This article was published in ASHRAE Journal, February 2011.

Copyright 2011 American Society of Heating, Refrigerating and Air-Conditioning

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EMERGING TECHNOLOGIES

AC Capacity Modulation
By John Dieckmann, Member ASHRAE; James Brodrick, Ph.D., Member ASHRAE

ir-conditioning systems are usually specified with enough cooling

capacity to meet a maximum, or near maximum, design space

cooling load. It is common for systems to be specified with excess capacity to allow for discrepancies between as-built and as-designed.
This ensures that the cooling load will be met under the worst case
conditions. In most applications, over a full air-conditioning season, the
actual cooling load reaches the design load only a fraction of the time.

For example, Table 1 (Page 72) summarizes the distribution of cooling hours
in the cooling season outdoor temperature
bins that are used in the U.S. Department
of Energy (DOE) energy test procedure
for residential central air conditioners.1
This distribution is intended to be broadly
representative of the U.S. climate.
The associated cooling load in each
temperature bin as a fraction of the rated
cooling capacity is tabulated in the fourth
column of the table.
While this is based on the oversimplif ied assumption that the cooling
load varies linearly with the difference
between the outdoor dry-bulb temperature and 65F (18C) (neglecting the
effect of variations in solar loading,
outdoor humidity, and other factors),
the cooling load is 50% or less of the
rated cooling capacity for 80% of the
cooling season.
The air-conditioning system cannot be
allowed to run continuously at full capacity when the load is less than design. If it
did run continuously at full capacity, the
conditioned space would be overcooled
and a significant amount of energy would
be wasted.
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The simplest way to reconcile the difference between cooling capacity and the
instantaneous cooling load is on-off control, the method used in a majority of the
residential air conditioners used in the U.S.
A thermostat in the space cycles the
air-conditioning system on and off as the
space temperature cycles above and below the setpoint over a small dead band.
An alternative approach is to modulate
the cooling capacity so it matches the
instantaneous cooling load, running the
air-conditioning system continuously at
the modulated capacity.
In larger capacity air-conditioning systems, some form of capacity modulation is
commonplace. Benefits of operating with
capacity modulation include improved
energy efficiency, steady control of space
temperature, better control of relative humidity, and elimination of the large in-rush
currents associated with frequent starting
of large compressor drive motors.
The June 2010 Emerging Technologies column discusses some methods
for compressor capacity modulation in
large systems.2 Many of the benefits of
capacity modulation apply to residential
air-conditioning systems as well:
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Improved energy efficiency (assuming

that the compressor efficiency does not fall
significantly as the capacity is reduced);
Steady temperature control; and
Better humidity control.
A variety of capacity modulation
methods are commercially available for
residential capacity air-conditioning
compressors. Two categories are continuously variable capacity modulation and
step-wise (or staged) capacity modulation.
With continuously variable capacity
modulation, the compressor can deliver
any capacity from the design capacity
down to a minimum capacity. With stepwise modulation, the compressor capacity is reduced in one or more discrete
steps from the maximum capacity.
Two metrics are relevant to the effectiveness of a given approach to capacity
modulation: the efficiency fall-off as the
capacity is reduced and the ratio of maximum to minimum capacity (turndown).

Continuous Capacity Modulation

Two approaches to continuously variable
capacity modulation are commercially
available in residential capacity refrigerant
compressors: variable speed operation of
several common types of refrigerant compressors, and rapid (on a 10 to 30 second
time scale) unloading and loading of a
constant speed scroll compressor.
Variable speed compressors are driven
by electronically synthesized variable frequency electric power, freeing the speed
range from the 60 Hz or 50 Hz speeds
of an induction motor. The drive motor
can be a three-phase induction motor or
a permanent magnet rotor type motor.
Variable speed models of reciprocating, scroll and rotary compressors are all
commercially available. They have been

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Bin No.
j

Bin Temperature Range

(F)

Representative
Bin Temperature Tj (F)

Cooling Load,
Fraction of Rated Capacity

Fraction of Total
Temperature Bin Hours nj/N

6569

67

0.061

0.214

7074

72

0.212

0.231

7579

77

0.364

0.216

8084

82

0.515

0.161

8589

87

0.667

0.104

9094

92

0.818

0.052

9599

97

0.970

0.018

100104

102

1.121

0.004

Table 1: Distribution of fractional hours in temperature bins for calculation of SEER for central air-conditioning units with a twospeed or a variable speed compressor.1
in widespread use for many years in Asia in ductless unitary AC
(mini-splits) and in variable refrigerant flow AC systems.
Typical speed ranges (and turndown ranges) are 3:1 and 4:1,
often with a maximum speed above 60 Hz and 3,600 rpm. The
limiting factor for the minimum speed is generally maintaining
adequate lubrication, with oil pumping failing below a minimum
speed. Over the operating speed range, efficiency tends to be
maintained close to the design speed efficiency.
Rapid loading/unloading of a scroll compressor operates by
venting the axial force balancing pressure, enabling the orbiting
and fixed scrolls to separate by several thousandths of an inch.
Refrigerant vapor compression stops and the motor power drops
to a low (but greater than zero) level. By varying the proportion of
loaded vs. unloaded time, the capacity can be modulated continuously from 100% down to 10%. The nonzero power consumed
when running unloaded is a loss that is relatively insignificant
at moderate turndown, down to 50%. As the capacity is reduced
further, the unloaded power becomes a more significant part of
the total input.

Step-Wise Capacity Modulation

Several methods are used to provide step-wise, or staged,
capacity modulation.
Cylinder Inactivation
A two-cylinder reciprocating compressor is configured so
that both pistons are driven at the full stroke when the rotation
is in one direction. When the rotation direction is reversed,
an eccentric bushing on one of the crank pins rotates 180
and reduces the stroke of one of the pistons to zero, reducing
the capacity to approximately half (depending on the relative
displacement of the two cylinders). The efficiency at reduced
capacity decreases somewhat due to the fall-off of motor efficiency at reduced motor load and the continued dissipation of
friction power in the bearings of the inactive cylinder.
Capacity Reduction Port in a Scroll Compressor
A port can be added partially into the spiral of the stationary
scroll that vents a portion of the trapped refrigerant vapor back
to suction before compression begins. This reduces the built-in
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compression ratio, but since less capacity tends to be needed

at lower outdoor temperatures, the impact on efficiency can be
reasonably small.
Tandem Compressors
A simple way to provide stepped capacity modulation in an
air-conditioning system is to divide the required compressor
capacity between two compressors, with either an equal or
unequal split of capacities. Tandem configurations are arranged
to provide balanced oil return to the two compressors and/or
provide an oil equalization line between the two compressor oil
sumps. The efficiency impact, which applies at both full capacity and half capacity is that in the residential capacity range, the
compressor efficiency of larger compressors is higher by 5% to
10% than that of compressors with half the capacity.
Two-Speed Operation
An alternative to electronically driven, continuously variable
speed is two-speed operation. Half-speed efficiency is approximately 10% less than full-speed efficiency.

Energy Saving Potential

Three primary factors account for the energy savings obtained with capacity modulation: significant reduction of losses
associated with on-off cycling, more efficient use of the heat
exchangers (the condenser and evaporator), and reduced blower
energy consumption.
On-Off Cycling Losses
Several small losses are incurred when cycling the air-conditioning system on and off. Depending on the system configuration, these can include motor starting power, refrigerant charge
bleeding from the high to low side, reevaporation of moisture
from the evaporator coil surface, and the initial delivery of
warm, moist air when restarting, before the evaporator cools
back down to the steady-state operating temperature.
Effective Use of Heat Exchangers
Continuous operation of cooling equipment at reduced capacity, instead of on-off operation at full capacity, results in less
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Reduced Blower Power

When the cooling capacity is reduced, the indoor airflow rate
can be reduced as well, maintaining dehumidification capacity
and reducing blower power by the cube of the flow rate. The
May 2010 Emerging Technologies column discusses the relationship between blower speed, airflow rate and input power.3
Adding capacity modulation (capacity modulated compressor with a variable speed indoor air blower) to a given fixed
capacity residential central air-conditioning system typically
increases the SEER by 30% to 40%. The corresponding energy
savings are 20% to 30%. Residential space cooling consumes

Condenser (On-Off)

Condenser (Continuous at Half Capacity)

100
90
80
Temperature, F

temperature lift, and hence increased compressor COP, as shown

in Figure 1. In this case, where 50% of the design capacity is
needed, operating in on-off mode results in the condensing and
evaporating temperatures being close to the level they would be
if running continuously at full capacity. During the off cycle, the
heat transfer capacity of the heat exchangers is unused. When
running continuously at 50% of capacity, the difference between
the condensing temperature and the outdoor temperature will be
only half of the difference at full capacity, significantly raising
the EER of the compressor. The evaporator temperature will
be higher as well, even as the indoor airflow rate is reduced to
maintain dehumidification capacity and to save blower power.

70
60
50
40
30

Evaporator (On-Off)
0

Evaporator (Continuous at Half Capacity)

0.5

1
Time, Hours

1.5

Figure 1: Continuous vs. on-off operation of cooling equipment.

2.48 quads of primary energy per year.4 Approximately 87% of
this is consumed by central air-conditioning systems and heat
pumps in cooling mode, with the balance consumed by room air
conditioners.5 If all of the central air conditioners were replaced
with high-SEER, capacity-modulated air conditioners, approximately 0.6 quads of primary energy would be saved annually.

Market Factors
Sales of high-SEER, capacity modulated air conditioners are
a small portion of residential central air conditioner sales and a
negligible portion of room air conditioner sales in the U.S. The
first-cost premium is the primary reason. The higher installed
cost is due to the additional costs of the capacity modulated
compressor, the variable speed indoor blower motor, and the
more sophisticated control system needed to determine the
correct capacity at any point in time. Faster payback will occur
in warmer climates with longer cooling seasons and with heat
pumps. However, in many of the warmer parts of the U.S., electric
rates are lower than the national average.
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References
1. 10 CFR Part 430, Subpart B, Appendix M, Uniform Test Method
for Measuring the Energy Consumption of Central Air Conditioners.
http://tinyurl.com/10CFR-B-M.
2. Dieckmann, J., et al. 2010. VFDs for large chillers: large energy
savings per installation. ASHRAE Journal 52(6): 58 62.
3. Dieckmann, J., K. McKenney, and J. Brodrick. 2010. Variable frequency drives, Part 2: VFDs for blowers. ASHRAE Journal 52(5): 58 62.
4. DOE. 2010. Building Energy Data Book, Table 2.1.6: Residential
Energy End-Use Splits, by Fuel Type (Quadrillion Btu). http://tinyurl.
com/table216.
5. U.S. Department of Energy, Energy Information Administration,
2005 Residential Energy Consumption Survey. Table AC2: Total
Consumption for Air Conditioning by Equipment Type. http://tinyurl.
com/EIA-AC2.

John Dieckmann is a director in the Mechanical Systems

Group of TIAX LLC, Cambridge, Mass. James Brodrick, Ph.D.,
is a project manager with the Building Technologies Program,
U.S. Department of Energy, Washington, D.C.
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February 2011