into packaged solutions can lower the installation cost/ complexity, especially for
retrofit applications, and better coordinate the control of sensible and latent cooling mechanisms.
Table 4-6 describes the technical challenges facing separate sensible and latent heat
management.

Limited latent cooling
Traditional cooling systems may cycle off before latent loads are
capacity of conventional
satisfied, especially if they are oversized for the space.
systems
Especially for residential systems, climate regions that have not
Uncertain or unfamiliar
experienced humidity issues will need to address latent loads due to
design practices
tighter building envelopes.
Increased energy Traditional system using separate dehumidification or overcool/reheat
consumption techniques consume considerable energy.
If the dehumidification components are not integrated into the main
Separate installation or
HVAC system, space constraints and installation complexity may hinder
ducting
applications, especially for retrofit systems.
items and milestones that need to be reached to bring these technologies to market.


» Support research and Action Items:
product development on » Conduct field analyses Action Items:
alternative methods to with different building » Conduct additional case
control sensible & latent types, climate regions, studies with early-
loads independently HVAC system designs, etc. adopters and develop
» Conduct laboratory » Revise product design best practices
testing on promising based on field experience
strategies when » Support development of
integrated with standard test procedures & metrics
HVAC systems for independent sensible
» Develop field test plan for and latent cooling
different building types, systems
climate regions, etc. » Develop go-to-market
» Finalize product commercialization
development for testing strategy

» Publish findings from » Publish findings from field » Publish best practices
research and product studies guidelines
development » Go/no-go decision for
» Go/no-go decision for commercialization
field tests activities
Figure 4-4: Timeline & milestones – separate sensible and latent heat management
This initiative will develop and demonstrate technologies that provide independent control of
sensible and latent cooling loads for improved energy consumption in high-performance
buildings and humid environments. Table 4-7 identifies the impact that the initiative will have on
key market barriers in the HVAC industry.

Table 4-7: Market Impact – Separate Sensible and Latent Heat Management

Limited ability to manage occupant Addressing sensible and latent loads independently allows
comfort for humidity and more direct control of indoor environmental conditions,
temperature improving occupant comfort.
Conducting field demonstrations and developing best practice
Limited design guidelines guidelines assists HVAC contractors to design and install
advanced systems.
Using advanced dehumidification approaches in conjunction
Low-energy operation with standard vapor-compression sensible cooling systems
reduces overall consumption to provide indoor comfort.
Designing an integrated solution for common HVAC system
Separate installation or ducting
designs reduces installation complexity.
Table 4-8: Stakeholder Involvement – Separate Sensible and Latent Heat Management

» Academic researchers
R&D
» HVAC equipment manufacturers
» Building designers
Deployment
» Building designers (residential and commercial)
Codes and Standards
4.2.3 (ID #4) Cold-Climate Heat Pumps

Initiative: Develop techniques to raise heat pump performance (all fuels) at low-
ambient temperature; consider elimination of defrost (or frost buildup) and backup
heat sources to improve the application of CCHPs
Traditionally, vapor-compression HPs have had limited use in colder climates due

to decreasing heating capacity and COP as outdoor temperatures decrease because of the
increased temperature lift across the compressor. BTO has supported the development of CCHPs
through several projects highlighted in Section 1.2.3, above. Under this initiative, BTO would
continue the development of CCHPs using vapor-compression and alternative cycles to both
improve the performance and economics for residential and light-commercial applications.
During low-temperature operation, back-up electric resistance heating would compensate for this
performance drop at the expense of efficiency, such that the HP provided minimal benefit over a
standard A/C with an electric or gas furnace. In recent years, manufacturers have designed
electrically-driven HPs for cold-climate operation through the use of multi-stage, variable-speed,
or booster compressors, advanced refrigerant management, improved defrost control, alternative
refrigerants, and other features. Additionally, HPs using absorption and other thermally activated
cycles can achieve higher efficiencies in low temperature operation than conventional fuel-fired
furnaces and boilers.
Table 4-9 describes the technical challenges facing CCHPs.

Previous CCHP designs provided underwhelming performance, efficiency,
Limited past success
and reliability, leading to poor market adoption.
Sizing equipment for
cooling rather than Even for colder regions, contractors often size HPs for cooling loads.
heating
Low supply air Past heat pumps provided space heating at lower temperatures than gas-
temperatures fired products.
For both electric and gas HPs, low natural gas prices increase payback
Natural gas as a lower cost
periods compared to furnaces and boilers, lowering the attractiveness of
heating fuel
advanced technologies.


» Continue to support the Action Items:
development of » Solicit candidate field Action Items:
components, strategies, demonstration sites and » None expected
and systems that conduct pre-installation
improve HP performance analysis
in cold climates » Conduct field
» Develop a standardized demonstrations for
rating scheme to various building designs,
distinguish a CCHP from a climate regions, etc., over
standard model and entire heating and
» Develop field cooling season
demonstration test plan » Develop best practice
for promising guidelines for sizing,
technologies installation, O&M, etc.

» Publish research findings » Publish findings from field » None expected
and developments demonstrations
» Industry recognition of » Publish best practice
“cold-climate guidelines
performance”
» Go/no-go decision for
field demonstrations
Figure 4-5: Timeline & milestones – CCHP
This initiative will develop and demonstrate advanced components, controls, and systems for
CCHPs using both electricity and natural gas. Table 4-10 identifies the impact that the initiative
will have on key market barriers in the HVAC industry.
Table 4-10: Market Impact – CCHP

Diminished thermal output, reliability, Incorporating advanced compressor designs, defrost
and efficiency at low ambient techniques, and other features improves the performance of
temperatures CCHPs beyond previous products.
Conducting field demonstrations throughout heating-
Poor market perception of technology dominated climates verifies improved performance of current
CCHPs.


Developing and distributing the demonstration case studies
Contractor experience and sizing
and best practice guidelines assists contractors with proper
practices
design, installation, and maintenance of CCHPs.
Table 4-11: Stakeholder Involvement – CCHPs

Deployment
Codes and Standards
4.2.4 (ID #5) Electrochemical Compression Systems

Initiative: Develop electrochemical compression systems
HPs using electrochemical compressors could offer scalable operation, utilize low-
GWP refrigerants, and operate with minimal noise, but their success ultimately
depends on cycle efficiency and cost compared to electromechanical compressors.
BTO is currently supporting research at Xergy Inc. to develop electrochemical compressors for
HPWHs. Under this initiative, BTO would support the development of electrochemical
compressors for space cooling and space heating applications following successive initial
research for water heating. After laboratory demonstration, BTO should conduct field studies in
a variety of real-world conditions to understand how electrochemical HVAC systems perform
overtime relative to conventional A/C and HP systems.
In place of a motor-driven compressor, electrochemical compressors raise the pressure of a

hydrogen working fluid using a proton exchange membrane and electricity source. The
pressurized hydrogen gas combines with water, ammonia, or another refrigerant, raising its

pressure and driving the combined working fluid through condenser, expansion valve, and
evaporator in a standard Rankine vapor-compression cycle.
Table 4-12 describes the technical challenges facing electrochemical compression systems.

Electrochemical compressors have been studied for hydrogen vehicle
Unproven compressor
refueling and other applications, but have not been developed yet for
technology
building applications.
Uncertain performance Even with high compressor efficiencies, working fluid selection and
once combined as an inefficiencies in the rest of the vapor-compression cycle may limit system
entire HVAC system efficiencies.
Alternative compressor technologies must meet or exceed the reliability of
Requirements for high
conventional compressors, which typically last the full 10–15 year
reliability
operating life of vapor-compression equipment.


» Monitor the development Action Items:
of electrochemical » Construct laboratory Action Items:
compressors for HPWHs prototype for HVAC » Solicit candidate buildings
» If promising, conduct applications and test at » Conduct field analyses for
initial research for space standard HP conditions different climate regions,
cooling and heating » If promising, construct building types, baseline
applications full demonstration HVAC systems, etc.
prototype for HVAC for » Develop alternative test
laboratory testing procedure to
» Develop field test plan demonstrate capabilities
compared to standard
HPs (as needed)
» Publish research findings » Publish research findings » Publish field test report
» Go/no-go decision after » Go/no-go decision for » Alternative test
HPWH research field testing procedure
» Go/no-go decision after
initial HVAC research
before prototype
development
Figure 4-6: Timeline & milestones – electrochemical compression systems
If the water heating research suggests acceptable efficiency, longevity, and cost, this initiative
develop an initial prototype and demonstrate a novel electrochemical compressor for HP
applications. Table 4-13 identifies the impact that the initiative will have on key market barriers
in the HVAC industry.
Table 4-13: Market Impact – Electrochemical Compression Systems

If successful, this initiative would introduce HVAC products using
Current product availability
electrochemical compressors.
As high-GWP refrigerants phase out of the HVAC industry,
Refrigerant phase out electrochemical compressors may have more attractive economics and
efficiency compared to new vapor-compression systems.
Without an electromechanical compressor, electrochemical-based
Equipment noise
systems may have significantly reduced noise.

Table 4-14: Stakeholder Involvement – Electrochemical Compression Systems

Codes and Standards
4.2.5 (ID #8) Seasonal Thermal Energy Storage

Initiative: Develop methods, technologies, and other innovations to easily
integrate seasonal energy storage into residential and commercial projects
Under this initiative, BTO would analyze the potential for residential and light-
commercial seasonal thermal energy storage (STES) systems in cold climates
through a life-cycle cost analysis using data collected from existing systems and support research
into modular or standardized STES system designs that facilitate integration with new and
existing buildings.
In Northern climates, building operators can use the seasonally available solar thermal energy for
HVAC applications through STES. These systems collect the low-cost thermal energy in the
summer and store it for use in the winter, offsetting a portion of the space and water heating
energy use. System designers have used several STES variations including: highly insulated
water tanks, open-loop aquifer systems, or closed-loop borehole systems where a GHP operates
more efficiently as the increased soil temperature lowers the required temperature lift during the
heating season. While more popular in Europe, Canada, and other areas, STES has not achieved
wide usage in the U.S. due to high first cost, the availability of low-cost natural gas, system
complexity, unfamiliarity of designers, size/space considerations, etc. Additionally, borehole
systems that would heat the ground in the summer would reduce the cooling efficiency of GHPs.
Nevertheless, STES has significant potential both energy savings and greater integration of
renewable resources for heating-dominated climates.
Table 4-18 describes the technical challenges facing seasonal thermal energy storage.


Each project requires a complex engineering design to account for
Site-specific project available storage area, required space and water heating load, available
designs solar or geothermal resources, distribution system, and other
considerations.
Because of the complex design, building owners and system designers are
Uncertain cost and
not able to conduct a quick analysis to determine whether STES is a viable
payback projections
option for their projects.
Since so few projects have occurred in the U.S., building designers,
Limited designer and
contractors, and other industry professionals have limited awareness or
contractor experience
experience with STES projects.
Most STES projects use water as the heat transfer and storage fluid, which
Customer preferences for
poses added complexity with air-side distribution systems designed for
furnaces
furnaces.

» Investigate the potential Action Items:
for STES systems for » None expected Action Items:
residential & commercial » None expected
buildings in cold-climates
» Conduct a life-cycle cost
analysis using information
from existing systems
» Support research into
modular or standardized
STES systems or designs
» Publish findings on » None expected » None expected
existing systems and
potential for U.S. market
» Figure 4-7: Timeline & milestones – STES
If the technology shows success, develop further, conduct field demonstrations, and design best
practice guidelines.

This initiative would analyze the potential for STES to cost effectively utilize renewable heating
energy in the U.S. market and support the development of lower cost, more standardized
systems. Table 4-16 identifies the impact that the initiative will have on key market barriers in
the HVAC industry.
Table 4-16: Market Impact – STES

Examining past projects in Europe, Japan, and Canada provides the
Uncertain lifecycle costs and
energy consumption and economic data to develop more detailed
benefits
estimates for the U.S.
Analyzing the potential market and available resources for STES and
Limited U.S. application compiling best practices from other countries enables building
designers to investigate STES for their projects.
Developing standardized storage mechanisms, controls, and system
Complex system designs
designs allows less complex and costly installations.
Table 4-17: Stakeholder Involvement – STES

R&D
» Building designers
4.2.6 (ID #10) Material/Refrigerant Advances for Absorption Systems

Initiative: Investigate new absorption pairs, compact heat exchangers, and other
material advances to reduce the cost of absorption systems for res/light
commercial
Under this initiative, BTO would continue the development of alternative working
pairs and improved designs for absorber, generator, condenser, and other components that allow
higher efficiencies, more compact designs, and/or can lead to lower-cost absorption systems.
Absorption systems utilize thermal energy to drive a heat-pump cycle where a refrigerant is
cyclically absorbed and desorbed from a secondary fluid. Depending on the configuration,
absorption HPs can be designed as heating-only, cooling-only, or reversible (both heating and
cooling). Although cooling efficiencies are typically less than those for vapor-compression
systems, absorption HPs offer large potential energy and cost savings, especially for heating-
dominated climates. BTO has supported the development of absorption HPs for HVAC and
water heating applications for several decades and manufacturers now offer products, but

absorption systems still carry a substantial cost premium related to their size, weight, and
operational requirements. Several efforts are underway to address barriers to increased adoption
of absorption systems, including:
 Developing benign refrigerant pairs or introducing a third working fluid that inhibits the
crystallization process58
 Using microchannel59 or membranes absorbers and desorbers60,61
 Constructing the various chambers and channels of the absorption HP by building up thin
metal sheets62
 Utilizing a cascade reverse-osmosis system to separate the refrigerant-absorbent pair in
place of a thermal generator.63, 64
Table 4-18 describes the technical challenges and market barriers facing absorption HPs.

The size and weight of absorption systems are higher than conventional
Increased size and weight
systems due to the added material to prevent corrosion, maintain sealed
over conventional systems
vacuum conditions, and achieve the necessary heat and mass transfer.
Current working fluids of absorption HPs pose operating risks related to
Working fluid operating their toxicity (e.g., ammonia) and crystallization (e.g., LiBr). If the
risks temperature of the LiBr solution deviates from a narrow range, the
solution may crystallize and render the chiller inoperable.
Cost of current generation of absorption products carry a substantial cost
High complexity and first
premium relative to gas furnaces and boilers are only offered in limited set
cost relative to payback
of modular sizes.
Because most residential and light-commercial buildings use air-side
Customer preference for
distribution systems, absorption systems would require an additional
furnaces
blower when replacing furnaces.
58
Wang et al. 2011. “State-of-the-Art Review on Crystallization Control Technologies for Water / LiBr Absorption
Heat Pumps.” Oak Ridge National Laboratory. April 2011.
59
TeGrotenhuis et al. 2012. Performance of a Compact Absorption Heat Pump Containing Microchannel Absorber
Components.” International Refrigeration and Air Conditioning Conference. July 2012.
60
Isfahani and Moghaddam. 2013. “Absorption Characteristics of Lithium Bromide (LiBr) Solution Constrained by
Superhydrophobic Nanofibrous Structures.” University of Florida. International Journal of Heat and Mass Transfer.
April 23, 2013.
61
Isfahani et al. 2014. “Physics of Lithium Bromide (LiBr) Solution Dewatering through Vapor Venting
Membranes.” University of Florida. International Journal of Multiphase Flow. Vol. 58. January 2014.
62
Determan and Garimella. 2010. “A Microscale Monolithic Absorption Heat Pump.” Georgia Institute of
Technology. International Refrigeration and Air Conditioning Conference. July 2010.
63
Ricci, Stephen. 2013. Research Leader. Battelle Memorial Institute. Personal Communication with Jim Young of
Navigant. October 2013.
64
Saunders, Keri. 2012. “Battelle Memorial Institute – Cascade Reverse Osmosis Air Conditioning System.”
ARPA-e. February 2012.


» Support laboratory Action Items:
research into strategies » Solicit candidate buildings Action Items:
to raise efficiency and/or in cold climates for study » Continue to evaluate and
lower the cost for over relevant seasons support technologies to
absorption HPs (i.e., heat-only, cooling- potentially further
» If successful, develop and only, combined) absorption HPs
test laboratory » Conduct field analysis
prototypes » Refine product
» Develop field test plan development for potential
commercialization
» Publish research findings » Publish findings from » None expected
» Go/no-go decision for demonstration study
prototype development » Go/no-go decision for
» Go/no-go decision for product
field demonstration commercialization
Figure 4-8: Timeline & milestones – advances for absorption systems
This initiative will support the development of components, designs, or alternative strategies that
improve the cost effectiveness of absorption HPs by lowering their cost, improving their energy
efficiency, or reducing other barriers. Table 4-19 identifies the impact that the initiative will have
on key market barriers in the HVAC industry.
Table 4-19: Market Impact – Advances for Absorption Systems

Limited lifecycle cost advantage Developing lower cost or higher efficiency systems improves the
over conventional systems payback of absorption systems, for both heating and cooling.
Publishing the results and lessons learned from field studies helps
Minimal market acceptance
building designers, contractors, and building owners understand the
and awareness to date
benefits and operations of absorption systems.
Utilizing systems with alternative working fluids reduces the barriers
Safety and operational risks
posed by building codes that limit the siting of absorption systems.

Table 4-20: Stakeholder Involvement – Advances for Absorption Systems

Deployment
» Utilities
Codes and standards » HVAC equipment and electrical component manufacturers
4.2.7 Tier Two Direct-Impact Initiatives

The following initiatives, though not articulated in-depth like the Tier 1 initiatives, are also
valuable opportunities to further BTO energy savings goals and should be considered for future
action. Table 4-21 lists a short title for each Tier 2 direct-impact initiative. Appendix C – Tier 2
Initiatives provides detailed descriptions of each initiative.
Table 4-21: Tier 2 Direct Impact Initiatives
Tier 2 Direct-Impact Tier 2 Direct-Impact

ID Research Area ID Research Area
Initiative(Short Title) Initiative(Short Title)
Air Cleaning Methods Reliable, Cost-Effective

11 13
and Testing Procedures FDD Strategies
Next Generation
14 18 Ducting Diagnostics
Window A/Cs
Small Scale CHP +

Hybrid, Mixed-Mode
19 Cooling (Tri- 20
Ventilation
generation)

Tier 2 Direct-Impact Tier 2 Direct-Impact

Initiative(Short Title) Initiative(Short Title)
Residential Zoning Next Generation

21 22
Technologies Chillers
Microclimate Space
23 Solar Thermal HPs 24
Conditioning
High Performance Nano-fluids HVAC

25 26
Packaged HVAC Research
On-Board HVAC Energy

30 33 GHP Cost Reductions
Storage
Alternative Non-Solid-
HVAC Waste-Heat
35 State, Non-Thermally 36
Recovery Engine
Activated HPs
Improved Economizer Aerosol Duct Sealing

37 40
Reliability Improvements
Thermoelectrically Cost Effective PCM-

45 48
Enhanced Subcoolers based Energy Storage
Hybrid Adsorption-
Solar Ventilation Pre-
49 51 Vapor-Compression HP
Heating
Storage
Low-Cost Chilled Water

52 Solid-State Cooling 54
Storage
Thermal-chemical
55
Energy Storage
4.3 Roadmap for Enabling Technology R&D Initiatives

As discussed in Section 1.3, enabling initiatives indirectly improve energy efficiency of HVAC
and other building systems. Through the roadmap development process, some key enabling

initiatives surfaced that can be key drivers of energy savings. This section details the Tier 1
initiatives (4 of 10) in this category. Table 4-22 lists all 10 enabling initiatives identified during
roadmap development.
Table 4-22: Prioritized List of Enabling R&D Initiatives
Collect data and conduct analysis on the pervasiveness and

energy impacts of incorrect system commissioning, poor
2 1
installation, incorrect operation, and poor (and good)
maintenance of HVAC systems in commercial buildings
Develop and demonstrate an open-source, open-architecture

platform that enables smart grid connectivity for demand
6 1
response, and communication of energy, operational and
financial transactions between HVAC and other building systems
Develop a low-cost sensor network and control scheme where

7 1
every surface, critical object, and occupant has a sensor
Develop standardized methods of built-in data acquisition and

9 data storage for sizing and equipment selection purposes at end 1
of life
Develop and demonstrate renewable-integrated district heating,

12 2
cooling, and power systems for a community, campus, or city.
Develop an open-source building automation system to drive

15 2
innovation
Develop a standardized building metric to incorporate energy,

16 2
health, etc.
Investigate the prevalence of simultaneous heating and cooling in

17 buildings and evaluate energy recovery and improved thermal 2
distribution methods
Develop energy analysis tools for the homeowner to conduct a

27 simple economic analysis before purchasing new equipment 2
(focus on existing buildings) – Homeowner focus

Compile the lessons learned from NREL's high performance

28 buildings database and develop tools, guides to educate the 2
industry
Enabling initiatives do not have a specific energy savings tied to them. Instead, they provide
pathways to achieving energy savings via the systems they support or relate to. Enabling
initiatives therefore cannot be compared on a quantitative basis with the direct-impact initiatives.
BTO therefore cannot quantitatively compare them with other potential R&D investments, across
all potential building technology opportunities, using the P-Tool. The following subsections
document the details of recommended enabling initiatives, including barriers, action items, and
stakeholder roles and responsibilities.
4.3.1 (ID #2) Impacts of Poor Installation, Commissioning, or O&M

Initiative: Collect data and conduct analysis on the pervasiveness and energy
impacts of incorrect system commissioning, poor installation, incorrect operation,
and improper maintenance of HVAC in residential and commercial buildings
Under this initiative, BTO would provide an independent assessment of the

benefits of quality installation, commissioning, and maintenance practices through a
comprehensive study of available literature, and field studies of different building categories
throughout the country. Even the most efficient equipment and best designed system become
losing investments for the building owner if the system does not operate to its intended
capabilities due to poor installation or maintenance practices. Because the energy savings of
these practices often go unnoticed and are difficult to predict, the results of these studies would
provide quantification for the energy and financial benefits of proper practices and better
demonstrate their value to contractors and consumers.
For HVAC equipment and systems to operate as expected, proper installation and
commissioning at startup, followed by proper operation and regular maintenance is essential.
Such practices help assure the building’s HVAC system provides indoor comfort with high
performance, efficiency, and safety. To reduce the frequency of underperforming systems,
various stakeholders in the HVAC industry including contractors, equipment manufacturers,
industry experts, utilities, and building owners have developed specifications and certification
programs for installation, commissioning, and maintenance, (e.g., ACCA Standard 5 QI,
ASHRAE/ACCA Standard 180, others). Nevertheless, additional research is needed to quantify
the expected benefits of proper installation, commissioning, and maintenance in order to develop
the business case for these non-equipment measures.
As part of this initiative, BTO would seek to quantify the impacts of poor installation,
commissioning, and maintenance practices, identify the underlying causes of system
malfunction, and outline the expected benefits of proper practices with regard to:
 Energy efficiency

 Energy consumption and peak demand

 System capacity
 Control of temperature, humidity, and occupant comfort
 Excess noise and vibration
 Occupant and technician safety
 IAQ and occupant health
 Equipment lifetime
 Operational downtime and callbacks
 Others.
While many of the same issues occur across building categories, equipment types, climate
regions, this study should aim for wide representation of the U.S. building stock. Providing
detailed results for various HVAC system designs, building operations, and climates can enable
contractors and building owners to make better decisions for their specific application.

» Conduct comprehensive Action Items:
literature review » Continue field research Action Items:
» Design field research plan » Develop best practices » Conduct follow-up
» Solicit candidate buildings guide and financial tools research on initial field
based on research study buildings to
» Qualify and select
understand changes over
participating buildings
time
» Conduct field analyses

» Publish findings of » Publish findings of field » Publish findings
literature review studies and analysis tools
» Achieve participant list » Go/no-go decision for
with wide representation follow on research of
of building stock diagnostic tools
» Publish findings of field
studies
Figure 4-9: Timeline & milestones – impacts of poor installation, commissioning, or O&M
Building on findings of earlier research, technology developers may create diagnostic tools to
address the identified issues. At such a time, we recommend BTO consider and evaluate

technologies, tools, or strategies that can better identify and diagnose the presence and severity
of poor practices. If promising, BTO should conduct field analysis with diagnostic tools and
support their commercialization.
This initiative will provide the underlying data that can enable building operators, contractors,
and service providers to more accurately predict the energy, operational, and financial benefits of
proper practices, and increase their adoption. Table 4-23 identifies the impact that the initiative
will have on key market barriers in the HVAC industry.
Table 4-23: Market Impact – Impacts of Poor Installation, Commissioning, or O&M
Published findings can increase contractor, building operator, and

Low awareness of benefits
customer awareness for the value of proper system practices.
By providing independent field analysis, the initiative provides an

Apprehension/skepticism unbiased study of the expected energy and financial costs of avoiding
proper practices.
Laying out the long-term costs and benefits through an easy-to-use
Short-term financial outlook financial tool helps industry professionals explain the benefits to
customers.
By understanding how improper practices lower system performance
Time pressures during
and reduce customer satisfaction, contractors can improve their
extreme conditions
training on quality installation and maintenance practices.
Table 4-24: Stakeholder Involvement – Impacts of Poor Installation, Commissioning, O&M

Program » National laboratories
management » BTO and/or BTO subcontractor
» Independent research firms – protocols, field test design
Field studies, data
» National laboratories – survey design, end-use knowledge/support
analysis, and report
» Manufacturers/Controls Vendors – equipment data mining
publication
» Surveying organizations – survey design, recruitment, execution
» BTO
Deployment » EPA

4.3.2 (ID #6) Open-Source Smart Grid Connectivity Platform

Initiative: Develop and demonstrate an open-source, open-architecture platform
that enables smart grid connectivity for demand response, and communication of
energy, operational, and financial transactions between HVAC and other building
systems
Recent developments in a variety of building subsystems have provided increased monitoring

and control capabilities. With the gains, residential and commercial buildings can potentially
achieve significant energy and/or cost savings through coordinated control and automation both
within the building, and through interaction with the smart grid. BTO has supported the
development of transactional network controls through various projects at Pacific Northwest
National Laboratory (PNNL), ORNL, Lawrence Berkeley National Laboratory (LBNL), and
other organizations. Under this initiative, BTO would continue to develop software and hardware
solutions to facilitate the centralized interaction of building systems with smart grid capabilities
and conduct field demonstrations for promising technologies.
An open-platform controls network allows environmental or equipment-monitoring sensors for a

particular component to relay information in a hierarchal structure to a central control system for
use by the other building components. By connecting the monitoring and control infrastructure
of these various systems, a centralized network platform can quantify the financial cost and
benefits of specific operations against time-of-use rates, demand response rates, and other smart
grid tools. Knowing the cost and benefit of potential actions, the system can then develop
strategies to achieve energy or cost objectives through transactions between systems or the
building. For example, this transactional network can adjust the scheduling of multiple HVAC
units and other end-uses to remain below a peak demand limit, demand response limit, or other
strategies to achieve building owners’ comfort and performance goals in an energy-efficient and
cost-effective manner.65
Larger commercial buildings can already use these features as part of complex building
management systems, but more work is needed to bring these capabilities to residential and light-
commercial buildings. Using an open-platform, manufacturers and service providers can more
readily incorporate their products into a simplified control network and enable plug-and-play
interoperability, lowering project cost.
65
Nutaro et al. 2014. “An Inexpensive Retrofit Technology for Reducing Peak Power Demand in Small and
Medium Commercial Buildings.” Oak Ridge National Laboratory. 3rd International High Performance Buildings
Conference at Purdue, July 2014.


» Develop controls platform Action Items:
for residential and light- » Conduct field analyses of Action Items:
commercial buildings different building types, » Conduct additional field
» Develop low-cost, HVAC systems, and other studies w/early-adopters
wireless, plug-and-play building systems » Promote the usage of
sensors for the network » Revise controls platform transactional network
» Explore and investigate based on findings applications to
different use cases and manufacturers, industry
» Develop go-to-market
control strategies through organizations, utilities,
commercialization
simulation analysis etc.
strategy
» Develop field test plan » License technology and
» Solicit candidate systems to,
buildings, utilities, and manufacturers, service
other partners providers, etc.

» Publish findings of » Publish findings from field » Increased adoption for
simulation studies tests buildings and high
» Field-ready sensors and » Commercialization performance products
controls systems strategy » Publish best practices
» Go/no-go decision for from field studies
field tests
Figure 4-10: Timeline & milestones – open-source smart grid connectivity platform
This initiative will develop the necessary hardware, software, control algorithms, and
communications protocols to enable more efficient and lower cost operations for residential and
commercial buildings through improved system control and grid-enabled capabilities. Table 4-25
identifies the impact that the initiative will have on key market barriers in the HVAC industry.
Table 4-25: Market Impact – Open-Source Smart Grid Connectivity Platform

Hardware and software are difficult to Plug-and-play capabilities reduce installation complexity
configure and commissioning time
Developing a low-cost, distributed, and self-powered suite
Sensor networks and control systems are
of sensors can lower first cost premium and complexity for
expensive and difficult to power
projects
Poor communication among building Common communications protocols and controllers
systems enable interaction of various building systems.


Performing numerous field studies provides independent
Uncertain financial payback and other
verification of the expected benefits for building owners
benefits
and service providers.
Table 4-26: Stakeholder Involvement – Open-Source Smart Grid Connectivity Platform

R&D
» Sensors and controls manufacturers
» Utilities
» BTO
» Sensors and controls manufacturers
Deployment » Equipment and building systems manufacturers
» Service providers
» Utilities
4.3.3 (ID #7) Low-Cost Sensor Networks

Initiative: Develop a low-cost sensor network and control scheme where every
surface, critical object, and occupant, has a sensor
Under this initiative, BTO would continue to support this effort through
development of the sensor platforms themselves, developing control methodologies
using more refined data, analyzing the potential energy savings, and working to demonstrate
their utility for various HVAC systems.
Traditional HVAC systems rely on simple temperature and humidity sensors in one or more
thermostats to control the amount of space heating, cooling, and ventilation delivered to the
thermal zone. The decreasing cost and improved capabilities of wireless electronics offer the
potential for more universal sensor communication networks that could improve HVAC control
methodologies through improved occupancy sensing and other strategies. DOE’s Sensors and
Controls program, the European Union’s (EU) Tibucon project66, and other research
organizations have funded research on low-cost, self-powered wireless sensor platforms that
could facilitate non-invasive monitoring system throughout the building. These efforts would
support the initiative outlined in Section 4.3.2 by decreasing the cost of deploying monitoring
66
Tibucon Project. 2014. Available: www.tibucon.eu/

sensors across a building and developing a suite of networked sensors that easily integrates and
communicates with the hierarchal transactional platform. Additionally, the information gathered
from the sensor network can not only improve HVAC performance and efficiency, but also
facilitate other building subsystems, such as lighting.

» Identify requirements on Action Items:
low-cost, lightweight, » Integrate energy- Action Items:
low-power temperature, harvesting capabilities » Solicit candidate
humidity, light, and other with sensors buildings, utilities, and
sensors other partners
» Conduct laboratory
» Conduct research to testing with HVAC system » Conduct field analyses of
integrate sensing using advanced sensors different building types,
capabilities into a single and control strategy HVAC systems, and other
package building systems
» Incorporate plug-and-play
» Develop self-generating
capabilities into a » Revise sensors and
components capable of
package of sensors and controls platform based
harvesting energy from
central communication on findings
various building
system » Develop go-to-market
environments
» Conduct reliability and commercialization
» Investigate control
lifetime testing strategy
algorithms to utilize
multiple sensors » Develop field test plan
» Perform simulations to
understand the potential
energy savings
» Publish findings of sensor » Publish findings of lab » Publish findings from field
breakthroughs demonstrations demonstrations
» Publish findings of » Go/no-go decision for » Commercialization
simulation studies larger field demonstration strategy
Figure 4-11: Timeline & milestones – low-cost sensor networks
This initiative will improve the occupant comfort and energy efficiency for residential and
commercial buildings by enabling more data collection for precise environmental control. Table
4-27 identifies the impact that the initiative will have on key market barriers in the HVAC
industry.

Table 4-27: Market Impact – Low-Cost Sensor Networks

Improved sensors placed throughout the building allow for more
Imprecise building controls
precise control of temperature, humidity, lighting, etc.
By featuring wireless and energy-harvesting capabilities, the sensors
Complex sensor installation would not require physical connections to a central communications
system.
In place of an electrical line or replaceable battery, energy-harvesting
Energy supply issues systems coupled with rechargeable batteries would provide the
sensor’s power needs.
Performing laboratory and field studies provides detailed estimates for
Uncertain payback and
the potential energy savings and comfort benefits of the networked
benefits
wireless sensors.
Table 4-28: Stakeholder Involvement – Low-Cost Sensor Networks

» Sensors manufacturers
Field studies, data
» Independent research firms – protocols, field test design, execution
analysis, and report
» National laboratories – survey design, end-use knowledge/support
publication
» BTO
Deployment » Sensors and controls manufacturers
» Equipment and building systems manufacturers
4.3.4 (ID #9) Built-in Data Acquisition for Equipment Sizing and Selection
Initiative: Develop standardized methods of built-in data acquisition and data
storage for sizing and equipment selection purposes at end of life
Under this initiative, BTO would conduct research to determine operating patterns
of optimal and improperly sized packaged HVAC systems and develop FDD
algorithms to facilitate proper sizing during equipment replacement cycles.
For many residential and light commercial buildings, system designers rely on ACCA Manual J
(Residential), ACCA Manual N (Light-Commercial) and other specifications to size space
conditioning systems appropriately. Improperly sized equipment can lead to excessive energy

consumption, shortened equipment life, poor humidity control, and other issues that affect
system performance. Because equipment manufacturers only offer a limited number of
capacities, contractors commonly oversize A/C equipment to reduce the chance of callbacks
during the hottest days of the year or by simply installing the replacement unit with the same
capacity as the existing equipment. Because the load characteristics within the building may have
changed due to weatherization upgrades or changes in activity, the required system size may be
significantly different than during the original installation of the older equipment.
Monitoring the operation of equipment nearing the end of its operating life could improve system
sizing practices during eventual replacement. An on-board data acquisition and storage system
could record the A/C’s operating runtimes, electricity demand patterns (or signature), and other
key information. The technician could download the data from a diagnostic port or other method
and use software to determine whether the system was correctly sized for the building before
ordering the replacement system. BTO should support the development of on-board sizing
analysis features as part of a larger FDD system for packaged and split-system A/Cs.

» Perform a laboratory and Action Items:
limited field study to » Work with equipment & Action Items:
characterize the operating controls manufacturers, » None expected
signature of proper and service providers, etc. to
improperly sized systems incorporate algorithms
» Conduct research on into their service offerings
gathered data to develop » Develop operating
predictive algorithms and protocol for service
analysis software technicians in conjunction
» Integrate sizing software w/industry stakeholders
with common FDD » Support the inclusion of
systems and perform lab this feature in high-
& field studies to performance
determine effectiveness specifications

» Publish findings » Publish findings » None expected
» Go/no-go decision on » Standard feature of
further work based on manufacturer’s on-board
demonstrated success FDD package
Figure 4-12: Timeline & milestones – built-in data acquisition for equipment sizing & selection

While the effects will not be realized for 10–15 years when equipment using the feature is due
for replacement, this initiative will help improve the performance, energy efficiency, and
occupant comfort of packaged HVAC systems over the life of residential and commercial
buildings. Table 4-29 identifies the impact that the initiative will have on key market barriers in
the HVAC industry.
Table 4-29: Market Impact – Built-in Data Acquisition for Equipment Sizing & Selection

Imprecise equipment sizing By measuring actual equipment operation against a sizing algorithm,
methods technicians would know the proper size for the building.
Lengthy equipment sizing Automated systems would reduce the time to determine proper
methods equipment size and thereby reduce equipment replacement costs.
Because current methods require knowledge of insulation ratings,
Ownership changes lose
infiltration rates, and other features which may be lost during ownership
information on efficiency
changes, automated sizing practices would incorporate any efficiency
upgrades
upgrades made by the previous owners.
Table 4-30: Stakeholder Involvement – Built-in Data Acquisition for Equipment Sizing & Selection

R&D, laboratory
studies
» Equipment and sensors manufacturers
Field studies, data » Independent research firms – protocols, field test design, execution
publication » Equipment and sensors manufacturers
» BTO
Deployment » Equipment and sensors manufacturers
4.3.5 Tier Two Enabling Technology Initiatives

The following initiatives, though not articulated in-depth like the Tier 1 initiatives, are also
valuable opportunities to further BTO energy savings goals and should be considered for future
action. Table 4-31 lists a short title for each Tier 2 enabling technology initiative. Appendix C –
Tier 2 Initiatives provides detailed descriptions of each initiative.

Table 4-31: Tier 2 Enabling Technology Initiatives
Tier 2 Enabling Tech Tier 2 Enabling Tech

Initiative (Short Title) Initiative (Short Title)
Renewable-Integrated
Open-Source Building
12 District Thermal/Power 15
Automation
Systems
Standardized Building Simultaneous

16 Metrics for Energy, 17 Heating/Cooling
Health, more Savings Opportunities
Simple Economic High Performance

27 Analysis Tools for 28 Buildings Database
Homeowners Lessons Learned
Standardized Fault
Universal
Definitions and
29 Communications 31
Communication
Protocols
Protocols
Comprehensive FDD
32 Low-Cost IAQ Monitors 34
Benefits Study
Universal
Communications Port Systems-Level HVAC
38 39
for On-Board Design Guides
Diagnostics
Non-Vapor-
Open-Source
Compression Energy
41 Continuous 42
Conservation Metrics
Commissioning Tools
and Test Procedures
Optimization of
Simple Contractor
43 Predictive Scheduling 44
Modeling Tools
and Controls
Automated
Occupant Monitoring
46 Bathroom/Kitchen 47
Algorithms
Exhaust Fans
RTU Teardown Analysis

Customer-Focused
50 for Size/Weight Savings 53
Energy Dashboards
Opportunities
Opportunities for
Dry-Cooling in Lieu of
Reductions in
56 57 Evaporative
Refrigerant Leakage
Condensers
and Charge Size

4.4 HVAC Technolgy R&D Portfolio

The prioritized initiatives in this roadmap cover a broad selection of HVAC technology topic
areas, including many that specifically support BTO’s current target technology areas (see
Section 1.2.1, above). Table 4-32 shows the Tier 1 and Tier 2 initiatives that support BTO’s
target areas (initiative titles abbreviated for brevity, and repeated where appropriate).
Table 4-32: Direct-Impact Initiatives that Support BTO Target Areas
Target Area Aligned Initiatives Notes
Helps support BTO efforts in

Cold-Climate Heat  ID#4 Low-Ambient Temperature HP
developing regional (climate-
Pumps Performance (all fuels)
customized) HVAC solutions
Natural Gas-Driven
Heat Pumps (inc.  ID#10 Material/Refrigerant Advances Dovetails well with existing gas-
multifunction for Absorption Systems fired heat pump research
products)
Non-Vapor-  ID#35 Alternative Non-Solid-State, Non- Initiatives emphasize long-term,

Compression Heat Thermally Activated HPs innovative solutions that aim to
Pumps  ID#52 Solid-State Cooling leap-frog current technologies
 ID#5 Electrochemical Compressor

Initiatives emphasize component
Advanced Vapor- Systems
research for incremental
Compression  ID#26 Nano-fluids HVAC Research
improvements to existing
Technologies  ID#45 Thermoelectrically-Enhanced
architectures
Subcoolers
During roadmap development, BTO issued a Notice of Intent for “Building Energy Efficiency
Frontiers & Innovations Technologies (BENEFIT) – 2015.”67 BENEFIT targets many of the
topics discussed in this roadmap, categorized broadly around two of the BTO target areas, but
addressing many others:68
 Non-vapor-compression HVAC technologies, under which BTO looks to support
development of both natural gas and electric technologies in support of a “non-vapor-
compression HVAC future,” such as absorption, adsorption, magnetocaloric,
thermoelectric, and many more (see footnote for reference to the notice for details.)
 Advanced vapor-compression HVAC technologies, under which BTO points to many
topic areas covered in this roadmap, such as advanced vapor-compression compressors,
67
Notice of Intent DE-FOA-0001180 concerning Funding Opportunity Announcement (FOA) DE-FOA-0001166
for BENEFIT, posted September 8, 2014, additional information available:
energy.gov/eere/buildings/articles/notice-intent-building-energy-efficiency-frontier-innovations-technologies-de-foa
68
BENEFIT Notice of Intent available at: https://eere-exchange.energy.gov/FileContent.aspx?FileID=b56f1e40-
64dc-43c1-981a-8add0c03d12f

regional HVAC solutions, SSLC, CCHP (cost reduction only), hybrid technologies that
may include non-vapor-compression elements that enable SSLC A/C Systems, HVAC
systems with embedded energy and thermal storage.
Many of the recommended roadmap initiatives are outside the domain of BTO’s specific
technology targets but nevertheless address other important barriers. For example, the enabling
initiatives that address installation, O&M, sizing, and distribution systems all address issues
raised by stakeholders during development of this roadmap. These initiatives are mixed in
throughout both Tier 1 and Tier 2 initiatives with those initiatives that do address key BTO focus
areas. Four of the top 10 initiatives are enabling technologies that address these barriers.
Many initiatives in this roadmap align with BTO’s recent and current HVAC R&D activities, as
Figure 4-13 shows. While this figure does not cover all past or current BTO R&D activities, it
does illustrate how the roadmap initiatives continue BTO research in six key areas. The majority
of initiatives in the selected areas are direct-impact initiatives, but the Smart Grid,
Communications, and Controls category includes enabling technologies due to the software
focus of the category. For additional information on each initiative in the figure, see sections
1.2.2 to 1.2.5. For additional information on the roadmap initiatives, refer to section 4.2 or 4.3 as
appropriate.

Figure 4-13: Example HVAC projects in BTO’s portfolio by focus area
While Figure 4-13 does not comprehensively cover BTO’s R&D landscape, thermal energy
storage and SSLC are two categories notably absent from the list. The figure excludes both
technology categories because they are areas in which BTO has invested less historically.
Nevertheless, BTO research has contributed valuable advances in these areas, for example:
 NREL’s development of DEVap (desiccant-enhanced evaporative cooling) technology69
(SSLC)
 University of Maryland’s winning entry in the 2011–2012 “Max Tech and Beyond”70
competition (SSLC)
 NREL modeling and analysis work for packaged A/C storage systems71 (thermal energy
storage).
69
E. Kozubal, J. Woods, and R. Judkoff, “Development and Analysis of Desiccant Enhanced Evaporative Air
Conditioner Prototype.” NREL Technical Report (April 2012) Accessed September 29, 2014:
www.nrel.gov/docs/fy12osti/54755.pdf
70
Max Tech and Beyond team page for “Separate Sensible and Latent Cooling System: 2011-2012.” Accessed
September 29, 2014: maxtechandbeyond.lbl.gov/team/team-umdsslcac

While these areas have had limited BTO investment in the past, both BENEFIT and the roadmap
initiatives point to greater investment in the future. The roadmap includes recommended top-tier
initiatives in both of these categories: ID#3 Separate Sensible and Latent Heat Management, and
ID#8 Seasonal Thermal-Energy Storage.
Although the initiatives discussed in this roadmap are programmatically independent and require
no critical-path sequencing, some activities in this roadmap may benefit from coordinated
scheduling. For example, Enabling initiatives ID#7 Low-Cost Sensor Networks and ID#32
Low-Cost IAQ Monitors, may be able to leverage knowledge between the two initiatives for
efficient use of resources. Direct initiatives that use similar components may also benefit, such
as initiatives ID#19 Small-Scale CHP plus Cooling and ID#36 HVAC Waste-Heat Recovery
Engine. The objectives may differ between the projects, but collaboration could advance each
technology further. BTO should consider opportunities for worthwhile collaboration when
incorporating new projects in its R&D portfolio.
For each initiative, BTO should also consider how the research could serve as a stepping stone in
related building systems, such as water heating and refrigeration. Conversely, water heating or
refrigeration research could also benefit the development of more complex HVAC systems. For
example, as heat pump water heaters become more common, they become increasingly relevant
to HVAC research. The potential to leverage inter-related benefits may impact how BTO
considers sequencing various HVAC initiatives relative to water heating or refrigeration
initiatives.
71
F. Kung, M. Deru, and E. Bonnema. “Evaluation Framework and Analysis for Thermal Energy Storage Integrated
with Packaged Air Conditioning.” NREL Technical Report (October 2013) Accessed September 29, 2014:
www.nrel.gov/docs/fy14osti/60415.pdf

5 Appendix A – HVAC Forum Summary Report

US Department of Energy’s Research and Development Roadmap for
Heating, Ventilation, and Air Conditioning Technologies
June 17, 2014
Stakeholder Forum Summary – ASHRAE Headquarters, Atlanta, GA
Summary
On June 17, 2014, Navigant Consulting, Inc., on behalf of the U.S. Department of
Energy’s (DOE) Building Technologies Office (BTO), hosted a stakeholder forum to
identify research and development (R&D) needs and critical knowledge gaps related to
heating, ventilation, and air conditioning (HVAC) technologies. This forum covered
HVAC equipment, distribution systems, and enabling technologies such as advanced
controls and sensors. BTO is the office through which DOE funds research to support
emerging building technologies and they aim to reduce total building-related energy
consumption by 50% by the year 2030. In HVAC technologies, BTO has specifically set
a target of 20% energy savings by 2020 and 40% energy savings by 2030.
BTO hosted the forum at ASHRAE headquarters in Atlanta, GA. Fifty stakeholders
participated, including academics, researchers from national laboratories,
manufacturers, and representatives from efficiency advocacy groups. A list of
attendees and their affiliations is included in the Appendix.
Objective
The objective of this forum was twofold: 1) Engage participants in a discussion on the
key R&D technologies and processes that have the potential to reduce barriers to
greater market penetration of high-efficiency HVAC; and 2) Gather a prioritized list of
potential R&D activities that can aid BTO in achieving their goals and that industry
stakeholders believe will reduce barriers to greater adoption of these highly efficient
technologies.
Process and Results

Discussions at the forum included a large group brainstorming session as well as
smaller breakout-group sessions. Each attendee participated in three breakout sessions.
During the first two sessions, attendees could choose from the following topic areas:
 Residential and light commercial heating/cooling
 Large commercial heating/cooling
 Controls, software, interfaces, usability, and data.
Appendix A – HVAC Forum Summary Report 83

Repeating the above three topic areas during the first two sessions provided attendees
with the opportunity to participate in discussions on two of these key topic areas.
During the third and final breakout session, attendees could choose from the following
new topic areas:
 Distribution and ventilation
 System architecture
 Outside-the-box.
The group brainstorming and breakout sessions together generated a total of 107
unique R&D activities or technology suggestions for BTO to consider (hereafter
“initiatives”). At the conclusion of the forum, Navigant posted all of the initiatives on
the wall and asked the participants to prioritize the initiatives by voting on the ones that
they felt were most valuable and promising for BTO to undertake. Each participant
received 5 votes (stickers) to disperse among the different initiatives as they saw fit
(regardless of topic area). The following table shows the top initiatives that received 5
or more total votes.72
R&D Initiatives Receiving the Highest Votes Overall
Session Initiative Votes

Develop techniques to raise heat pump performance (all fuels) at
Res/Light Com low-ambient temperature; consider elimination of defrost (or frost 10
buildup) and backup heat sources
Research different strategies to improve ground-source heat pump
Large
(GSHP) performance, siting, installation, modeling, and other 7
Commercial
aspects to improve their adoption
Large Demonstrate distributed heating and cooling between buildings (i.e.,
7
Commercial district)
Investigate new fluids and fluid pairs, including nanofluids,
Outside the Box compact heat exchangers, and other material advances to improve 6
absorption heat pumps
Research and develop new air cleaning methods and associated
Distribution &
testing standards in order to reduce outdoor air requirements; 6
ventilation
quantify the associated energy savings benefits
Develop an add-on organic Rankine cycle electrical generator to
Outside the Box 5
capture waste heat from an heat pump, chiller, etc.
Conduct laboratory and field testing to help determine the
Controls,
associated energy benefits of FDD systems that meet certain criteria 5
Software, Data
to develop an industry baseline
72
The total number of votes does not equal 5 votes/person multiplied by 50 attendees due to: 1.) Some
attendees departed prior to voting; 2.) DOE staff and Navigant facilitators did not vote.

Session Initiative Votes

Develop improved, publicly available, simple design tools for
Res/Light Com 5
contractors; consider linking to the AHRI product database
Distribution & Develop and evaluate techniques for separate sensible and latent
5
ventilation control and quantify the energy savings
The following tables document each proposed R&D initiative along with the number of
votes it received; these tables reflect the raw outputs of the forum. The tables therefore
do not perfectly reflect a single category of initiatives, but rather, documentation of the
conversations that transpired during the session. The ideas from the forum are divided
by the discussion where they arose, including one for the group brainstorming session
and one for each of the breakout sessions.
R&D Initiatives from the Group Brainstorm Session
Group Brainstorm – 21 Total Initiatives

Initiative Votes
Design systems that cannot be misapplied or are more tolerant of misapplication 4
Develop HVAC systems that maximize integration of renewables 3
Develop easy modeling tools to improve building and system design and make it
2
accessible and interpretable by user and consumers alike
Provide design guides that focus on systems-level approach to HVAC sizing/design 2
Develop an open-source building automation system to drive innovation 1
Develop optimized components for alternative refrigerant systems 1
Develop residential humidity control systems specifically targeted at low sensible
1
load periods
Develop strategies to improve low load performance, especially for commercial
1
cooling systems
Conduct materials research to design motors without rare earth metals 0
Develop metrics to inform consumers on soft savings factors including thermostat
0
feedback, over-ventilation of a space, and misapplied systems
Develop metrics and test procedures for non-vapor=compression technologies that
0
account for distinct benefits unrecognized in current test procedures
Develop smart, variable speed equipment or other strategies to improve low-load
0
performance (focus on high efficiencies at low capacities)
Develop a low-cost, open-source continuous commissioning tool that facilitates data
0
availability to show its benefits for others
Perform laboratory and field research to better understand the gap between as-
0
designed and as-installed performance

Group Brainstorm – 21 Total Initiatives

Initiative Votes
Conduct research to better understand real world impact of distribution systems on
0
energy consumption
Develop an easy, quick, low-cost modeling tool that takes a holistic view of the entire
0
building as a system and publicize it widely
Perform research to better understand the ventilation requirements, energy
0
consumption, and humidity impacts of tightly sealed, residential buildings
Develop a whole-building residential FDD system that takes a holistic view on
0
sensing and diagnostics
Develop strategies to reduce peak demand 0
Evaluate opportunities to reduce size/weight, especially for retrofit applications (e.g.,
0
elimination of adapter curbs or need for re-alignment of ducting)
Develop techniques to reduce contractor needs/costs for high efficiency and novel
0
equipment
R&D Initiatives from the Residential and Light Commercial Breakout Sessions
Residential and Light Commercial – 20 Total Initiatives

Initiative Votes
Develop techniques to raise heat pump performance (all fuels) at low-ambient
10
temperature; consider elimination of defrost (or frost buildup) & backup heat sources
Develop improved, publicly available, simple design tools for contractors; consider
5
linking to the AHRI product database
Develop energy analysis tools for the homeowner to conduct a simple economic
4
analysis before purchasing new equipment (focus on existing buildings)
Develop a modular or on-board storage for HVAC systems to reduce peak demand;
3
emphasize thermally activated cooling for renewable thermal integration
Develop a low-cost expander for waste heat recovery from HVAC systems 3
Perform research to evaluate alternative refrigerants that maintain equivalent or
2
better performance (split system focus)
Develop a reliable, self-commissioning unitary HVAC system that is self-aware and
1
provides continuous feedback on system health
Develop a single-compressor, integrated building system all-in-one appliance that is
1
built into a single pre-fab energy wall
Develop a better interface for monitoring consumption, including a data visualization
1
dashboard
Perform economic research on utility programs where high efficiency is often barely
1
above baseline (which incentivizes repairing in lieu of replacing)
Characterize the ventilation and humidity requirements in tightly sealed buildings
1
and investigate solutions involving automated exhaust fans
Perform education outreach on the value of smart meters, appliances 0

Residential and Light Commercial – 20 Total Initiatives

Initiative Votes
Develop standardized methods of built-in data acquisition and storage for sizing and
0
equipment selection purposes at end of life
Evaluate (paper study and field demonstrations) options for moving heat around
0
buildings (and between buildings) for simultaneous heating and cooling
Develop a standardized communication port for add-on sensors, FDD, monitoring,
0
and technician review (e.g., auto industry on-board diagnostics [OBD] standard)
Develop membrane-based dehumidification products for residential applications 0
Evaluate holistic approaches to whole-building, complex integrated HVAC systems
0
and determine potential benefits and challenges in retrofit buildings
Develop add-on humidity control package, especially for renovations where original
0
structures were not designed for airtight seals
Investigate ways to reduce counterfeit refrigerant demand: (1)reduce refrigerant
0
leakage in old equipment, & (2) reduce charge in new equipment
Evaluate energy savings from, and pursue development of, nighttime cooling,
heating, and storage capabilities, including active & passive ventilation, PCMs, & 0
waste heat recovery
R&D Initiatives from the Large Commercial Breakout Sessions
Large Commercial – 20 Total Initiatives

Initiative Votes
Research strategies to improve ground-source heat pump (GSHP) ground-loop cost &
7
performance; also consider siting, installation, & modeling to reduce costs
Demonstrate distributed heating and cooling between buildings (i.e., district) 7
Develop hybrid systems to combine mechanical and natural ventilation techniques 4
Develop cost-effective phase change materials that activate at lower temperatures 2
Research the energy savings, comfort, and IAQ benefits of liquid desiccants and other
2
dehumidification technologies
Develop and demonstrate smart equipment with energy recovery or free cooling for
2
simultaneous heating and cooling in large buildings
Develop evaporative cooling systems in humid climates and understand the tradeoff
1
between energy and water
Develop energy efficient ventilation that enables reduced ventilation rates 1
Research improved terminal distribution systems to adapt to reduced skin loads in
1
buildings
Deploy educational lessons from high performance buildings databases (e.g., NREL) 1
Develop low-cost (and legal) sub-metering with intelligent feedback to operators 0

Large Commercial – 20 Total Initiatives

Initiative Votes
Develop intelligent alarms (not just on/off) 0
Develop an interface between large buildings and smart grid 0
Develop improved modeling tools for district heating and cooling systems 0
Improve modeling tools for variable-speed systems 0
Research improved heat exchanger materials, geometry, surface treatments, etc.
0
including ensuring long-term optimal performance
Revisit ventilation rate guidelines 0
Research and demonstrate the energy impacts of maintenance 0
Perform basic R&D on fans and pump efficiency and the entire distribution system 0
Develop a better understand for energy vs. comfort vs. indoor air quality (IAQ)
0
tradeoffs
R&D Initiatives from the Controls, Software, Interfaces, Usability, Data Breakout Sessions
Controls, Software, Interfaces, Usability, Data –

16 Total Initiatives
Initiative Votes
Conduct laboratory and field testing to help determine the associated energy benefits
5
of FDD systems that meet certain criteria to develop an industry baseline
Demonstrate different fault detection and diagnostics (FDD) strategies and their
4
benefits to consumer
Develop a standardized energy metric for control, FDD, and other systems, including
3
a set of FDD definitions, display, etc.
Develop low-cost, reliable, and accurate humidity sensors 3
Develop universal communications protocol and standard communications port for
3
integrated HVAC, water heating, and power systems
Develop a low-cost, plug-and-play IAQ monitor that provides usable information
3
besides temp and humidity for high performance buildings
Duct system and infiltration diagnostics system for system startup (residential) and
3
ongoing commissioning (commercial)
Create a FDD system that translates on-board faults into generic error codes and
1
hierarchal actions to resolve the issue
Demonstrate transaction network for rooftop units 1
Develop algorithms and sensors to understand the energy benefits of predictive
1
control
Develop a big-data analysis tool to prioritize knowledge with a built-in actionable
0
decision tree

Controls, Software, Interfaces, Usability, Data –

16 Total Initiatives
Initiative Votes
Develop low-cost, in-duct airflow sensors offering high reliability 0
Conduct research to characterize customer tolerance for sensor accuracy, drift,
0
response rate, usability, etc.
Develop open-protocol, low-cost commissioning software for building managers 0
Develop a universal communication standard for plug-and-play performance for
0
sensors, FDD, controls, submetering, etc.
Develop secure predictive controls based on command/control data 0
R&D Initiatives from the System Architecture Breakout Session
System Architecture – 6 Total Initiatives

Initiative Votes
Research the pervasiveness of incorrect system commissioning and associated energy
4
impacts
Collect data and conduct analysis on the impacts of poor installation, commissioning,
3
and/or operation of HVAC equipment in commercial buildings
Develop an app that provides $/hr. energy data for users that reflects local rate
2
structures and sub-metering data to educate occupants
Characterize existing residential zoning technologies, including current penetration,
1
and savings potential; identify opportunities; support development of new systems.
Research the potential for incorporating large-scale outdoor heat exchangers into
1
building architecture, especially away from the sun (e.g., north side condensers)
Develop a standardized efficiency metric for home HVAC systems that is simple and
0
easy for homeowners to understand; emphasize cost and comfort
R&D Initiatives from the Distribution and Ventilation Breakout Session
Distribution and Ventilation – 8 Total Initiatives

Initiative Votes
Research and develop new air cleaning methods and associated testing standards in
6
order to reduce outdoor air requirements; quantify the associated energy savings
Develop and evaluate techniques for separate sensible and latent control and quantify
5
the energy savings
Develop a standardized building metric to incorporate energy, health, etc. 4
Develop design strategies to reduce the pressure drop in ducts and pipes 1
Perform research and characterize the portion of air leakage in common components,
1
and specify low-leakage components

Distribution and Ventilation – 8 Total Initiatives

Initiative Votes
Develop reliable economizers for dedicated outdoor air systems (DOAS) for zone
1
ventilation
Analyze benefits of variable flow over fixed flow for hydronic system and develop
0
best practice tools for existing buildings
Develop energy recovery ventilators and other systems with low pressure drop 0
R&D Initiatives from the Outside-the-Box Breakout Session
Outside the Box – 16 Total Initiatives

Initiative Votes
Investigate new fluids and fluid pairs, including nanofluids, compact heat
6
exchangers, and other material advances to improve absorption heat pumps
Develop an add-on organic Rankine cycle electrical generator to capture waste heat
5
from an heat pump, chiller, etc.
Develop a small-scale CHP system for electrical power, space heating, space cooling,
4
and water heating
Develop a direct-current (DC)-powered HVAC system to utilize DC power from by a
4
solar photovoltaic (PV) system to facilitate microgrid integration
Develop and demonstrate seasonal energy storage technologies 3
Develop less expensive magnets for magnetocaloric refrigeration systems 3
Develop a control system of a low-cost sensor network and control scheme where
3
every surface, critical object, and occupant has a sensor (biomimicry considerations)
Develop a hybrid adsorption-vapor-compression heat pump storage unit to capture
3
waste via latent heat of evaporation from a water/zeolite mixture
Develop electrochemical compression systems 2
Develop creative working fluids for heat recovery, fluid optimization, and other
2
applications.
Develop and demonstrate bi-seasonal ice storage for heating and cooling 1
Develop a waste heat recovery engine to capture excess heat from furnaces,
1
particularly RTUs
Develop a dehumidification system that can utilize the condensed water vapor on-
1
site, for evaporative condenser make-up water, evaporative cooling, others.
Investigate the potential for thermoelectric devices to capture waste heat from a
1
condensing unit
Develop fine-grained HVAC control including localized temperature and humidity
0
control
Develop efficient dry-cooling techniques to replace large evaporative condensers 0

Next Steps
Navigant, in consultation with BTO, will continue to refine and develop these R&D
initiatives though additional research and follow-up interviews with individual
stakeholders who were unable to attend the forum. Navigant will combine any
duplicate or overlapping initiatives to ensure that all initiatives are unique. We will use
a combination of qualitative and quantitative methods in developing final
recommendations of the top R&D initiatives DOE to consider. The qualitative
prioritization will consider some or all of the following criteria:
 Technical savings potential
 Fit with BTO mission
 Criticality of DOE involvement
 Technical and market risks
 Market Readiness
 Level of required DOE investment
 Stakeholder input (including voting results).
The quantitative prioritization will be based on cost and benefit outputs from BTO’s
Prioritization Tool.73 BTO will consider the recommended outputs of these
prioritization processes for funding in parallel with other priorities in other building
end-use areas. Therefore, no recommended output from this roadmapping process is
guaranteed to receive DOE support.
The roadmap will serve as a guide for DOE and its partners in advancing the goal of
reducing building energy consumption related to HVAC systems, while maintaining
the competitiveness of American industry.
73The Prioritization Tool or P-Tool is a Microsoft Excel model that assesses and compares building-
related energy-efficient technologies and activities, and projects their potential energy savings and
economics. BTO uses the P-Tool to support its programmatic decision-making. The P-Tool draws on data
from the Energy Information Administration’s (EIA) Annual Energy Outlook (AEO) 2010 to forecast
baseline energy consumption in the buildings sector, segregated by geographic location, end use, and fuel
type. Tool users input information, including unit energy savings, end use, and applicable market, about
efficiency measures of interest. The tool applies these inputs to its baseline energy forecasts to develop
estimates of technical energy savings potential, market potential, and the costs of efficiency initiatives,
among other outputs. The P-Tool also has the capability of “staging” various efficiency measures, which
accounts for the potential interactions among multiple measures.

Appendix: Forum Attendees

Navigant and DOE wish to thank all of the forum participants. The suggestions,
insights, and feedback provided during the forum are critically important to identifying
and prioritizing HVAC R&D initiatives
The R&D roadmap forum brought together 50 individuals representing a range of

organizations across the industry. Table 5-1 lists all the attendees and their affiliations.
Table 5-1: Stakeholder Forum Attendee List
Attendee Name Organization

Omar Abdelaziz U.S. Department of Energy, Building Technologies Office
Van Baxter Oak Ridge National Lab
Anil Bhargava I & M Industrials, Inc.
Antonio Bouza U.S. Department of Energy, Building Technologies Office
Craig Bradshaw Torad Engineering
Robert Comparin Emerson Climate Technologies
Dan Dempsey Carrier
Michael Deru National Renewable Energy Laboratory
Titu Doctor CENC Inc.
Ian Doebber National Renewable Energy Laboratory
Piotr Domanski National Institute of Standards and Technology
Nicholas Fila Heery International, Inc.
Douglas Friedman LabWize, Inc.
Brian Fronk Georgia Institute of Technology
Brendan Gardes DLB Associates
Ashok Gidwani Booz Allen Hamilton / ARPA-e
Chris Gray Southern Company
Steve Greenberg Lawrence Berkeley National Laboratory
Chad Griffith Griffith Engineering
Jill Hootman Trane
Shaobo Jia Heatcraft Refrigeration
Brian Johnson Dais Analytic Corporation
Srinivas Katipamula Pacific Northwest National Laboratory
Georgi Kazachki Dayton Phoenix Group, Inc.
Thomas Leck DuPont
Jason LeRoy Trane
Dick Lord Carrier
Chris Muller Purafil, Inc.
Joe Orosz Torad Engineering
Hung Pham Emerson Climate Technologies
Pat Phelan U.S. Department of Energy, Building Technologies Office
Reinhard Radermacher University of Maryland
Ari Reeves CLASP

Attendee Name Organization

Tom Sayre Sizemore Group
Ken Schoeneck Ingersoll Rand
Mick Schwedler Trane
Harris Sheinman Heery International, Inc.
Mark Spector Office of Naval Research
Kristen Taddonio U.S. Department of Energy, Building Technologies Office
Troy Trant Rheem Manufacturing Company
Dutch Uselton Lennox
Parmesh Verma UTRC
Ed Vineyard Oak Ridge National Lab
Eric Walthall Danfoss
Xudong Wang AHRI
David Wasserman Southface
Thomas Watson Daikin Applied
Robert Wilkins Danfoss
Jing Zheng Coca-Cola Company
Tony Ziegler Laboratory & Biosafety System Inc.

6 Appendix B – Supporting Equipment Charts

Figure 6-1 shows the fuel split in residences in the U.S. by climate region. The chart, in red, also
shows the total number of homes in each region for reference.
Figure 6-1: Residential space heating fuel use in the U.S. by climate
Figure 6-2 shows the fuel split in commercial buildings in the U.S. by region (climate region
splits were not available in the CBECS study). The chart, in red, also shows the total floor space
in each region for reference.
Figure 6-2: Commercial space heating fuel use in the U.S. by region
94 Appendix B – Supporting Equipment Charts

7 Appendix C – Tier 2 Initiatives

The subsections that follow provide detailed descriptions of each Tier 2 initiative. These
initiatives were scored during the roadmap development process and are presenting in ranked
order below.
7.1 (ID #11) Research and develop new air cleaning methods and associated testing
standards in order to reduce outdoor air requirements; quantify the associated energy
savings (Direct)
Ventilation requirements, as part of the building code, ensure that sufficient outdoor air is
brought into the building to maintain appropriate IAQ for the expected number of occupants of a
given space. By providing air cleaning capabilities in a building's HVAC system, the outdoor air
load for ventilation can be reduced further. Air cleaners that remove volatile organic compounds
(VOCs) and/or scrub CO2 from the air can enable further reductions, if not complete elimination,
of outdoor air ventilation. Current building codes do not typically enable such technologies,
except in cases where air cleaning is supplemental to ventilation. In order for this technology to
be code-compliant, BTO should support the development of new test methods and standards for
efficacy and efficiency of the system. Such standards will ensure that IAQ standards are
maintained and that the energy consumption is commensurate with their benefit.
Opportunity: This technology primarily applies to commercial buildings. However, as

residential building construction methods become increasingly airtight and outdoor-air
ventilation becomes more common, this technology may apply to residential buildings as well.
We estimate energy savings similar to other strategies that reduce ventilation such as DCV,
which has can reduce energy consumption by 10–30% in buildings having varying occupancy
schedules, high HVAC requirements, and/or long hours of operation (Goetzler et al. 2011).
7.2 (ID #12) Develop and demonstrate renewable-integrated district heating, cooling,
and power systems for a community, campus, or city (Direct)
Centralized district heating and cooling (DHC) can offer cost and energy savings because the
aggregated capacity requirements are usually lower than individual systems, and capacity costs
improve when going to larger sizes, thereby offering the opportunity to use higher efficiency
technologies or renewable energy sources such as biomass, biogas, solar, etc.
While many cities and campuses in the U.S. have DHC systems, many challenges impede the
growth of DHC systems using renewable energy, especially for existing buildings, including
high initial cost, complex installation, and logistical challenges of serving multiple buildings and
owners. BTO should analyze the lifecycle costs of incorporating renewable energy sources for
DHC systems for several building scenarios to assist project developers evaluate their potential
cost and energy savings.
Opportunity: The technology is applicable to all heating and cooling for residential and
commercial systems in densely populated areas (generally urban, but can be applicable to select
densely populated rural areas as well). Some district systems incorporating renewable
technologies report a source energy savings of >50% (Goetzler et al. 2012). We estimate a
source energy savings of 20% or more may be achievable depending on the baseline system.
Appendix C – Tier 2 Initiatives 95

7.3 (ID #13) Continue development of reliable and cost-effective FDD strategies for a
variety of HVAC systems (Direct/Enabling)
FDD systems alert building operators of various problems associated with HVAC equipment and
systems, and in recent years have debuted for light-commercial RTUs and residential split-
systems. These FDD systems detect equipment malfunction through a variety of means including
a suite of pressure and temperature sensors located throughout the HVAC system, non-invasive
sensors that rely on electrical or acoustic patterns during equipment operation, and other
techniques. BTO has supported the development of FDD algorithms and commissioning tools for
residential and light-commercial HVAC equipment, but additional research can improve upon
current methods by incorporating operational learning, more effective communication strategies,
incorporating variable-speed, hybrid HPs, and other equipment classes, and other activities. BTO
should continue to support the development of embedded or add-on software and controls that
enable the reliable continuous monitoring and commissioning of unitary HVAC systems.
Opportunity: The technology is applicable to all residential and commercial buildings

We estimate 15% savings if you assume most systems run with a fault (Goetzler et al. 2012).
7.4 (ID #14) Continue the development and demonstration a next-generation window
A/C with high-EER performance and advanced features to reduce losses (Direct)
Window or room A/Cs and HPs typically have lower efficiency than centralized systems and
suffer from poor thermal distribution, outside air infiltration, and other issues. BTO has
supported research into understanding the performance of window A/Cs and designating best
practices at NREL, and the development of a 13 EER window A/C with ORNL and a CRADA
partner (GE). BTO should continue to support the development and demonstration of high
efficiency window A/Cs by incorporating components which raise standard efficiency metrics
(e.g., high efficiency or variable speed compressors), and features which reduce other associated
losses (e.g., occupancy sensors, improved thermal distribution techniques). With federal
standards rising in June 2014, demonstrating high efficiency units will support the pipeline for
higher ENERGY STAR specifications and utility rebates.
Opportunity: The technology is applicable to non-centralized heating and cooling systems for
residential systems. Savings depends on the baseline system and may reach 15% or greater
(assumes 13 EER over 11 EER).
7.5 (ID #15) Develop an open-source building automation system to drive innovation
(Enabling)
Depending on the size and complexity of the building, building controls can range from simple
thermostat commands for a single RTU to a centralized building automation system that controls
the HVAC, lighting, security, fire suppression, and other systems. Building energy management
and automation systems offer the opportunity to analyze large amounts of monitoring data to
derive more efficient and cost-effective scheduling algorithms for HVAC and other equipment.
Nevertheless, building owners do not implement these systems due to the large upfront cost and
uncertain payback periods, especially for smaller commercial and residential buildings. BTO has
supported the development and demonstration of energy saving algorithms for building
automation systems through the OpenEIS program and other activities. BTO should continue to
support strategies that provide independent demonstration for energy, cost, and performance

benefits from building automation systems and facilitate their use in smaller buildings through
open-source algorithms and networking platforms.
Opportunity: The technology is applicable to all residential and light commercial HVAC
systems with savings of approximately 15% (Hagerman 2014).
7.6 (ID #16) Develop a standardized building metric to incorporate energy, health, etc.
(Enabling)
Because most people spend the majority of their time within buildings, maintaining high indoor
environmental quality (IEQ) is crucial to the health and function of the building occupants,
whether it be at home, work, entertainment, or other daily activities. IEQ encompasses not only
temperature and humidity control, but also proper ventilation, noise, safety, happiness, and other
factors that contribute to high occupant productivity and reduced absenteeism by maintaining
occupant well-being. To help balance these factors, ASHRAE and other industry organizations
continuously update ventilation and IAQ standards (e.g., Standards 62.1 and 62.2) as well as IEQ
standards for high performance buildings (e.g., Standard 189.1). Unlike energy or water
efficiency, measuring IEQ in an effective and economic way during building operation is
difficult because of the multitude of factors that contribute to proper IEQ. Researchers at
National Institute of Standards and Technology (NIST) and other organizations are developing
ways to measure and quantify building IEQ, which can ultimately lead to standardized IEQ
metrics and facilitate the real-time optimization between IEQ and energy efficiency in buildings.
BTO should support development of standardized IEQ measuring techniques and rating systems
and perform research into strategies that maintain high IEQ at lower energy consumption.
Opportunity: This initiative is applicable to all residential and commercial buildings.
7.7 (ID #17) Investigate the prevalence of simultaneous heating and cooling in buildings
and evaluate energy recovery and improved thermal distribution methods (Direct)
Many large commercial buildings, such as offices, experience different thermal loads throughout
the building, even on the same floor. For example, the perimeter of the building may differ
significantly from more internal areas such that one area requires heating, while the other
requires cooling to maintain comfortable conditions. In these and other cases where simultaneous
space heating and cooling is required, HVAC system designers have utilized a variety of
technologies to recover thermal energy in one zone to satisfy another, including run-around
pipes, heat pipes, energy recovery wheels, HPs, and heat recovery variable refrigerant flow
systems. While several of these technologies have seen wider application for pre-conditioning
ventilation air, their usage to provide more efficient thermal distribution within the building has
been limited due to custom design and complex installation, especially for retrofits. BTO should
conduct an analysis to understand the magnitude of the simultaneous heating and cooling
problem in commercial buildings and support the development and demonstration of more
efficiency thermal distribution strategies.
Opportunity: The technology is applicable to commercial buildings, particularly large

buildings. The energy savings may reach 20% based on partial savings from ductless multi-split
systems (Goetzler et al. 2012).

7.8 (ID #18) Duct system and infiltration diagnostics system for system startup
(residential) and ongoing commissioning (commercial) (Direct/Enabling)
Duct leakage and outside-air infiltration are two of the most common causes of poor building
performance. Both increase energy consumption by delivering air to an unwanted location within
the building i.e., either into (infiltration) or outside (duct leakage) the conditioned space. To help
identify the presence of duct leakage and excess infiltration, several diagnostic tests are available
and often required for some building codes, including the blower-door test, duct pressurization
test, Delta Q test, tracer gas test, and infrared imaging. Once diagnosing the problem, contractors
will employ several treatment options including: aerosol, mastic, or caulk sealants, creating an
air barrier, and physical repair. While these practices help to reduce the increased energy
consumption in the near term, the problems of duct leakage and infiltration can reoccur over time
as repairs degrade and new problems occur. Several researcher teams (e.g., Taitem Engineering
Inc. / Cornell University and Argonne National Laboratory/Illinois Institute of Technology) are
currently investigating the potential for next-generation diagnostic systems using acoustical
analysis, continuous monitoring, and other methods. BTO should support research into improved
diagnostic systems and sensors that allow for alternative and/or continuous measurement of duct
leakage and building infiltration.
Opportunity: The technology is applicable to all residential and commercial HVAC systems.
We estimate savings of 10–15% and greater based on Quality Installation savings (Goetzler et al.
2012).
7.9 (ID #19) Develop a small-scale, low-cost, CHP system for electrical power, space
heating, space cooling, and water heating (Direct)
Thermal and electrical energy generation systems lose some of their energy transportation to the
home or rejected as waste heat. For large commercial and industrial applications, on-site
combined cooling, heat, and power or tri-generation systems capture the waste heat of a gas-fired
electrical generator (e.g., engine or turbine) to produce hot water for space and water heating,
and to drive an absorption chiller for space cooling. For smaller applications, various products
including electric or gas-driven IHPs (space heating, space cooling, and water heating) and
micro-CHP engines or fuel cells (electricity, space heating, water heating), contain only some of
these features. A packaged, all-in-one building energy system could potentially utilize more of
the primary energy contained within fossil fuels and reduce utility costs for smaller residential
and light commercial buildings. BTO has supported the development of a residential, fuel-fired
HP for space conditioning, water heating, and power generation through a CRADA partnership
with ORNL and Southwest Gas. BTO should continue to support the development small-scale,
CHP systems utilizing engine, fuel cell, and other electrical generating systems tied with vapor-
compression, thermally activated, or other alternative space cooling systems.
Opportunity: The technology is applicable to all heating and cooling systems for residential and
light-commercial applications. Energy savings of 20% or greater may be achievable, especially
in heating-dominated climates based on engine-driven HP savings (Goetzler et al. 2012).
7.10 (ID #20) Develop hybrid systems to combine mechanical and natural ventilation
techniques aka mixed-mode conditioning or integrated window ventilation (Direct)
Mixed mode conditioning is a hybrid technique for ventilating commercial buildings that uses
mechanical systems in conjunction with operable windows (automated or manual) to provide

energy –efficient ventilation to the building. Each implementation has historically been a
custom-designed system, which keeps cost high. Not only do such approaches provide energy
savings, they also enable the use of smaller size equipment for capital-cost savings, as well as
greater occupant comfort, reduced wear and tear on mechanical systems, and longer equipment
life. Most large commercial buildings in the U.S. are built with inoperable windows to prevent
occupants from opening windows to meet localized comfort needs and inadvertently putting
greater load on the HVAC system. BTO should support the development and demonstration of
standardized mixed-mode conditioning systems.
Opportunity: This technology applies to all commercial buildings with mechanical ventilation
systems. In the future it may also apply to increasingly common tightly sealed residential
buildings as well that require mechanical ventilation. Energy savings estimated at 15%–80%
depending on climate, building type, and cooling loads (Goetzler et al. 2011).
7.11 (ID #21) Characterize existing residential zoning technologies, including current
penetration, and technical savings potential; identify new low-cost, non-invasive
technologies for retrofit systems (Direct)
System designers have developed strategies to introduce zoning for residential centralized
systems where multiple thermostats control a damper within a dedicated supply duct such that
each zone receives the correct amount of airflow. These systems aim to optimize comfort in
occupied zones while saving energy in others. Such systems have been shown to improve
comfort, but have had mixed experiences from an energy standpoint, especially when using
constant-speed supply fans. Manufacturers and service providers have developed several new
technologies in recent years that could improve residential zoning systems, including: variable-
speed blowers, predictive thermostats, Wi-Fi controls, automated register dampers, and other
components. BTO should analyze the potential energy savings and comfort benefits from
advanced residential zoning systems through modeling simulations and field demonstrations, and
if promising, develop techniques to improve the design, installation, and control of zoned HVAC
systems, especially for existing buildings.
Opportunity: The technology is applicable to all residential central, ducted HVAC systems.
Savings estimates range widely, we estimate 0–20% savings based on Zocor et al. (2012).
7.12 (ID #22) Develop and demonstrate next generation of chiller technologies for large
commercial buildings (Direct)
Large multifamily residential and commercial buildings commonly use large, centralized vapor-
compression HPs (i.e., chillers) to generate chilled water for space cooling. In recent years,
manufacturers have significantly raised chiller efficiency at full- and part-load conditions by
incorporating variable frequency drives (VFDs), magnetic or ceramic bearings, heat recovery,
high-efficiency motors, improved compressor designs, advanced controls, optimized schedulers,
and other technologies. The planned phase-out of the current generation of high-GWP
refrigerants requires further advances to maintain performance and efficiency of future chillers.
BTO should support the development and demonstration of next generation of chiller equipment
using low GWP refrigerants, non-vapor-compression cycles, or other technologies.

Opportunity: The technology is applicable to large multifamily residential and commercial

systems. Limited savings potential, but prevents potential efficiency decreases due to alternative
refrigerants.
7.13 (ID #23) Develop solar HPs using thermally activated heating and cooling
technologies (Direct)
Solar thermal HPs collect solar radiation to generate hot water that drives thermally activated
cooling and/or heating systems such as absorption or adsorption heat pumps and liquid or solid
desiccant A/Cs. The solar collectors, either flat plate or evacuated tube, are sized to meet the
temperature and thermal output requirements of the particular heating and/or cooling system, and
are typically accompanied by a back-up fuel-fired water heating system and hot water storage
tank. By capturing the low-cost, renewable thermal energy, solar thermal HPs have lower source
energy consumption even when coupled with a low-efficiency cooling cycle. While the
technology is commercially available in Europe and other markets, the high cost of the
technology relative to natural gas poses a barrier to larger market adoption in the U.S. DOE has
supported the development of solar thermal collection and storage, and thermally activated HPs
through numerous initiatives. DOE should support the further development of low-cost solar
thermal collectors as well as thermally activated HPs by investigating alternative architectures,
utilizing advanced materials and working fluids, and other strategies.
Opportunity: The technology is applicable to residential and commercial heating and cooling
systems with a project savings potential of 30% (Goetzler et al. 2011).
7.14 (ID #24) Develop energy efficient ventilation and space conditioning techniques that
reduce HVAC loads through the use of microclimates, personal comfort devices, or other
small-scale comfort devices to control specific parts of a room. (Direct)
Most residential and commercial buildings deliver space conditioning and ventilation to
occupants using large, centralized duct systems. While blowing conditioned air into building
spaces through the floor, wall, or ceiling is a relatively straightforward distribution mechanism,
thermal and fan energy may be wasted due to thermal stratification and heating/cooling the entire
room to make sure occupants receive fresh and conditioned air. Researchers have investigated
alternative strategies to more efficiently provide comfort and ventilation to occupants through
smaller, more directed conditioning systems known as personal comfort or microclimate devices.
These systems come in various configurations but typically are either worn on the person or
integrated into or around furniture (e.g., office workspace). DOE has supported such research
through Advanced Research Projects Agency-Energy (ARPA-e) Delivering Efficient Local
Thermal Amenities (DELTA), LBNL, and other organizations, and should continue to
investigate these alternative space comfort and ventilation approaches through simulation
modeling, prototype development, and field demonstrations.
Opportunity: The technology is applicable to all residential and commercial HVAC systems
and has a potential energy savings of 30% (Zhang 2012).

7.15 (ID #25) Continue the development and demonstration of high-performance

packaged HVAC systems (Direct)
Because packaged RTUs serve such a large portion of the U.S. light commercial market and
commonly operate at off-design conditions, advancements in full- and part-load space cooling
efficiency can drive significant energy and peak demand savings. Incorporating techniques such
as variable speed drives, high-efficiency motors and compressors, multiple modulating
compressors, microchannel heat exchangers, low pressure airflow design, evaporative pre-
cooling, etc. can collectively raise the IEER of packaged rooftop A/Cs well above baseline
standards for 10–20 ton units. BTO has supported advanced RTUs through simulation
performance mapping of various technologies at ORNL, performance testing to the Better
Buildings Alliance’s High Performance Rooftop Unit Specification, and other initiatives to
develop equipment with 18 IEER and greater. Building on these efforts, BTO should continue to
develop strategies, components, and tools to enable high IEER RTU design, conduct field testing
with applicable models to objectively demonstrate their performance, and develop lifecycle
energy and economics tools to quantify the benefits in various climates.
Opportunity: The technology is applicable to all light commercial packaged A/C and HPs.
Savings is estimated at 25–50% depending on the climate and baseline (assumes IEER baseline
is 11).
7.16 (ID #26) Conduct nan-fluids research for advanced distribution fluids, refrigerant
pairs, surfactants (Direct)
Developments in materials science have created nanoscale materials that could have a significant
impact for HVAC systems through advanced coatings on heat exchangers and improved primary
or secondary working fluids. For heat exchangers, such materials could improve evaporation and
condensation through enhanced heat transfer or inhibit the formation of ice or fouling. For
working fluids, the nanoparticles could raise the thermal conductivity of the fluid, facilitating
greater transfer of heat at a lower pumping requirement. BTO has supported research at Argonne
National Laboratory and other institutions to better understand the potential for various types and
sizes of nanofluids. BTO should continue to support research into understanding the heat transfer
properties of nanofluids and then investigating their potential for use with materials and working
fluids common to the HVAC industry.
Opportunity: The technology is applicable to fan and pump energy for all HVAC systems.
Energy savings is potentially very high. Energy savings estimates for full HVAC systems are
unavailable, but we estimate 27% savings based Kulkarni et al. (2007).
7.17 (ID #27) Develop energy analysis tools for the homeowner to conduct a simple
economic analysis before purchasing new equipment (focus on existing buildings) -
homeowner focus (Enabling)
As more homeowners consider high efficiency HVAC equipment, customers are most interested
in the energy and cost savings that could be achieved by these advanced features. Several
analysis tools and economic calculators are available, but are often overly complicated,
imprecise for their home, or potentially biased in the minds of the consumer. A simplified tool
that considers the size, age, and location of the home, recent utility bills, thermostat set-points,
and other easy-to-obtain information could assist the homeowner with their decision over high
efficiency equipment, especially if provided or certified by an independent source. BTO has

developed some of these features through simulation software (e.g., BEopt), PNNL’s Rooftop
Unit Comparison Calendar, as well as Federal Energy Management Program (FEMP) and
ENERGY STAR product savings calculators. BTO should support the development of a
simplified and streamlined economic analysis tool to assist with purchasing decisions for
residential HVAC systems. In lieu of designing the entire tool, BTO could also develop a
specification or application programming interface (API) outlining the assumptions, algorithms,
features, etc. that would provide a standardized methodology for third-parties to then develop the
user interface or incorporate in their offerings to customers.
Opportunity: The technology is applicable to all residential HVAC systems.
7.18 (ID #28) Compile the lessons learned from NREL's high performance buildings
database and develop tools, guides to educate the industry (Enabling)
Developed by BTO and NREL in the mid-2000s, the High Performance Buildings Database
serves as a central repository of detailed information on high-performance residential and
commercial buildings. The database summarizes key building details, design features, actual
energy and water usage, contact information, and other aspects to help prospective building
owners or project designers consider more energy and environmentally conscious buildings.
With substantial information about each building and its energy consumption, the database can
provide valuable lessons to the building industry about effective design features. BTO should
analyze the database to understand the most effective and commonly used practices and develop
a best-practice guide for the industry. If possible, BTO could also follow up with each of the
buildings to understand how their satisfaction, comfort, and energy consumption has changed
since submitting the initial profile.
7.19 (ID #29) Develop universal communications protocol for integrated HVAC, water
heating, and power systems, allows plug-and-play compatibility (Enabling)
Manufacturers and vendors of a variety of residential and commercial appliances are
incorporating communication and control systems to interact with the smart grid as distributed
energy resource. Whether through a central energy management system or individual connection,
these connected devices can change their operating schedules or reduce their consumption during
peak demand events or high time-of-use (ToU) rate periods. Accounting for a large percentage of
building energy usage, HVAC systems are a key piece for demand response and other grid-
interactive strategies. For the greatest benefit, each of these appliances and systems should
coordinate their response to the grid-interactive signals, but currently experience integration
issues related to various communication protocols and metrics that characterize the capabilities
of each appliance or system. BTO and other industry groups are working to develop
communication and measurement protocols that can facilitate easy, plug-and-play integration of
the various grid-enabled appliances. BTO should continue to develop standardized protocols for
grid-enabled appliances and analyze their potential energy and cost savings through field
demonstrations.
Opportunity: The technology is applicable to all residential and commercial buildings.

7.20 (ID #30) Develop a modular or on-board storage mechanism for HVAC systems to
reduce peak demand, including RTU energy storage and thermally activated cooling for
renewable thermal integration (Direct)
Packaged RTUs are the most common commercial space cooling equipment in the U.S. During
the summer months, these RTUs collectively represent a large contribution to the increased
demand curve utilities experience. Similar to ice or chilled water systems available for large,
built-up, cooling systems, integrated-RTU thermal energy storage offers the opportunity for
RTUs to reduce peak demand and utilize operational favorable ToU electricity rates by shifting
the production of cooling to off-peak hours. Additionally, such systems would experience
minimal efficiency loss as the slight increase in consumption of the storage system during the
day is offset by utilizing the lower ambient temperatures and reduced cycling losses during
nighttime cooling production.
The few existing product offerings are expensive and complex. Additionally, the technology has
little penetration in the residential market, where packaged systems and demand or ToU rates are
less common. BTO should support research into developing lower cost thermal energy storage
systems, which easily integrate with common HVAC equipment types in the residential and light
commercial market, especially for existing buildings and systems.
systems. Energy savings is minimal, at 0–5% of overall usage and will vary with nighttime
ambient temps, but peak demand savings may reach 12–25% (Goetzler et al. 2011).
7.21 (ID #31) Develop standardized fault definitions, thresholds, and communication
protocols to improve the operability and user-interaction with FDD systems (Enabling)
Because HVAC systems consist of multiple pieces of equipment that are not necessarily from the
same manufacturer or installed at the same time, FDD systems can only operate effectively if
each component shares data on operating status, efficiency, and other information in a
standardized manner. BTO should support efforts to standardize fault definitions, thresholds, and
communication protocols to increase the interoperability of FDD systems. BTO can use the
results from laboratory and field demonstrations of various FDD strategies and thresholds as the
underlying data to support industry-wide discussions on common FDD definitions, alert
messages, and other aspects to improve communication with other HVAC or BAS systems and
the building operator.
7.22 (ID #32) Develop a low-cost, IAQ monitor that provides usable information besides
temperature and humidity for high performance buildings (Enabling)
ASHRAE and other organizations have specified ventilation rates for different building types to
ensure the HVAC system is properly sized to supply and condition sufficient outside air.
Matching ventilation rates to the actual needs of the building (i.e., demand-controlled ventilation,
DCV) can ensure safe and healthy indoor environment while also minimizing energy usage.
DCV systems utilize CO2 or other sensors to modulate the supply of outdoor air based on
building or room occupancy. While CO2 levels are a good proxy for the human-sourced
contaminants, particulates from cooking equipment, dust, off-gassing from consumer products,
and other contaminants remain unmonitored from conventional thermostats and IAQ sensors. By

not monitoring these additional IAQ contaminants, the building’s ventilation rate may be
misaligned with the required amount. Researchers at NIST, the EU’s IAQSense program, and
various vendors are developing low-cost, stationary IAQ monitors that measure a wide array of
contaminants to replace the expensive portable systems today. BTO should support the
development of these advanced IAQ monitors, and analyze control schemes and techniques to
incorporate the readings with residential and commercial ventilation system to ensure proper
ventilation rates without excess thermal and fan consumption.
7.23 (ID #33) Research strategies to improve ground-source heat pump (GHP) ground-
loop cost and performance; also consider siting, installation, and modeling to reduce costs
(Direct/Enabling)
Geothermal heat pumps (GHP), also known as ground-source heat pumps (GHPs) achieve high
efficiency by utilizing the relatively stable temperatures below the Earth’s surface as a thermal
source and sink. Because the ground maintains a moderate temperature year-round compared to
ambient air, the HP can transfer heat over a smaller temperature difference, raising efficiency in
both the heating and cooling seasons. Despite this inherent efficiency advantage, GHPs have
been limited by their substantial upfront cost premium over other technologies due to custom
design and installation complexity for the site-specific ground-loop. DOE should support the
development of advanced heat exchanger techniques, integrated design and simulation tools,
long-term monitoring of installations, lifecycle energy and cost evaluation tool, and best practice
guides to reduce the cost and uncertainty of GHP systems. Further details on specific initiatives
related to GHPs are contained in BTO GHP R&D Roadmap.
Opportunity: The technology is applicable to all heating and cooling applications for residential
and commercial buildings. This technology is also applicable to all climate regions and building
types, although favored for new construction where landscaping issues are less of a concern, and
suburban/rural areas where the available space is more prevalent. Source energy savings can
reach 25% or more (Goetzler et al. 2012).
7.24 (ID #34) Conduct laboratory and field testing to help determine the associated
energy and non-energy benefits of FDD systems and develop an industry baseline for
measuring performance (Enabling)
Equipment manufacturers, energy management system (EMS) vendors, and service providers
have recently expanded FDD-enabled product offerings, particularly for light-commercial RTUs
and residential split-systems. Uncertainty remains on the best configuration of sensors and
software for FDD systems, and accurate estimates energy and operational savings. BTO and
other organizations have supported the development and market entry of various sensors,
diagnostic strategies, and communications systems for residential, light-commercial, and large-
commercial HVAC systems. To further support the emergence of reliable and energy-saving
FDD systems, BTO should conduct independent, laboratory and field testing of various FDD
strategies to verify the energy savings and other benefits from FDD systems over time. This
testing will help identify minimum requirements for FDD systems to meet energy saving goals,
and can help develop standardized test protocols to demonstrate effective FDD strategies.

7.25 (ID #35) Develop alternative non-solid-state, non-thermally activated HPs with
suitable efficiency, cost, and performance compared to next generation HVAC equipment
(Direct)
While vapor-compression systems have been the dominant space cooling technology for close to
100 years, the conventional refrigerants used in vapor-compression equipment contribute to
global climate change when released to the atmosphere. The anticipated commitment to reduce
Hydrofluorocarbon (HFC) consumption has stimulated interest in alternative refrigerants with
low-GWP, but many of these alternative refrigerants potentially trade a GWP advantage for
disadvantages related to toxicity, flammability, lower efficiency, and/or increased equipment
cost. Various non-vapor-compression cooling cycles exist that use electrical energy to alter a
working material’s phase or other properties to pump heat, including: thermoelastic, membrane
HPs, evaporative cooling, and others. These alternative cycles offer the potential for significant
energy savings over current and future vapor-compression systems
Recent laboratory experimentation and theoretical analyses into these non-solid-state, non-
thermally activated cycles suggest the potential for high efficiency in space-conditioning
applications, but each requires further demonstration before consideration as a viable alternative
to vapor-compression technology. BTO has supported several of these technologies at various
stages in their design cycle, from early stage materials research, to laboratory experimentation,
and even prototype design for limited applications. BTO should continue to support prototype
development and demonstration for the most promising applications to not only benchmark
performance against conventional systems, but to also find areas for future improvement.
Opportunity: Technically applicable to all cooling (and potentially heating) applications for
residential and commercial buildings in all climate regions. Depending on the baseline system,
source energy savings of 25% and greater (Goetzler et al. 2014)
7.26 (ID #36) Develop a waste heat recovery engine, for power, to capture excess heat
from condensing units or from furnaces including thermoelectrics, organic Rankine cycle
and other generating processes/technologies (Direct)
Both fuel-fired heating and vapor-compression cooling equipment generate and then reject
excess heat, typically to outside air. While products exist to capture this waste energy to preheat
service water (e.g., a desuperheater), the waste heat often exceeds what can be used on-site in a
given time period or economically stored. Certain industrial and transportation applications have
utilized organic-Rankine cycles, thermoelectric generators, and other recovery systems to
generate electrical energy from the wasted heat energy. Because this generated power can offset
grid-purchased electricity throughout the building or be sent to the utility’s grid in a net-metering
configuration, heat-to-electricity recovery systems offer greater flexibility.
HVAC systems generate large amounts of waste heat; however, current heat-recovery
technologies require significantly larger temperature differences than those produced by space
conditioning equipment. Even in optimal situations, the recovery efficiency of current heat-to-
electricity systems is generally low, especially compared to thermal recovery systems. If current
research efforts in the industrial and transportation sectors improve the efficiency, cost, and
performance of low temperature heat recovery systems, BTO should investigate their potential
for HVAC systems through analytical and laboratory research.

Opportunity: The technology is applicable to all fuel-fired heating and vapor-compression

cooling for residential and commercial systems. Energy savings is low due to low temperature
differences – 10–20% max, but most likely 5% (Kumar et al. 2013).
7.27 (ID #37) Develop reliable economizers for packaged air handlers and dedicated
outdoor air systems (Direct)
In light commercial rooftop A/Cs, economizers modulate the amount of outside air that enters
the building for both ventilation control and space cooling when conditions permit. While RTUs
using this feature can achieve significant energy savings, field studies have shown that
economizer sensors, controls, linkages, etc. commonly malfunction and fail, reducing the energy
savings benefit, or even increasing consumption due to excess ventilation. To address this issue,
California Title 24 building codes and other standards have developed warranty, reliability,
FDD, and other requirements to reduce the likelihood of economizer malfunction. BTO should
support efforts to improve the reliability and effectiveness of air-side economizers for packaged
HVAC systems by developing more robust economizer components, incorporating guidelines
into high performance equipment specifications, and performing field demonstrations to
demonstrate the improvements.
Opportunity: The technology is applicable to light commercial packaged HVAC equipment

with savings of 10% or greater due to fixing the malfunctioning units (Goetzler et al. 2011).
7.28 (ID #38) Develop a universal communication port to facilitate technician interaction
on-board monitoring and FDD systems for unitary HVAC systems (Enabling)
For unitary HVAC equipment, on-board diagnostic systems can communicate increased energy
consumption, improper cycling, and other faults to building owners or contractors, signaling the
need for equipment maintenance. Because building operators commonly have different
equipment and components from several manufacturers, a universal communications port on
unitary equipment could allow technicians to review the faults of all equipment, regardless of
make. Functioning much like the diagnostics port of automobiles, the technician would connect
an electronic device to the unit’s communications port and have a full readout of the system
status, fault log, and other information. BTO should support the development of standardized
communication port for FDD of unitary HVAC equipment by identifying the required features,
capabilities, and components, working with industry groups to develop standards, developing
prototype systems, and performing field demonstrations.
7.29 (ID #39) Provide easy-to-use design guides that focus on systems-level approach to
HVAC sizing/design (Enabling)
High performance buildings require careful planning to coordinate the various subsystems that
contribute to an efficient and effective indoor environment. Rather than isolating different
building loads and subsystems during the design phase, building designers can anticipate future
operational problems and discover efficiencies by incorporating a systems- or building-level
approach to HVAC sizing and design. For example, considering the equipment size and location
of central A/C, dehumidifiers, ERVs, kitchen and bathroom exhaust systems, HPWHs, and other

equipment can avoid excessive envelope penetrations, multiple duct runs, oversized equipment,
poor IAQ, and other issues. DOE should support the development of easy-to-use design guides
that focus on a systems-level approach for residential and commercial HVAC systems by
leveraging building science research as part of Building America and other programs, and
coordinating with various industry groups.
7.30 (ID #40) Develop improved aerosol duct sealing materials, application systems, and
methods (Direct)
Aerosol duct sealing reduces the common issue of air leakage in residential and light-commercial
ductwork by introducing an aerosol spray into the ducts, which then builds up on cracks and
holes as it tries to escape through leaks. Originally developed at LBNL, aerosol duct sealing is
now available nationwide and has reduced leakage in over 100,000 homes. Nevertheless, the
process still takes considerable time and potential benefits are somewhat uncertain until after
application. Developing advanced diagnostic techniques, more expedient application times, and
strategies to remediate larger sized holes would improve this technology’s value proposition to
consumers and subsequent national energy savings. BTO should continue to support this
technology by developing improved sealing materials, application systems, diagnostic methods,
and other strategies that can help reduce the time and cost of application while improving the
capabilities of the aerosol duct sealing process for larger and more complex applications.
Opportunity: The technology is applicable to residential and commercial buildings with an

estimated 10% energy savings potential (Goetzler et al. 2011).
7.31 (ID #41) Develop a low-cost, open-source continuous commissioning tool that
facilitates data availability to show its benefits for building managers and others
(Enabling)
During the course of normal operations, building systems commonly lose efficiency and
performance as HVAC equipment requires maintenance, control schedules and set-points are
adjusted and operating conditions change. While certain issues are readily identifiable, many
causes of inefficiency are more subtle and can linger for long periods of time before
identification. Continuous or ongoing commissioning software benchmarks the performance of
HVAC and other building systems to identify potential faults, and direct maintenance to restore
efficiency. While multiple vendors offer ongoing commissioning services for larger buildings,
light commercial and residential buildings could also benefit from the technology as part of an
automated FDD system. BTO should support the development of an ongoing commissioning
dashboard that utilizes the information gathered by smart meters and the FDD systems of HVAC
equipment to benchmark energy use and runtime against predictive consumption based on
weather, past history, and other information sources.
systems and can help achieve 10–15% savings (Goetzler et al. 2011).

7.32 (ID #42) Develop metrics and test procedures for non-vapor=compression
technologies that account for distinct benefits unrecognized in current test procedures for
conventional equipment (Enabling)
Several non-vapor-compression technologies show promise as viable alternatives to vapor-
compression-based systems. While these systems can provide energy savings, they also offer
many non-energy benefits, some of which are as important as or more important than HVAC
energy savings alone. When supporting the development of non-vapor-compression
technologies, BTO should develop test procedures and rating schemes to better quantify the
value of non-energy benefits during laboratory and field testing and compare the performance for
conventional and non-vapor-compression systems. This initiative may increase in attractiveness
over time assuming non-vapor-compression HVAC technologies come closer to
commercialization.
7.33 (ID #43) Develop, test, and demonstrate optimized predictive scheduling and control
systems to determine the associated energy and performance benefits (Direct)
Control strategies for HVAC systems typically combine reactive and scheduled approaches to
information from sensors or building operators. Equipment manufacturers, software and control
vendors, and other service providers have developed strategies to improve the performance and
efficiency of HVAC systems by using historical data, weather forecasts, utility pricing, and other
information sources to optimize equipment scheduling. BTO should conduct an analysis of these
various predictive control techniques to understand the associated energy, cost, and performance
benefits through simulation analysis, documenting case studies, and other initiatives to provide
independent verification for residential and commercial buildings building operators.
Opportunity: The technology is applicable to residential and commercial buildings with savings
of approximately 10% (Goetzler et al. 2012).
7.34 (ID #44) Develop simple and straightforward modeling tools focused on contractor
usability to improve building and system design (Enabling)
Contractors utilize several tools to properly size and design residential HVAC systems, such as
ACCA Manual J or S, and to develop energy and cost estimates for baseline and high efficiency
equipment. While recommended as part of best practices, these tools are often difficult to use at
the customer site due to their length and complexity. This encourages contractors to make
approximations to quickly provide recommendations to customers. Additionally, without a full
energy and economic analysis for their home, the customer is hesitant to purchase higher
efficiency equipment. BTO should support the development of an independent, simplified, and
streamlined sizing tool and calculator for energy and cost analyses that the contractor can quickly
complete on-site and communicate to the homeowner. In lieu of designing the entire tool, BTO
could also develop a specification or API outlining the assumptions, algorithms, features, etc.
that would provide a standardized methodology for third-parties to then develop the user
interface or incorporate in their offerings to customers.
Opportunity: The technology is applicable to all residential HVAC systems. Energy savings is
10–15% compared to Quality Installation (Goetzler et al. 2012).

7.35 (ID #45) Research the potential benefit of thermoelectrically enhanced subcoolers,
and if promising develop prototype systems (Direct)
By reducing the refrigerant enthalpy after the primary condenser stage, subcoolers increase the
cooling capacity of vapor-compression systems without additional input from the primary
compressor. Because thermoelectric devices have shown to produce low temperature lifts at
relatively high efficiency, a subcooler using one or more thermoelectric coolers could provide
additional capacity with only a minor increase in energy consumption (or potentially no
consumption if using thermoelectric energy harvesting), and improve system efficiency. While
research suggests this concept may be possible, challenges remain to create an efficient, reliable
and cost-effective subcooler with thermoelectric materials. BTO should support research to
investigate the potential for thermoelectric subcoolers and develop prototypes for testing;
particularly those who could utilize waste heat sources, such as the compressor case.
Opportunity: The technology is applicable to residential and light-commercial A/C and HP

equipment with project savings of 9% (Goetzler et al. 2012).
7.36 (ID #46) Characterize the ventilation and humidity requirements in tightly sealed
buildings and investigate solutions involving automated exhaust fans in bathrooms and
kitchens (Enabling)
High performance buildings specify tight building envelopes to reduce the infiltration of outside
air to reduce space heating and cooling loads. While this strategy improves energy efficiency of
the building, IAQ can deviate from recommended conditions without a properly designed and
operating ventilation system to regulate the inlet and exhaust airflows. Kitchens and bathrooms
are two key sources of humidity, smoke, and other indoor pollutants that can lead to poor IAQ
for occupants. Kitchen and bathroom exhaust manufacturers have developed ventilation systems,
which automatically detect motion or humidity and then activate the exhaust fan. BTO has
supported research and best practices around humidity control in high performance buildings
through Building America and other programs. As part of these programs, BTO should
investigate the potential benefits of automated exhaust fans for bathrooms and kitchens through
simulation modeling, laboratory testing, and field demonstrations. If the results are promising,
the results should be disseminated amongst the building industry and incorporated into high
performance building specifications and standards.
Opportunity: The technology is applicable to exhaust and ventilation systems for residential and
commercial kitchens and bathrooms. Most buildings will have minimal savings, though larger
opportunity may exist in commercial kitchen ventilation systems.
7.37 (ID #47) Develop occupant monitoring algorithms, set-points, and occupancy-based
controls for controls by HVAC and other systems (Direct)
When configured and operated correctly, programmable thermostats reduce space conditioning
energy consumption by raising or lowering temperature settings when building occupants are
away. While matching HVAC operations to occupant activity in the building could offer energy
savings, programmable thermostats have proven less than effective at achieving such control due
to poor usability and misconceptions. To achieve this type of control, next generation
thermostats and DCV systems attempt to monitor building activities through passive or
automated systems such as motion detectors, CO2 sensors, or smartphone location tracking.
BTO has supported the development of advanced occupancy sensors at NREL with the Image

Processing Occupancy Sensor (IPOS). BTO should investigate the benefits of different
automated and predictive control strategies through simulation modeling, laboratory study, and
field demonstrations. Additionally, BTO should support efforts to ensure the identity security of
building occupants from such systems through data collection and storage standards, and other
means.
Opportunity: The technology is applicable to residential and commercial buildings with savings
potential of 10% (Goetzler et al. 2012).
7.38 (ID #48) Develop thermal storage systems using cost-effective PCMs that activate at
lower temperatures (Direct)
Thermal energy storage systems that use the latent heat of PCMs can help buffer daily
temperature cycles for buildings. For example, PCMs integrated with building components (e.g.,
PCMs in drywall) can absorb thermal energy during the day without temperature change when
melting, and then release that heat energy at night in the presence of cooler temperatures.
Through this process, the A/C system operates less, particularly during the daytime when high
ambient temperatures decrease efficiency and demand and/or ToU rates increase cooling costs.
In recent years, BTO conducted simulation analyses by ORNL, NREL, and others into new
PCMs for building envelopes and have supported several research projects to develop high-
storage capacity and low-cost products. BTO should continue to support PCMs for integration
with building envelope components through materials research and field demonstrations, and if
promising, investigate the potential for further integration with HVAC systems.
Opportunity: The technology is applicable to residential and commercial buildings with 5–10%
projected energy savings and greater cost savings (Kosny et al. 2013).
7.39 (ID #49) Develop lower cost, solar ventilation preheating systems for both wall and
roof applications (Direct)
Solar ventilation preheating systems utilize transpired metal panels to capture and transfer
thermal energy to air entering the ventilation system, raising its temperature. For buildings in
cold-climates with large, south facing walls or roofs, solar ventilation preheating reduces the
energy required to condition outside air for ventilation with only a minor increase in fan
electricity consumption. The panels connect to either a packaged RTU or separate ventilation
system that can supply additional heating capacity when required. In recent years, some solar PV
manufacturers have started offering combined solar PV and thermal collectors (PV/T) such that
the heat captured and generated by the solar PV panel provides the outdoor air preheating. DOE
has supported the deployment of these systems through NREL and FEMP through field
demonstrations and reporting on best practices. BTO should support the development of lower
cost solar ventilation preheating systems, particularly PV/T collectors that more readily install
with packaged HVAC systems.
Opportunity: The technology is applicable to residential and commercial ventilation heating.

Estimated savings of 15–25% for heating (Goetzler et al. 2011).

7.40 (ID #50) Conduct teardown analysis to identify size/weight saving opportunities for
packaged rooftop HVAC systems, and develop lighter-weight prototype systems (Enabling)
To achieve high efficiency performance, light-commercial RTUs typically require larger heat
exchangers, which increases the weight and footprint compared to baseline equipment. For
replacement applications, the contractor must consider the additional structural support, a new
mounting curb, and changes to existing ductwork to accommodate the new, larger unit. The
increased equipment size and weight can add cost and complexity to the installation and may
pose a barrier to high efficiency RTU retrofits. DOE should reduce these operational barriers to
high-efficiency RTUs by analyzing current RTU designs to identify size/weight saving
opportunities, developing lighter weight components, and supporting industry collaboration to
standardize RTU curb dimensions for various capacities.
Opportunity: The technology is applicable to all light commercial packaged A/C and HPs.
7.41 (ID #51) Develop a hybrid adsorption-vapor-compression HP storage unit to

capture waste heat from the cycle via latent heat of evaporation from a water/zeolite
mixture (Direct)
Adsorption HPs utilize porous materials that adsorb, or capture, a vapor refrigerant either on
their surface or within their structure to drive a cooling cycle. When heated, these materials
release the vapor at high pressure and temperature, then are cooled to accept refrigerant again.
This non-continuous process of adsorption and desorption can replace an electrically driven
compressor in a heat-pump cycle, or serve as a thermal battery to supplement conventional
HVAC systems. When placed in a vacuum chamber with a water source, a dry zeolite material
adsorbs or bonds with available water vapor, leads to further evaporation of the liquid water,
producing a cooling effect until all the zeolite is saturated. In addition to generating usable
cooling, heat is released as the zeolite bonds with the water. Heating the zeolite releases the
water vapor, which can then be condensed and stored to repeat the cycle again.
This adsorption system can act as a thermal battery by heating the zeolite using lower-cost heat,
and then generating usable heating or cooling by introducing water to the zeolite chamber at a
later time. Depending on the temperature, available heat sources from HVAC, renewable, or
other building systems could provide the regenerative heating to charge the thermal battery and
could then provide space cooling or heating during peak hours. DOE, through the ARPA-e
program, has supported the development of adsorption thermal storage for climate control
systems in electric vehicles. While the thermal efficiency of adsorption systems is low compared
to vapor-compression, utilizing waste or low-cost heat sources could economically offset peak
HVAC demand without compromising thermal comfort. BTO should investigate the potential for
adsorption and other thermal storage systems when integrated into building HVAC systems.
Opportunity: The technology is applicable to all residential and commercial HVAC systems. It
has limited direct savings potential, mostly for peak demand benefits. Could offer savings if
capturing waste heat.
7.42 (ID #52) Develop solid-state cooling systems (Direct)

Magnetocaloric, thermoelectric, and other solid-state cooling systems could provide efficient and
cost-effective space cooling without the use of HFC refrigerants if the size, cost, weight, and
performance of the specialized materials improves. DOE has supported this research through

several projects including prototype development of a window A/C unit at Ames National
Laboratory under the ARPA-e Building Energy Efficiency through Innovative Thermodevices
(BEETIT) grant program, refrigerator development with ORNL and GE, HPWH research with
Sheetak Inc., and other projects. To address these challenges, DOE should continue to support
research into identifying new materials that will produce a higher temperature lift at suitable
efficiency, designing advanced regenerators and heat exchangers, and other techniques to reduce
the size, and ultimately cost, of the solid-state cooling plants and their accompanying systems.
Opportunity: This technology is potentially applicable to all heating and cooling applications in
all climate regions. Estimated savings of 20% or greater (Goetzler et al. 2014).
7.43 (ID #53) Develop a customer-focused energy dashboard to demonstrate energy

consumption and economic data from smart meters (Enabling)
As more utilities upgrade their electric metering infrastructure to digital smart meters, consumers
can access their energy consumption data on an hourly, daily, and weekly level as opposed to the
traditional monthly total. The utility industry, with support of DOE, has developed initiatives
such as Green Button and Apps for Energy challenge to download, analyze, and visualize
customer utility data in an easy-to-use and actionable format. BTO should continue to support
the development of smart meter data visualization and analysis tools, such as energy dashboards
for multiple computing platforms and devices, so that consumers can better understand their
usage and how best to achieve energy and cost savings.
systems.
7.44 (ID #54) Develop low-cost chilled water storage systems (Direct)
For decades, large commercial buildings have utilized chilled water or ice thermal storage
systems to reduce electrical demand from chillers during peak hours by generating thermal
energy during the night. These thermal energy storage systems provide economic benefits to the
building owner by using lower cost off-peak electricity and reducing monthly peak demand
charges, reducing the required equipment capacity, and minimizing their net energy consumption
by operating equipment during the cooler ambient temperatures during nighttime hours. While
this technology is commercially available and in use for some district energy systems and large
buildings, technology advances to reduce the cost and size could lead to wider application of
thermal energy storage systems. BTO should support the development of advanced chilled-water
and ice storage systems through materials and design advancements to increase volumetric
storage capacity, reduce thermal losses, and creative integration methods with building
architectures, especially for retrofits.
Opportunity: The technology is applicable to large commercial chilled water systems. Energy
savings potential is expected to be 0–5%; however, peak demand reductions may reach 12–25%.
Additional economic benefit can come from reduced capacity requirements (Goetzler et al.
2011).

7.45 (ID #55) Develop thermochemical energy storage systems (Direct)

Thermochemical energy storage systems utilize specialized fluids that can undergo a reverse
chemical reaction to disassociate into two chemicals under an applied thermal source and then
release the stored heat once recombined at a later time. Compared to other forms of energy
storage such as chilled-water or ice, thermochemical systems have a high storage density and
virtually unlimited storage duration making them attractive for seasonal energy storage with low-
cost waste or solar thermal energy. While not commercially available, BTO and other
researchers in the EU, Australia, and other countries are developing the technology for
integration with large-scale solar thermal power systems. BTO should monitor the development
of thermochemical energy storage systems for solar thermal power applications, and if
promising, adapt the technologies for use in building HVAC systems.
Opportunity: The technology is applicable to large commercial chilled water and hot water
systems with the potential for 0–5% of overall usage but could capture waste or solar heat
(Goetzler et al. 2011).
7.46 (ID #56) Investigate strategies to reduce refrigerant leakage for new and existing
equipment, and support development of HPs with lower refrigerant requirements (Direct)
Refrigerant leaks, common in most vapor-compression equipment over time, not only greatly
reduce system capacity and efficiency, but also have detrimental effects on the environment.
While this issue is most pressing for large commercial A/C and refrigeration systems, residential
equipment also experiences these problems. Researchers and industry experts have developed
techniques to mitigate refrigerant leakage in existing equipment through automated FDD systems
to identify leakage quickly, as well as advanced tools for technicians to identify and repair leaks
in the system. DOE should support the development and promotion of FDD systems that can
identify refrigerant leakage for residential and commercial equipment, and support research into
HP technologies and system architectures that reduce the amount of refrigerant in new
equipment through the use of secondary loops or other strategies.
Opportunity: The technology is applicable to all residential and commercial vapor-compression

heating and cooling technologies with savings of 5–15% by reducing refrigerant leakage
(Goetzler et al. 2012).
7.47 (ID #57) Develop efficient dry-cooling techniques to replace large evaporative
condensers for water savings (Direct)
Large commercial buildings commonly use evaporative cooling towers to remove heat from
compressed refrigerant in chilled-water systems. While air-cooled chillers are available at low-
to-moderate capacities, buildings with large chillers benefit from smaller space requirements and
lower electricity usage, but subsequently tradeoff lower on-site energy use to larger water
consumption. For many areas of the U.S., water is becoming both an increasingly valuable and
energy-intensive resource, such that the economics and national impact of wet-cooling towers is
changing. While this issue is important for HVAC systems, DOE through ARPA-e, several
national labs, and in partnership with Electric Power Research Institute (EPRI) and other
organizations, has supported the development of advanced dry-cooling or water-saving measures
for thermal power plant heat rejection. Nevertheless, the technologies developed for large
applications can impact how large chilled-water cooling systems operate. BTO should monitor
the development of alternative power plant cooling technologies, and if certain technologies have

applicability for HVAC systems, support their development to replaced evaporative cooling
towers for chillers.
Opportunity: The technology is applicable to large chilled water systems using evaporative
cooling towers. The savings is primarily in water consumption. Little energy savings is
expected.
References
Goetzler et al. 2011. “Energy Savings Potential and RD&D Opportunities for Commercial
Building HVAC Systems.” Prepared for U.S. Department of Energy, Office of Energy Efficiency
and Renewable Energy, Building Technologies Program. September 2011.
Goetzler et al., 2012. “Energy Savings Potential and RD&D Opportunities for Residential
Building HVAC Systems.” Prepared for U.S. Department of Energy, Office of Energy Efficiency
and Renewable Energy, Building Technologies Office. September 2012.
Goetzler et al. 2014. “Energy Savings Potential and RD&D Opportunities for Non-Vapor-
Compression HVAC Technologies.” Prepared for U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office. March 2014.
Hagerman, Joseph. 2014. “S&C Peer Review.” April 24th, 2014.
Kulkarni et al. 2007. “Comparison of Heat Transfer and Fluid Dynamic Performance of
Nanofluids.” University of Alaska Fairbanks. 2007.
Kumar et al. 2013. “Thermoelectric Generators for Automotive Waste Heat Recovery Systems
Part II: Parametric Evaluation and Topological Studies.” March 5, 2013.
Kosny et al. 2013. “Cost Analysis of Simple Phase Change Material-Enhanced Building
Envelopes in Southern U.S. Climates.” Fraunhofer CSE. January 2013.
Sookoor et al. 2012. “Feasibility of Retrofitting Centralized HVAC Systems for Room-Level
Zoning.” University of Virginia. 2012.
Zhang, Dr. Hui. 2012.” Personal Comfort Systems: Cooling/Heating Local Body Parts Efficient
Ways to Provide Comfort Indoors.” October 9, 2012. http://vimeo.com/51536661.

8 Appendix D – Tier 3 Initiatives

Table 8-1 lists each of the Tier 3 HVAC initiatives identified during the roadmap development
process. As discussed in Section 2.3, above, Tier 3 initiatives were identified early in the process
based on a first filtering of the complete list of initiatives.
Table 8-1: Tier Three Initiatives
Direct/
ID Activity/Initiative Topic
Enabling
Develop low-cost, high-reliability wireless sensors for use in

58 Enabling residential and commercial applications for FDD, zoning, sub-
metering, etc.
Perform research to evaluate alternative refrigerants that

59 Enabling maintain equivalent or better performance (split system
focus)
Develop a dehumidification system that can utilize the

60 Direct condensed water vapor on-site, for evaporative condenser
make-up water, evaporative cooling, others.
Develop a single-compressor, integrated building system all-

61 Direct in-one appliance that is built into a single pre-fab energy wall
(focus on the multi-family residential sector)
Perform economic research into the utility program
paradigm where high efficiency is often barely above
baseline; consider evaluation of efficiency over a wide
62 Enabling
operating range and how to minimize fixing old, outdated
equipment in lieu of installing high efficiency new
equipment.
Develop smart, variable speed equipment or other strategies
63 Direct to improve low-load performance (focus on high efficiencies
at low capacities)
Support development of optimized components for

64 Direct
alternative refrigerant systems
Research the potential for incorporating Building Integrated

HVAC Systems (GHP foundations, evaporative roof cooling,
photonic Stanford system, TE cooling panels, swimming pool,
65 Direct
large-scale outdoor heat exchangers into building
architecture, especially away from the sun (e.g., north side
condensers))
Appendix D – Tier 3 Initiatives 115

Direct/
Enabling
Develop products and/or strategies to reduce the pressure

66 Direct drop in ducts, pipes, ERV, and other distribution
components.
Perform research and characterize the portion of air leakage

67 Enabling in common components, and specify low-leakage
components
Develop a top-level analysis tool to provide building

68 Enabling managers a prioritized set of faults and hierarchy of concerns
as they relate to efficiency, they can then adjust accordingly
Conduct research to characterize customer tolerance for

69 Enabling
sensor accuracy, drift, response rate, usability, etc.
Develop low-cost sub-metering with intelligent feedback to

70 Enabling
operators
Develop a set of controls and FDD alarms that show variable

71 Enabling
grades of an alarm/fault rather than just on/off
72 Enabling Develop improved modeling tools for DHC systems
Enhance the capabilities of existing building energy modeling

73 Enabling tools to more accurately model the cost and performance of
variable-speed systems
Research improved heat exchanger materials, geometry,

74 Direct surface treatments, etc. including ensuring long-term
optimal performance
75 Enabling Revisit ventilation rate guidelines
Perform basic R&D on fans and pump efficiency and the

76 Direct
entire distribution system - Product development focus
Perform research to better understand the tradeoff between

77 Enabling
energy vs. comfort vs. IAQ for HVAC systems

Direct/
Enabling
Perform education outreach on the value of smart meters

78 Enabling
and smart appliances
Develop add-on humidity control package, especially for

79 Direct renovations where original structures were not designed for
airtight seals
Evaluate energy savings from, and pursue development of,

80 Enabling nighttime cooling, heating, and storage capabilities, including
active & passive ventilation, PCMs, & waste heat recovery
Conduct materials research to design motors without rare

81 Enabling
earth metals
Perform laboratory and field research to better understand

82 Enabling
the gap between as-designed and as-installed performance
Conduct research to better understand real world impact of

distribution systems to building energy consumption
83 Enabling
(including improperly designed/installed distribution
systems) - Research focus
Perform research to better understand the ventilation
84 Enabling requirements, energy consumption, and humidity impacts of
tightly sealed, residential buildings
Develop a whole-building residential FDD system that takes a

85 Direct holistic view on sensing and diagnostics, including energy,
comfort, IAQ, performance, etc.
Develop a standardized efficiency metric for home HVAC

86 Enabling systems that is simple and easy for homeowners to
understand; emphasize cost and comfort
Analyze benefits of variable flow over fixed flow for hydronic

87 Enabling
system and develop best practice tools for existing buildings
Develop on-board FDD system for packaged HVAC systems

88 Enabling
that provides automated commissioning for systems
Develop standardized usability metrics for measuring the

89 Enabling
effectiveness of HVAC system interfaces
Appendix D – Tier 3 Initiatives 117

Direct/
Enabling
Develop retrofit controllers for packaged RTUs that

90 Direct incorporate several advanced control techniques (e.g., DCV,
VFDs, pre-conditioning, load shifting, etc.)
Demonstrate and promote hybrid fuel-electric HPs for cold

91 Direct
regions

For more information, visit: buildings.energy.gov
DOE/EE-1145 • October 2014

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Research & Development Roadmap

for Emerging HVAC Technologies

W. Goetzler, M. Guernsey, and J. Young

Prepared by Navigant Consulting, Inc.

This report was prepared as an account of work sponsored by an agency of the

Available electronically at http://www.osti.gov/home/

A/C Air Conditioner or Air Conditioning

IAQ Indoor Air Quality

Executive Summary vii

Table ES-1: Priority Direct-Impact HVAC R&D Initiatives

Develop a direct-current (DC)-powered HVAC system to utilize DC power from

Develop techniques to raise heat pump performance (all fuels) at low-ambient

Develop electrochemical compression systems

Develop methods, technologies, and other innovations to easily integrate

Investigate new absorption pairs, compact heat exchangers, and other

Table ES-2: Priority Enabling HVAC Technology R&D Initiatives

viii Executive Summary

4.3.5 Tier Two Enabling Technology Initiatives ............................................................. 77

Figure 1-1: Building primary energy consumption by end-use

Figure 1-2: BTO emerging-technology-enabled energy savings targets

As defined in its Multi-Year Work Plan, BTO’s mission is to:

Develop and promote efficient and affordable, environmentally friendly,

1.2 BTO HVAC Research and Development (R&D) Approach

Figure 1-3: BTO overall approach by group function

Figure 1-4: BTO approach to HVAC R&D

In achieving those objectives, BTO sees four leading themes:

1.2.1 BTO Emerging Technologies Goals in HVAC

1.2.2 Space Cooling

Table 1-1: Recent BTO R&D Activities on Space Cooling Technologies

Project Description / Objective [Project Lead(s)]

1.2.3 Space Heating

Table 1-2: Recent BTO R&D Activities on Heating Technologies

Project Description / Objective [Project Lead(s)]

Project Description / Objective [Project Lead(s)]

1.2.4 Integrated Water Heating and Space Conditioning Systems

Table 1-3: Recent BTO R&D Activities on Integrated Technologies

Project Description / Objective [Project Lead(s)]

Project Description / Objective [Project Lead(s)]

Develop a ground-source integrated heat pump that provides 55% to 65%

Accelerate GHP deployment by developing and identifying new technologies

1.2.5 Cross Cutting

Table 1-4: Recent BTO R&D Cross-Cutting and Related Activities

Project Description/Objective [Project Lead(s)]

This project will design and build prototypes of miniaturized air-to-refrigerant

Project Description/Objective [Project Lead(s)]

Project Description/Objective [Project Lead(s)]

1.3 Technology and Market Scope

Figure 1-11: HVAC roadmap technology scope (not exhaustive)

In supporting development and commercialization of these technologies, BTO focuses their

1.4 Objective of This Roadmap

Figure 2-1: Roadmap development stages

2.1 Stage 1: Characterize Current R&D, Markets, and Objectives

2.2 Stage 2: Identify Technologies

2.3 Stage 3: Prioritize Initiatives

Figure 2-2: Prioritization process steps