APPENDIX 10A. USER INSTRUCTIONS FOR SHIPMENTS AND NIA 

SPREADSHEETS
 

TABLE OF CONTENTS
 

10A.1 INTRODUCTION ................................................................................................ 10A-1
 

10A.2 INDIVIDUAL WORKSHEETS ........................................................................... 10A-1
 

10A.3 BASIC INSTRUCTIONS..................................................................................... 10A-5
 

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APPENDIX 10A. USER INSTRUCTIONS FOR SHIPMENTS AND NIA 

SPREADSHEETS
 

10A.1 INTRODUCTION 

The results obtained for the shipments analysis and the national impact analysis (NIA) 

can be examined and reproduced using the Microsoft Excel spreadsheet available on the U.S. 

Department of Energy Building Technologies website 

at: http://www1.eere.energy.gov/buildings/appliance_standards/residential/central_ac_hp.html. 

There is one NIA spreadsheet covering the four primary product classes: split system 

central air conditioners (CAC), single package CACs, split system heat pumps (HP), single 

package HPs. The spreadsheet is posted on the DOE website represents the latest version and 

has been tested with Microsoft Excel 2003. 

To execute the spreadsheet requires Microsoft Excel 2003 or a later version. The NIA 

spreadsheet performs calculations to forecast the change in national energy use and net present 

value due to an energy conservation standard. The energy use and associated costs for a given 

standard are determined first by calculating the shipments and then calculating the energy use 

and costs for all equipment shipped under that standard. The differences between the standards 

and base cases can then be compared and the overall energy savings and present values 

determined. 

10A.2 INDIVIDUAL WORKSHEETS 

The NIA spreadsheet or workbook consists of the following worksheets: 

User Inputs Contains user input selections for the following: (1) CAC and HP 

market by sector, i.e., percent of annual shipments to residential 

and commercial sectors; (2) CAC and HP market by product type, 

i.e., percent of annual shipments as split systems and single 

package systems; (3) rebound effect, i.e., percent of energy savings 

lost associated with more efficient equipment due to increased 

usage; (4) real discount rates for (a) discounting the future dollar 

value of costs and savings due to standards and (b) future energy 

savings; (5) year in which to discount future costs and savings; (6) 

relative price elasticity (selected from pull-down menu); and (7) 

economic growth scenario based on Annual Energy Outlook 

(AEO) forecast (selected from pull-down menu). 

Summary	 Contains a summary of NIA results for each of the four primary 

product classes. Note that NIA results are presented separately for 

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Energy and Cost Data 

Default Distr. 

Efficiency Dist. 

Fuel Prices 

split system CAC coil only units and split system CAC blower coil 

units. The summary table in the upper left corner of the worksheet 

presents the following for each product class for a specified 

candidate standard level (CSL): (1) national energy savings; (2) 

national energy savings discounted to a specified discount rate; (3) 

discounted national incremental equipment (total installed) costs; 

(4) discounted national operating cost savings; and (5) national net 

present value (NPV). The NIA results are presented by region 

(hot-dry, hot-humid, rest of U.S., and entire U.S.) and sector 

(residential and commercial). 

The user can select a CSL by ‘clicking’ on the ‘Select CSL’ button 

in the top right corner of the summary of NIA results table. 

Below the NIA summary table are two pull-down menus for 

selecting the ‘region’ and ‘sector’. Data in the Base Case and 

Standard Case worksheets (explained below) are specific to the 

selected combination of region and sector. Choosing different 

combinations of region and sector does not affect the NIA results 

displayed in the NIA summary table. 

Data and figures to the right of the NIA summary table display 

residential equipment stock saturation data by year, region, and 

product class. 

Contains the per-unit annual energy use and cost data from the lifecycle cost and payback period analysis. All per-unit annual energy 

use and cost data are provided by product class. Within each 

product class, the data are provided by CSL, region, and sector. 

Included as part of the cost data are: (1) total installed costs; (2) 

repair costs; and (3) maintenance costs. 

For each product class, contains the efficiency distributions in the 

year that standards become effective (2016) for the base case and 

each standards case. 

For each product class, contains the shipment-weighted efficiency 

trends, i.e., the forecasted efficiency over time, for the base case 

and each standards case. 

Contains projected average electricity prices for the three AEO 

economic scenarios. Projected prices are provided by region and 

the nation as a whole. 

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Base Case SAC-CO 

Base Case SAC-BC 

Base Case PAC 

Base Case SHP 

For the split system CAC coil only (SAC-CO) product class, 

contains the calculations for determining the shipments, energy 

consumption, and operating costs for the base case. The sheet starts 

with the stock accounting of the equipment and uses the survival 

function to calculate the surviving stock. It then performs 

calculations of replacements, and shipments going into new 

housing. The sheet calculates replacement units, shipments going 

into new units, and shipments going to first time owners (existing 

households that do not already own the product), and aggregates 

them into total shipments. 

For the split system CAC blower coil (SAC-BC) product class, 

contains the calculations for determining the shipments, energy 

consumption, and operating costs for the base case. The sheet starts 

with the stock accounting of the equipment and uses the survival 

function to calculate the surviving stock. It then performs 

calculations of replacements, and shipments going into new 

housing. The sheet calculates replacement units, shipments going 

into new units, and shipments going to first time owners (existing 

households that do not already own the product), and aggregates 

them into total shipments. 

For the single package CAC (PAC) product class, contains the 

calculations for determining the shipments, energy consumption, 

and operating costs for the base case. The sheet starts with the 

stock accounting of the equipment and uses the survival function to 

calculate the surviving stock. It then performs calculations of 

replacements, and shipments going into new housing. The sheet 

calculates replacement units, shipments going into new units, and 

shipments going to first time owners (existing households that do 

not already own the product), and aggregates them into total 

shipments. 

For the split system HP (SHP) product class, contains the 

calculations for determining the shipments, energy consumption, 

and operating costs for the base case. The sheet starts with the 

stock accounting of the equipment and uses the survival function to 

calculate the surviving stock. It then performs calculations of 

replacements, and shipments going into new housing. The sheet 

calculates replacement units, shipments going into new units, and 

shipments going to first time owners (existing households that do 

not already own the product), and aggregates them into total 

shipments. 

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Base Case PHP 

Standards Case SAC-CO 

Standards Case SAC-BC 

Standards Case PAC 

Standards Case SHP 

Standards Case SHP 

For the single package HP (PHP) product class, contains the 

calculations for determining the shipments, energy consumption, 

and operating costs for the base case. The sheet starts with the 

stock accounting of the equipment and uses the survival function to 

calculate the surviving stock. It then performs calculations of 

replacements, and shipments going into new housing. The sheet 

calculates replacement units, shipments going into new units, and 

shipments going to first time owners (existing households that do 

not already own the product), and aggregates them into total 

shipments. 

For the SAC-CO product class, contains stock accounting of the 

equipment that calculates annual shipments estimates, energy 

savings, and operating cost savings for the standards case. The 

energy and cost savings in a single year are the difference between 

the base case energy use and costs and the standard case energy 

use and costs for that year. 

For the SAC-BC product class, contains stock accounting of the 

equipment that calculates annual shipments estimates, energy 

savings, and operating cost savings for the standards case. The 

energy and cost savings in a single year are the difference between 

the base case energy use and costs and the standard case energy 

use and costs for that year. 

For the PAC product class, contains stock accounting of the 

equipment that calculates annual shipments estimates, energy 

savings, and operating cost savings for the standards case. The 

energy and cost savings in a single year are the difference between 

the base case energy use and costs and the standard case energy 

use and costs for that year. 

For the SHP product class, contains stock accounting of the 

equipment that calculates annual shipments estimates, energy 

savings, and operating cost savings for the standards case. The 

energy and cost savings in a single year are the difference between 

the base case energy use and costs and the standard case energy 

use and costs for that year. 

For the PHP product class, contains stock accounting of the 

equipment that calculates annual shipments estimates, energy 

savings, and operating cost savings for the standards case. The 

energy and cost savings in a single year are the difference between 

the base case energy use and costs and the standard case energy 

use and costs for that year. 

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Historical Shipments	 Contains data for annual historical shipments of CAC and HP by 

product class. Data are presented to disaggregate the historical 

shipments into region. 

AEO Residential Housing	 Contains the projected new housing construction starts and total 

housing stock for the three economic scenarios (Reference, Low 

Growth, and High Growth) by region. 

AEO Commercial Floor Space	 Contains the projected new commercial construction floor space 

starts and total commercial floor space stock for the three 

economic scenarios (Reference, Low Growth, and High Growth) 

by region. 

New Saturation Resid	 Contains the historical and projected saturation of CAC and HP 

equipment in new residential housing by region. 

New Saturation Comm Contains the historical and projected saturation of CAC and HP 

equipment in new commercial floor space by region. 

Heat Rates	 Contains the marginal site to source conversion factors that are 

used in the source energy savings calculations. 

Lifetime	 Contains the probability of survival of CAC and HP equipment at a 

given age and the average lifetime of a unit. 

10A.3 BASIC INSTRUCTIONS 

Basic instructions for operating the NIA spreadsheets are as follows: 

1.	 Once the NIA spreadsheets have been downloaded from the Web, open the file using 

Excel. At the bottom, click on the tab for the worksheet ‘User Inputs’. 

2.	 Use Excel’s View/Zoom commands at the top menu bar to change the size of the display 

to make it fit your monitor. The user can change the model parameters listed in the white 

box labelled “User Inputs”. 

3.	 Once the parameters have been set, click on the tab for the worksheet ‘Summary’. 

4.	 Use Excel’s View/Zoom commands at the top menu bar to change the size of the display 

to make the summary table in the upper left portion of the worksheet fit your monitor. 

5.	 Click the “Select CSL’ button in the upper right corner of the summary table to choose 

which candidate standard level to analyze. 

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6. The results are automatically updated and are reported in the summary table for each 

product class. 

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