Energy Conservation Program: Test Procedures for Central Air Conditioners and Heat Pumps, 69277-69456 [2015-23439]

Agencies

• DEPARTMENT OF ENERGY

[Federal Register Volume 80, Number 216 (Monday, November 9, 2015)]
[Proposed Rules]
[Pages 69277-69456]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-23439]



[[Page 69277]]

Vol. 80

Monday,

No. 216

November 9, 2015

Part II





Department of Energy





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10 CFR Parts 429 and 430





Energy Conservation Program: Test Procedures for Central Air 
Conditioners and Heat Pumps; Proposed Rule

Federal Register / Vol. 80 , No. 216 / Monday, November 9, 2015 / 
Proposed Rules

[[Page 69278]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2009-BT-TP-0004]
RIN 1904-AB94


Energy Conservation Program: Test Procedures for Central Air 
Conditioners and Heat Pumps

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy.

ACTION: Supplemental notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to revise its 
test procedures for central air conditioners and heat pumps established 
under the Energy Policy and Conservation Act. DOE proposed amendments 
to the test procedure in a June 2010 notice of proposed rulemaking 
(NOPR), an April 2011 supplemental notice of proposed rulemaking 
(SNOPR), and an October 2011 SNOPR. DOE provided additional time for 
stakeholder comment in a December 2011 extension of the comment period 
for the October 2011 SNOPR. DOE received further public comment for 
revising the test procedure in a November 2014 Request for Information 
for energy conservation standards for central air conditioners and heat 
pumps. DOE proposes in this SNOPR: A new basic model definition as it 
pertains to central air conditioners and heat pumps and revised rating 
requirements; revised alternative efficiency determination methods; 
termination of active waivers and interim waivers; revised procedures 
to determine off mode power consumption; changes to the test procedure 
that would improve test repeatability and reduce test burden; 
clarifications to ambiguous sections of the test procedure intended 
also to improve test repeatability; inclusion of, amendments to, and 
withdrawals of test procedure revisions proposed in published test 
procedure notices in the rulemaking effort leading to this supplemental 
notice of proposed rulemaking; and changes to the test procedure that 
would improve field representativeness. Some of these proposals also 
include incorporation by reference of updated industry standards. DOE 
welcomes comments from the public on any subject within the scope of 
this test procedure rulemaking.

DATES: DOE will accept comments, data, and information regarding this 
supplemental notice of proposed rulemaking (SNOPR) no later than 
December 9, 2015. See section V, ``Public Participation,'' for details.

ADDRESSES: Any comments submitted must identify the SNOPR for test 
procedures for central air conditioners and heat pumps, and provide 
docket number EE-2009-BT-TP-0004 and/or regulatory information number 
(RIN) number 1904-AB94. Comments may be submitted using any of the 
following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: RCAC-HP-2009-TP-0004@ee.doe.gov. Include the docket 
number EE-2009-BT-TP-0004 and/or 1904-AB94 RIN in the subject line of 
the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Office, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. If possible, please submit all items on a 
CD, in which case it is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024.
    Telephone: (202) 586-2945. If possible, please submit all items on 
a CD, in which case it is not necessary to include printed copies.

For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this document 
(Public Participation).
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov. 
All documents in the docket are listed in the regulations.gov index. 
However, some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available.
    A link to the docket Web page can be found at: 
www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/72. This Web page will contain a link to the docket for this 
notice on the www.regulations.gov site. The www.regulations.gov Web 
page will contain simple instructions on how to access all documents, 
including public comments, in the docket. See section V for information 
on how to submit comments through regulations.gov.

FOR FURTHER INFORMATION CONTACT:
Ashley Armstrong, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 
1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: 
(202) 586-6590. Email: Ashley.Armstrong@ee.doe.gov.
Johanna Hariharan, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6307. Email: Johanna.Hariharan@hq.doe.gov.

    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
Brenda.Edwards@ee.doe.gov.

SUPPLEMENTARY INFORMATION: DOE intends to incorporate by reference the 
following industry standards into Part 430:
    (1) ANSI/AHRI 210/240-2008 with Addenda 1 and 2: Performance Rating 
of Unitary Air-Conditioning & Air-Source Heat Pump Equipment, 2012;
    (2) AHRI 210/240-Draft: Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment;
    (3) ANSI/AHRI 1230-2010 with Addendum 2: Performance Rating of 
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat 
Pump Equipment, 2010;
    (4) ASHRAE 23.1-2010: Methods of Testing for Rating the Performance 
of Positive Displacement Refrigerant Compressors and Condensing Units 
that Operate at Subcritical Temperatures of the Refrigerant;
    (5) ASHRAE Standard 37-2009, Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment;
    (6) ASHRAE 41.1-2013: Standard Method for Temperature Measurement; 
ASHRAE 41.6-2014: Standard Method for Humidity Measurement;
    (7) ASHRAE 41.9-2011: Standard Methods for Volatile-Refrigerant 
Mass Flow Measurements Using Calorimeters;
    (8) ASHRAE/AMCA 51-07/210-07, Laboratory Methods of Testing Fans 
for Certified Aerodynamic Performance Rating.
    Copies of ANSI/AHRI 210/240-2008 and ANSI/AHRI 1230-2010 can be 
obtained from the Air-Conditioning, Heating, and Refrigeration 
Institute, 2111 Wilson Boulevard, Suite 500, Arlington, VA 22201, USA, 
703-524-8800, or by going to https://www.ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards. A copy of AHRI 210/240-

[[Page 69279]]

Draft is available on the rulemaking Web page (Docket EERE-2009-BT-TP-
0004-0045).
    Copies of ASHRAE 23.1-2010, ASHRAE Standard 37-2009, ASHRAE 41.1-
2013, and ASHRAE 41.9-2011 can be purchased from ASHRAE's Web site at 
https://www.ashrae.org/resources-publications.
    Copies of ASHRAE/AMCA 51-07/210-07 can be purchases from AMCA's Web 
site at https://www.amca.org/store/index.php.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Summary of the Supplementary Notice of Proposed Rulemaking
III. Discussion
    A. Definitions, Testing, Rating, and Compliance of Basic Models 
of Central Air Conditioners and Heat Pumps
    1. Basic Model Definition
    2. Additional Definitions
    3. Determination of Certified Rating
    4. Compliance With Federal (National or Regional) Standards
    5. Certification Reports
    6. Represented Values
    7. Product-Specific Enforcement Provisions
    B. Alternative Efficiency Determination Methods
    1. General Background
    2. Terminology
    3. Elimination of the Pre-Approval Requirement
    4. AEDM Validation
    5. Requirements for Independent Coil Manufacturers
    6. AEDM Verification Testing
    7. Failure to Meet Certified Ratings
    8. Action Following a Determination of Noncompliance
    C. Waiver Procedures
    1. Termination of Waivers Pertaining to Air-to-Water Heat Pump 
Products With Integrated Domestic Water Heating
    2. Termination of Waivers Pertaining to Multi-Circuit Products
    3. Termination of Waiver and Clarification of the Test Procedure 
Pertaining to Multi-Blower Products
    4. Termination of Waiver Pertaining to Triple-Capacity, Northern 
Heat Pump Products
    D. Measurement of Off Mode Power Consumption
    1. Test Temperatures
    2. Calculation and Weighting of P1 and P2
    3. Products With Large, Multiple or Modulated Compressors
    4. Procedure for Measuring Low-Voltage Component Power
    5. Revision of Off-Mode Power Consumption Equations
    6. Off-Mode Power Consumption for Split Systems
    7. Time Delay Credit
    8. Test Metric for Off-Mode Power Consumption
    9. Impacts on Product Reliability
    10. Representative Measurement of Energy Use
    E. Test Repeatability Improvement and Test Burden Reduction
    1. Indoor Fan Speed Settings
    2. Requirements for the Refrigerant Lines and Mass Flow Meter
    3. Outdoor Room Temperature Variation
    4. Method of Measuring Inlet Air Temperature on the Outdoor Side
    5. Requirements for the Air Sampling Device
    6. Variation in Maximum Compressor Speed With Outdoor 
Temperature
    7. Refrigerant Charging Requirements
    8. Alternative Arrangement for Thermal Loss Prevention for 
Cyclic Tests
    9. Test Unit Voltage Supply
    10. Coefficient of Cyclic Degradation
    11. Break-in Periods Prior to Testing
    12. Industry Standards That Are Incorporated by Reference
    13. Withdrawing References to ASHRAE Standard 116-1995 (RA 2005)
    14. Additional Changes Based on AHRI 210/240-Draft
    15. Damping Pressure Transducer Signals
    F. Clarification of Test Procedure Provisions
    1. Manufacturer Consultation
    2. Incorporation by Reference of ANSI/AHRI Standard 1230-2010
    3. Replacement of the Informative Guidance Table for Using the 
Federal Test Procedure
    4. Clarifying the Definition of a Mini-Split System
    5. Clarifying the Definition of a Multi-Split System
    G. Test Procedure Reprint
    H. Improving Field Representativeness of the Test Procedure
    1. Minimum External Static Pressure Requirements for 
Conventional Central Air Conditioners and Heat Pumps
    2. Minimum External Static Pressure Adjustment for Blower Coil 
Systems Tested With Condensing Furnaces
    3. Default Fan Power for Coil-Only Systems
    4. Revised Heating Load Line
    5. Revised Heating Mode Test Procedure for Products Equipped 
With Variable-Speed Compressors
    I. Identified Test Procedure Issues DOE May Consider in Future 
Rulemakings
    1. Controlling Variable Capacity Units to Field Conditions
    2. Revised Ambient Test Conditions
    3. Performance Reporting at Certain Air Volume Flow Rates
    4. Cyclic Test With a Wet Coil
    5. Inclusion of the Calculation for Sensible Heating Ratio
    J. Compliance With Other Energy Policy and Conservation Act 
Requirements
    1. Test Burden
    2. Potential Incorporation of International Electrotechnical 
Commission Standard 62301 and International Electrotechnical 
Commission Standard 62087
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    Title III, Part B of the Energy Policy and Conservation Act of 1975 
(EPCA or the Act), Pub. L. 94-163 (42 U.S.C. 6291-6309, as codified), 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles, a program covering most major household appliances, 
including the single phase central air conditioners and heat pumps \1\ 
with rated cooling capacities less than 65,000 British thermal units 
per hour (Btu/h) that are the focus of this notice.\2\ (42 U.S.C. 
6291(1)-(2), (21) and 6292(a)(3))
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    \1\ Where this notice uses the terms ``HVAC'' or ``CAC/CHP'', 
they are in reference specifically to central air conditioners and 
heat pumps as covered by EPCA.
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was re-designated Part A.
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    Under EPCA, the program consists of four activities: (1) Testing; 
(2) labeling; (3) Federal energy conservation standards; and (4) 
certification, compliance, and enforcement. The testing requirements 
consist of test procedures that manufacturers of covered products must 
use as the basis for certifying to DOE that their products comply with 
applicable energy conservation standards adopted pursuant to EPCA and 
for representing the efficiency of those products. (42 U.S.C. 6293(c); 
42 U.S.C. 6295(s)) Similarly, DOE must use these test procedures in any 
enforcement action to determine whether covered products comply with 
these energy conservation standards. (42 U.S.C. 6295(s)) Under 42 
U.S.C. 6293, EPCA sets forth criteria and procedures for DOE's adoption 
and amendment of such test procedures. Specifically, EPCA provides that 
an amended test procedure shall produce results which measure the 
energy

[[Page 69280]]

efficiency, energy use, or estimated annual operating cost of a covered 
product over an average or representative period of use, and shall not 
be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) In addition, if 
DOE determines that a test procedure amendment is warranted, it must 
publish proposed test procedures and offer the public an opportunity to 
present oral and written comments on them. (42 U.S.C. 6293(b)(2)) 
Furthermore, DOE must review test procedures at least once every 7 
years. (42 U.S.C 6293(b)(1)(A)) DOE last published a test procedure 
final rule for central air conditioner and heat pumps on October 22, 
2007. 72 FR 59906. Finally, in any rulemaking to amend a test 
procedure, DOE must determine whether and the extent to which the 
proposed test procedure would change the measured efficiency of a 
system that was tested under the existing test procedure. (42 U.S.C. 
6293(e)(1)) If DOE determines that the amended test procedure would 
alter the measured efficiency of a covered product, DOE must amend the 
applicable energy conservation standard accordingly. (42 U.S.C. 
6293(e)(2))
    DOE's existing test procedures for central air conditioners and 
heat pumps adopted pursuant to these provisions appear under Title 10 
of the Code of Federal Regulations (CFR) Part 430, Subpart B, Appendix 
M (``Uniform Test Method for Measuring the Energy Consumption of 
Central Air Conditioners and Heat Pumps''). These procedures establish 
the currently permitted means for determining energy efficiency and 
annual energy consumption of these products. Some amendments proposed 
in this SNOPR will not alter the measured efficiency of central air 
conditioners and heat pumps, and thus are being proposed as revisions 
to the current Appendix M. Other amendments proposed in this SNOPR will 
alter the measured efficiency, as represented in the regulating metrics 
of energy efficiency ratio (EER), seasonal energy efficiency ratio 
(SEER), and heating seasonal performance factor (HSPF). These 
amendments are proposed as part of a new Appendix M1. The test 
procedure changes proposed in this notice as part of a new Appendix M1, 
if adopted, would not become mandatory until the existing energy 
conservation standards are revised. (42 U.S.C. 6293(e)(2)) In revising 
the energy conservation standards, DOE would create a cross-walk from 
the existing standards under the current test procedure to what the 
standards would be if tested using the revised test procedure. DOE 
would then use the cross-walked equivalent of the existing standard as 
the baseline for its standards analysis to prevent back-sliding as 
required under 42 U.S.C. 6295(o)(1).
    On December 19, 2007, the President signed the Energy Independence 
and Security Act of 2007 (EISA 2007), Pub. L. 110-140, which contains 
numerous amendments to EPCA. Section 310 of EISA 2007 established that 
the Department's test procedures for all covered products must account 
for standby mode and off mode energy consumption. (42 U.S.C. 
6295(gg)(2)(A)) For central air conditioners and heat pumps, standby 
mode is incorporated into the SEER metric, while off mode power 
consumption is separately regulated. This SNOPR includes proposals 
relevant to the determination of both SEER (including standby mode) and 
off mode power consumption.
    10 CFR 430.27 allows manufacturers to submit an application for an 
interim waiver and/r a petition for a waiver granting relief from 
adhering to the test procedure requirements found under 10 CFR part 
430, subpart B, Appendix M. For those waivers that are active, however, 
10 CFR 430.27(l) requires DOE to amend its regulations so as to 
eliminate any need for the continuation of such waivers. To this end, 
this notice proposes relevant amendments to its test procedure 
concerning such waivers.

B. Background

    This SNOPR addresses proposals and comments from three separate 
rulemakings, two guidance documents, and a working group: (1) Proposals 
for off mode test procedures made in earlier notices as part of this 
rulemaking (Docket No. EERE-2009-BT-TP-0004); (2) proposals regarding 
alternative efficiency determination methods (Docket No. EERE-2011-BT-
TP-0024); (3) stakeholder comments from a request for information 
regarding energy conservation standards (Docket No. EERE-2014-BT-STD-
0048); (4) a draft guidance document related to testing and rating 
split systems with blower coil units (Docket No. EERE-2014-BT-GUID-
0033); (5) a draft guidance document that deals with selecting units 
for testing, rating, and certifying split-system combinations, 
including discussion of basic models and of condensing units and 
evaporator coils sold separately for replacement installation (Docket 
No. EERE-2014-BT-GUID-0032); and (6) the recommendations of the 
regional standards enforcement Working Group (Docket No. EERE-2011-BT-
CE-0077).
    DOE's initial proposals for estimating off mode power consumption 
in the test procedure for central air conditioners and heat pumps were 
shared with the public in a notice of proposed rulemaking published in 
the Federal Register on June 2, 2010 (June 2010 NOPR; 75 FR 31224) and 
at a public meeting at DOE headquarters in Washington, DC on June 11, 
2010. Subsequently, DOE published a supplemental notice of proposed 
rulemaking (SNOPR) on April 1, 2011, in response to comments received 
on the June 2010 NOPR and due to the results of additional laboratory 
testing conducted by DOE. (April 2011 SNOPR) 76 FR 18105, 18127. DOE 
received additional comments in response to the April 2011 SNOPR and 
proposed an amended version of the off mode procedure that addressed 
those comments in a second SNOPR on October 24, 2011 (October 2011 
SNOPR). 76 FR 65616. DOE received additional comments during the 
comment period of the October 24, 2011 SNOPR and the subsequent 
extended comment period. 76 FR 79135.
    Between the April 2011 and October 2011 SNOPRs, DOE published a 
direct final rule (DFR) in the Federal Register on June 27, 2011 that 
set forth amended energy conservation standards for central air 
conditioners and central air conditioning heat pumps, including a new 
standard for off mode electrical power consumption. (June 2011 DFR) 76 
FR 37408. Units manufactured on or after January 1, 2015, are subject 
to that standard for off mode electrical power consumption. 10 CFR 
430.32(c)(6). However, on July 8, 2014, DOE published an enforcement 
policy statement regarding off mode standards for central air 
conditioners and central air conditioning heat pumps \3\ (July 2014 
Enforcement Policy Statement) specifying that DOE will not assert civil 
penalty authority for violation of the off mode standard until 180 days 
following publication of a final rule establishing a test method for 
measuring off mode electrical power consumption.
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    \3\ Available at: https://energy.gov/sites/prod/files/2014/07/f17/Enforcement%20Policy%20Statement%20-%20cac%20off%20mode.pdf 
(Last accessed March 30, 2015.)
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    DOE also pursued, in a request for information (RFI) published on 
April 18, 2011 (AEDM RFI) (76 FR 21673), and a NOPR published on May 
31, 2012 (AEDM NOPR) (77 FR 32038), revisions to its existing 
alternative efficiency determination methods (AEDM) and alternative 
rating methods (ARM) requirements to improve the approach by which 
manufacturers may use

[[Page 69281]]

modeling techniques as the basis to certify consumer products and 
commercial and industrial equipment covered under EPCA. DOE also 
published a final rule regarding AEDM requirements for commercial and 
industrial equipment only (Commercial Equipment AEDM FR). 78 FR 79579. 
This SNOPR addresses the proposals made and comments received in the 
AEDM NOPR applicable to central air conditioners and heat pumps and 
makes additional proposals.
    On June 13, 2014, DOE published a notice of intent to form a 
working group to negotiate enforcement of regional standards for 
central air conditioners and requested nominations from parties 
interested in serving as members of the Working Group. 79 FR 33870. On 
July 16, 2014, the Department published a notice of membership 
announcing the eighteen nominations that were selected to serve as 
members of the Working Group, in addition to two members from Appliance 
Standards and Rulemaking Federal Advisory Committee (ASRAC), and one 
DOE representative. 79 FR 41456. The Working Group identified a number 
of issues related to testing and certification that are being addressed 
in this rule. In addition, all nongovernmental participants of the 
Working Group approved the final report contingent on upon the issuance 
of the final guidance on Docket No. EERE-2014-BT-GUID-0032 0032 and 
Docket No. EERE-2014-BT-GUID-0033 consistent with the understanding of 
the Working Group as set forth in its recommendations. (Docket No. 
EERE-2011-BT-CE-0077-0070, Attachment) This SNOPR responds to comments 
on the August 19 and 20, 2014, guidance documents related to testing 
and rating split systems, which are discussed in more detail in section 
III.A. The proposed changes supplant these two draft guidance 
documents; DOE will not finalize the draft guidance documents and 
instead will provide any necessary clarity through this notice and the 
final rule. DOE believes the proposed changes are consistent with the 
intent of the Working Group.
    On November 5, 2014, DOE published a request for information for 
energy conservation standards (ECS) for central air conditioners and 
heat pumps (November 2014 ECS RFI). 79 FR 65603. In response, several 
stakeholders provided comments suggesting that DOE amend the current 
test procedure. This SNOPR responds to those test procedure-related 
comments.

II. Summary of the Supplementary Notice of Proposed Rulemaking

    This supplementary notice of proposed rulemaking (SNOPR) proposes 
revising the certification requirements and test procedure for central 
air conditioners and heat pumps based on various published material as 
discussed in section I.B.
    DOE proposes to revise the basic model definition, add additional 
definitions for clarity, make certain revisions to the testing 
requirements for determination of certified ratings, add certain 
certification reporting requirements, revise requirements for 
determination of represented values, and add product-specific 
enforcement provisions. Some of the proposed revisions to the 
certification requirements would impact the energy conservation 
standard and thus would not be effective until the compliance date of 
any amended energy conservation standards.
    DOE proposes to update requirements for Alternative Rating Methods 
(ARMs) used to determine performance metrics for central air 
conditioners and heat pumps based on the regulations for Alternative 
Efficiency Determination Methods (AEDMs) that are used to estimate 
performance for commercial HVAC equipment. Specifically, for central 
air conditioners and heat pumps, DOE proposes: (1) Revisions to 
nomenclature regarding ARMs; (2) rescinding DOE pre-approval of an ARM 
prior to use; (3) AEDM validation requirements; (4) a verification 
testing process; (5) actions a manufacturer could take following a 
verification test failure; and (6) consequences for invalid ratings. 
These proposed changes do not impact the energy conservation standard.
    DOE proposes to revise the test procedure such that tests of multi-
circuit products, triple-capacity northern heat pump products, and 
multi-blower products can be performed without the need of an interim 
waiver or a waiver. Existing interim waivers and waivers, as 
applicable, regarding these products would terminate on the effective 
date of a final rule promulgating the proposals in this SNOPR. DOE also 
reaffirms that the waivers associated with multi-split products have 
already terminated and that these products can also be tested using the 
current and proposed test procedure. These proposed changes do not 
impact the energy conservation standard and thus are proposed as part 
of revisions to Appendix M.
    DOE also proposes to clarify that air-to-water heat pump products 
integrated with domestic water heating are not subject to central air 
conditioner and heat pump energy conservation standards. Accordingly, 
the waiver regarding these products would terminate effective 180 days 
after publication of a final rule that incorporates the proposals in 
this SNOPR.
    DOE proposes revisions to the test methods and calculations for off 
mode power consumption that were proposed or modified in the June 2010 
NOPR, April 2011 SNOPR, and October 2011 SNOPR. These revisions address 
comments received in response to the October 2011 SNOPR suggesting that 
test methods and calculations more accurately represent off-mode power 
consumption in field applications. These proposed changes do not impact 
the energy conservation standard. Specifically, DOE proposes the 
following:
    (1) Establishment of separate testing and calculations that would 
depend on whether the tested unit is equipped with a crankcase heater 
and whether the crankcase heater is controlled during the test;
    (2) Alteration of the testing temperatures such that the crankcase 
heater is tested in outdoor air conditions that are representative of 
the shoulder and heating seasons;
    (3) Changing of the testing methodology for determining the power 
consumption of the low-voltage components (PX);
    (4) Changing of the calculation of the off mode power rating 
(PW,OFF) such that the off mode power for the shoulder and heating 
seasons are equally weighted;
    (5) Implementation of a time delay credit for energy consumption, 
including credits in the form of scaling factors and multipliers for 
energy-efficient products that require larger crankcase heaters to 
maintain product reliability;
    (6) Addition of an alternative energy determination method for 
determining off mode power for coil-only split-systems; and
    (7) Inclusion of a means for calculating a basic model's annual off 
mode energy use, from which manufacturers could make representations 
about their products' off mode energy use.
    DOE also proposes changes to improve the repeatability and reduce 
the test burden of the test procedure. These proposed changes do not 
impact the energy conservation standard. Specifically, DOE proposes the 
following:
    (1) Clarification of fan speed settings;

[[Page 69282]]

    (2) Clarification of insulation requirements for refrigerant lines 
and addition of a requirement for insulating mass flow meters;
    (3) Addition of a requirement to demonstrate inlet air temperature 
uniformity for the outdoor unit using thermocouples;
    (4) Addition of a requirement that outdoor air conditions be 
measured using sensors measuring the air captured by the air sampling 
device(s) rather than the temperature sensors located in the air stream 
approaching the inlets;
    (5) Addition of a requirement that the air sampling device and the 
tubing that transfers the collected air to the dry bulb temperature 
sensor be at least two inches from the test chamber floor, and a 
requirement that humidity measurements be based on dry bulb temperature 
measurements made at the same location as the corresponding wet bulb 
temperature measurements used to determine humidity;
    (6) Clarification of maximum speed for variable-speed compressors;
    (7) Addition of requirements that improve consistency of 
refrigerant charging procedures;
    (8) Allowance of an alternative arrangement for cyclic tests to 
replace the currently-required damper in the inlet portion of the 
indoor air ductwork for single-package ducted units;
    (9) Clarification of the proper supply voltage for testing;
    (10) Revision of the determination of the coefficient of cyclic 
degradation (CD);
    (11) Option for a break-in period of up to 20 hours;
    (12) Update of references to industry standards where appropriate;
    (13) Withdrawal of all references to ASHRAE Standard 116-1995;
    (14) Inclusion of information from the draft AHRI 210/240; and
    (15) Provisions regarding damping of pressure transducer signals to 
avoid exceeding test operating tolerances due to high frequency 
fluctuations.
    Lastly, DOE proposes clarifications of any sections of the test 
procedure that may be ambiguous. Specifically, DOE proposes to add 
reference to an industry standard for testing variable refrigerant flow 
multi-split systems; replace the informative guidance table for using 
the test procedure; and clarify definitions of multi-split systems and 
mini-split systems, which DOE now proposes to call single-zone-
multiple-unit systems. These proposed changes do not impact the energy 
conservation standard.
    DOE notes that all the above-listed proposed changes to the test 
procedure would not impact the energy conservation standard and as such 
are proposed as part of a revised Appendix M. Given the extensive 
changes proposed for Appendix M, DOE has provided a full re-print of 
Appendix M in the regulatory text of this SNOPR that includes the 
changes proposed in this SNOPR as well as those proposed in the June 
2010 NOPR and the April 2011 and October 2011 SNOPRs that have not been 
withdrawn.
    DOE also proposes various changes to the test procedure that would 
affect the energy conservation standard and proposes incorporating 
these changes in a new appendix, Appendix M1 to Subpart B of 10 CFR 
part 430, which includes the text of Appendix M to Subpart B of 10 CFR 
part 430 with amendments as proposed in this SNOPR. Specifically, DOE 
proposes the following:
    (1) Increase the minimum external static pressure requirements for 
conventional central air conditioners and heat pumps to better 
represent the external static pressure conditions in field 
installations; \4\
---------------------------------------------------------------------------

    \4\ Conventional central air conditioners and heat pumps are 
those products that are not short duct systems (see section III.F.2) 
or small-duct, high-velocity systems.
---------------------------------------------------------------------------

    (2) Add a minimum external static pressure adjustment to correct 
for potentially unrepresentative external static pressure conditions 
for blower coil systems tested with condensing furnaces;
    (3) Raise the default fan power for coil-only systems;
    (4) Adjust the heating load line equation such that the zero load 
point occurs at 55 [deg]F for Region IV, the adjustment factor is 1.3, 
and the heating load is tied with the heat pump's cooling capacity; and
    (5) Revise the heating mode test procedure to allow more options 
for products equipped with variable-speed compressors.
    DOE proposes to make the test procedure revisions in this SNOPR as 
reflected in the revised Appendix M to Subpart B of 10 CFR part 430 
effective on a date 180 days after publication of the test procedure 
final rule in the Federal Register and mandatory for testing to 
determine compliance with the existing energy conservation standards 
for central air conditioners and heat pumps as of that date. DOE 
proposes to make the test procedure revisions in this SNOPR as 
reflected in the proposed new Appendix M1 to Subpart B of 10 CFR part 
430 effective on the compliance date of the revised energy conservation 
standards for central air conditioners and heat pumps and mandatory for 
testing to determine compliance with said revised standards as of that 
date. DOE will address any comments received in response to this SNOPR 
in the test procedure final rule.
    As noted in section I.A, 42 U.S.C. 6293(e) requires that DOE shall 
determine to what extent, if any, the proposed test procedure would 
alter the measured energy efficiency and measured energy use. DOE has 
determined that some of these proposed amendments would result in a 
change in measured energy efficiency and measured energy use for 
central air conditioners and heat pumps. Therefore, DOE is conducting a 
separate rulemaking to amend the energy conservation standards for 
central air conditioners and heat pumps with respect to the revised 
test procedure, once its proposals become final. (Docket No. EERE-2014-
BT-STD-0048)

III. Discussion

    This section discusses the revisions to the certification 
requirements and test procedure that DOE proposes in this SNOPR.

A. Definitions, Testing, Rating, and Compliance of Basic Models of 
Central Air Conditioners and Heat Pumps

    On August 19 and 20, 2014, DOE issued two draft guidance documents 
regarding the test procedure for central air conditioners and heat 
pumps. One guidance document dealt with testing and rating split 
systems with blower coil indoor units (Docket No. EERE-2014-BT-GUID-
0033); and the other dealt more generally with selecting units for 
testing, rating, and certifying split-system combinations, including 
discussion of basic models and of condensing units and evaporator coils 
sold separately for replacement installation (Docket No. EERE-2014-BT-
GUID-0032). The comments in response to these draft guidance documents 
are discussed in this section of the notice. DOE has proposed changes 
to the substance of the draft guidance that reflects the comments 
received as well as the recommendations of the regional standards 
enforcement Working Group (Docket No. EERE-2011-BT-CE-0077-0070, 
Attachment). The proposed changes supplant the two draft guidance 
documents; DOE will not finalize the draft guidance documents and 
instead will provide any necessary clarity through this notice and the 
final rule.
1. Basic Model Definition
    In the August 20, 2014 draft guidance document (Docket No. EERE-
2014-BT-GUID-0032), DOE clarified that a basic

[[Page 69283]]

model means all units of a given type (or class thereof) having the 
same primary energy source, and which have essentially identical 
electrical, physical, and functional characteristics that affect energy 
efficiency. 10 CFR 430.2. DOE noted that for split-system units, this 
includes a condensing (outdoor) unit and a coil-only or blower coil 
indoor unit.\5\
---------------------------------------------------------------------------

    \5\ DOE notes that a blower coil indoor unit may consist of 
separate units, one that includes the indoor coil and another that 
is an air mover, either a modular blower or a furnace. 
Alternatively, a blower coil indoor unit may be a single unit that 
includes both the indoor coil and the indoor fan. Hence, in further 
discussion, ``blower coil indoor unit'' may be any one of these 
three options.
---------------------------------------------------------------------------

    In the guidance document, DOE also stated that if a company 
intended to claim ratings for each combination of outdoor unit and 
indoor unit, it must certify all possible model combinations as 
separate basic models. Only the basic model combinations that include a 
highest sales volume combination (HSVC) indoor unit for a given outdoor 
unit must be tested, while the other basic models may be rated with an 
ARM. Alternatively, the manufacturer could make all combinations of a 
given model of outdoor unit part of the same basic model and not rate 
all individual combinations. However, all combinations within the basic 
model would have to have the same represented efficiency, based on the 
least efficient combination. This association would be included in the 
certification report.
    In response to the draft guidance document, AHRI and Johnson 
Controls (JCI) stated that there was a difference between DOE's 
definition of Basic Model and the industry's use of Basic Model Groups 
(Docket No. EERE-2014-BT-GUID-0032, AHRI, No. 8 at p. 1; JCI, No. 5 at 
p. 3) Johnson Controls specified that most manufacturers consider a 
specific outdoor model with all combinations of indoor units to be a 
basic model and notes that DOE's definition appeared to allow outdoor 
units to be combined into a basic model if they share the same ratings. 
(Id.)
    DOE reviewed AHRI's Operations Manual for Unitary Small Air-
Conditioners and Air-Source Heat Pumps (Includes Mixed-Match Coils) 
(Rated Below 65,000 Btu/h) Certification Program (AHRI OM 210/240--
January 2014).\6\ This document specifies the following definitions:
---------------------------------------------------------------------------

    \6\ Available at: www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/USE_OM.pdf (Last accessed March 20, 2015.)

    A Split System BMG [Basic Model Group \7\] consists of products 
with the same Outdoor Unit used with several Indoor Unit 
combinations (i.e. horizontal, vertical, A-coil, etc.). Same Outdoor 
Unit refers to models with the same or comparable compressor, used 
with the same outdoor coil surface area and the same outdoor air 
quantity.
---------------------------------------------------------------------------

    \7\ According to the AHRI General Operations Manual, a basic 
model is a product possessing a discrete performance rating, whereas 
a basic model group is a set of models that share characteristics 
that allow the performance of one model to be representative of the 
group, although the group does not have to share discrete 
performance. (General OM--October 2013). Available at: 
www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/General_OM.pdf. (Last accessed March 24, 2015.)
---------------------------------------------------------------------------

    An ICM [Independent Coil Manufacturer] BMG consists of coils 
(Indoor Units) with matching capacity ranges of 6,000 Btu/h and the 
following identical geometry parameters: Air-handler, evaporator fan 
type, evaporator number of rows, type of equipment (air-cooled, 
water-cooled or evaporatively-cooled), evaporator tube centers, 
evaporator fin types, evaporator fins/inch, evaporator tube OD, 
evaporator expansion device, fin length per slab, fin height per 
slab, number of slabs in the coil, fin material type, tube material 
type, and total number of active tubes (refer to Table H1).

    In order to create consistency within the industry, DOE proposes to 
modify its basic model definition for central air conditioners and heat 
pumps. Specifically, DOE proposes that manufacturers would have a 
choice in how to assign individual models (for single-package units) or 
combinations (for split systems) to basic models. Specifically, 
manufacturers may consider each individual model/combination its own 
basic model, or manufacturers may assign all individual models of the 
same single-package system or all individual combinations using the 
same model of outdoor unit (for outdoor unit manufacturers (OUM)) or 
model of indoor unit (for independent coil manufacturers (ICM)) to the 
same basic model.
    DOE believes that this proposal is consistent with the existing 
general definition of basic model which refers to all units having the 
same primary energy source and having essentially identical electrical, 
physical, and functional characteristics that affect energy consumption 
or energy efficiency. However, DOE proposes to further define the 
physical characteristics necessary to assign individual models or 
combinations to the same basic model:
    (i) For split-systems manufactured by independent coil 
manufacturers (ICMs) and for small-duct, high velocity systems: All 
individual combinations having the same model of indoor unit, which 
means the same or comparably performing indoor coil(s) [same face area; 
fin material, depth, style (e.g. wavy, louvered), and density (fins per 
inch); tube pattern, material, diameter, wall thickness, and internal 
enhancement], indoor fan(s) [same air flow with the same indoor coil 
and external static pressure, same power input], auxiliary 
refrigeration system components if present (e.g. expansion valve), and 
controls.
    (ii) for split-systems manufactured by outdoor unit manufacturers 
(OUMs): All individual combinations having the same model of outdoor 
unit, which means the same or comparably performing compressor(s) [same 
displacement rate (volume per time) and same capacity and power input 
when tested under the same operating conditions], outdoor coil(s) [same 
face area; fin material, depth, style (e.g. wavy, louvered), and 
density (fins per inch); tube pattern, material, diameter, wall 
thickness, and internal enhancement], outdoor fan(s) [same air flow 
with the same outdoor coil, same power input], auxiliary refrigeration 
system components if present (e.g. suction accumulator, reversing 
valve, expansion valve), and controls.
    The proposed requirements for single-package models combine the 
requirements listed describing the characteristics of the same models 
of indoor units and same models of outdoor units. DOE requests comment 
on its proposal to modify the definition of ``basic model'', as well as 
the proposed physical characteristics required for assigning individual 
models or combinations to the same basic model, as described above.
    If manufacturers assign each individual model or combination to its 
own basic model, DOE proposes that each individual model/combination 
must be tested and that an AEDM cannot be applied. This option would 
limit a manufacturer's risk in terms of noncompliance but would 
represent increased testing burden compared to the other option.
    If manufacturers assign all individual combinations of a model of 
outdoor unit (for OUMs) or model of indoor unit (for ICMs) to a single 
basic model, DOE further proposes that, in contrast to the draft 
guidance document and DOE's current regulations, each individual 
combination within a basic model (i.e., having the same model of 
outdoor unit for OUMs, or having the same model of indoor unit for 
ICMs) must be certified with a rating determined for that individual 
combination. In other words, individual combinations within the same 
basic model that have different SEER ratings, for example, would be 
certified with their individual ratings, rather than with the lowest 
SEER of the basic model. However, only one individual combination in 
each basic

[[Page 69284]]

model would have to be tested (see section III.A.3.a), while the others 
may be rated using an AEDM. This option reduces testing burden but 
increases risk. Specifically, if any one of the combinations within a 
basic model fails to meet the applicable standard, then all of the 
combinations within the basic model fail, and the entire basic model 
must be taken off the market (i.e., the model of outdoor unit for OUMs 
and the model of indoor unit for ICMs). All combinations offered for 
sale (e.g., for OUMs, based on a given model of outdoor unit which is 
the basis of the basic model) must be certified, and all of these 
combinations within the basic model must meet applicable standards. DOE 
notes that under this proposed rule, ICMs and OUMs will continue to 
have an independent obligation to test, provide certified ratings, and 
ensure compliance with applicable standards.
    By way of example, a manufacturer has two models of outdoor units, 
models A and B. Each of models A and B can be paired with any of three 
models of indoor units--models 1, 2, and 3. Per the guidance document, 
the manufacturer could either: (1) Make each combination a separate 
basic model (i.e., A-1, A-2, A-3, B-1, B-2, and B-3), test the HSVC for 
each model of outdoor unit (A and B), and rate the other basic models 
with an ARM; (2) make each combination a separate basic model and test 
each of them; or (3) make combinations A-2 and A-3 part of basic model 
A-1 (and similarly B-2 and B-3 part of B-1) and represent the 
efficiency of all three with the same certified rating at the least 
efficient combination in the basic model. In this proposal, the 
manufacturer could either: (1) Make each combination a separate basic 
model and test and rate each combination; or (2) make combinations A-2 
and A-3 part of basic model A-1 (and similarly B-2 and B-3 part of B-
1), test the HSVC combination for the model of outdoor unit, and test 
or use an AEDM to rate the efficiency of all other combinations in the 
basic model.
    DOE notes that unlike in the current ``basic model'' definition 
that contains less detail on what constitutes essentially identical 
characteristics, under DOE's new proposal, manufacturers would not be 
able to assign different models of outdoor units (for OUMs) or models 
of indoor units (for ICMs) to a single basic model Based on a review of 
certification data, it appears that most manufacturers are not 
currently doing this, so DOE expects this proposal to have limited 
impact on current practices.
    Additional rating and certification requirements for single-package 
models and multi-split, multi-circuit, and single-zone-multiple-coil 
models are described in section III.A.3.c.
    Revisions to the test procedure as proposed in section III.D of 
this SNOPR enable the determination of off mode power consumption, 
which reflects the operation of the contributing components: Crankcase 
heater and low-voltage controls. Varying designs of these components 
produce different off mode power consumption. DOE proposes that if 
individual combinations that are otherwise identical are offered with 
multiple options for off mode related components, manufacturers at a 
minimum must rate the individual combination with the crankcase heater 
and controls which are the most consumptive (i.e., would result in the 
largest value of PW,OFF). If a manufacturer wishes to also 
make representations for less consumptive off mode options for the same 
individual combination, the manufacturer may provide separate ratings, 
but the manufacturer must differentiate the individual model numbers 
for these ratings. These individual combinations would be within the 
same basic model. DOE discusses this in relation to single-package 
units in section III.A.3.e.
    DOE also proposes to clarify that a central air conditioner or 
central air conditioning heat pump may consist of: A single-package 
unit; an outdoor unit and one or more indoor units (e.g., a single-
split or multi-split system); an indoor unit only (rated as a 
combination by an ICM with an OUM's outdoor unit); or an outdoor unit 
only (with no match, rated by an OUM with the coil specified in this 
test procedure). DOE has proposed adding these specifications to the 
definition of central air conditioner or central air conditioning heat 
pump in 10 CFR 430.2. In the certification reports submitted by OUMs 
for split systems, DOE proposes that manufacturers must report the 
basic model number as well as the individual model numbers of the 
indoor unit(s) and the air mover where applicable.
2. Additional Definitions
    In order to specify differences in the proposed basic model 
definition for ICMs and OUMs, DOE also proposes the following 
definitions:

    Independent coil manufacturer (ICM) means a manufacturer that 
manufactures indoor units but does not manufacture single-package 
units or outdoor units.
    Outdoor unit manufacturer (OUM) means a manufacturer of single-
package units, outdoor units, and/or both indoor units and outdoor 
units.

    With respect to any given basic model, a manufacturer could be an 
ICM or an OUM. DOE notes that the use of the term ``manufacturer'' in 
these definitions refers to any person who manufactures, produces, 
assembles, or imports a consumer product. See 42 U.S.C. 6291(10, 12).
    DOE also proposes to define variable refrigerant flow (VRF) systems 
as a kind of multi-split system. DOE notes that not all VRF systems are 
commercial equipment. Therefore, the proposed definition also clarifies 
that VRF systems that are single-phase and less than 65,000 btu/h are a 
kind of central air conditioners and central air conditioning heat 
pumps.
    DOE also proposes to modify the definition of indoor unit. DOE 
noted in market research that ICMs may not always provide cooling mode 
expansion devices with indoor units. Therefore to provide clarity in 
the testing and rating requirements, DOE proposes to change the 
definition of ``indoor unit'' to clarify that it may not include the 
cooling mode expansion device. Also, for reasons discussed in section 
III.A.3.f, DOE proposes to include the casing in the definition so that 
uncased coils will not be considered indoor units:

    Indoor unit transfers heat between the refrigerant and the 
indoor air, and consists of an indoor coil and casing and may 
include a cooling mode expansion device and/or an air moving device.

    DOE proposes to specify in Appendix M that if the indoor unit does 
not ship with a cooling mode expansion device, the system should be 
tested using the device as specified in the installation instructions 
provided with the indoor unit, or if no device is specified, using a 
TXV. DOE notes that the AHRI program does not appear to assume that the 
expansion device is necessarily provided with the coil, i.e., AHRI's 
operations manual specifies that for testing for the AHRI certification 
program, the ICM must provide an indoor coil and expansion device.
    Finally, DOE is proposing to clarify several other definitions 
currently in 10 CFR 430.2 with minor wording changes and move them to 
10 CFR 430, Subpart B, Appendix M. The proposed definition of central 
air conditioner or central air conditioning heat pump in 10 CFR 430.2 
refers the reader to the additional central air conditioner-related 
definitions in Appendix M. Locating all of the relevant definitions in 
the appendix will make it easier to find and reference them. DOE also 
proposes to remove entirely the definitions for ``condenser-evaporator 
coil combination'' and ``coil family'' as

[[Page 69285]]

those terms no longer appear in the proposed regulations.
3. Determination of Certified Rating
    During the regional standards Working Group meetings, participants 
invested a great deal of time and energy discussing the relationship 
between system ratings and an effective enforcement plan. As part of 
the negotiations, the Working Group requested that DOE issue guidance 
regarding the applicability of regional standards to indoor units and 
outdoor units distributed separately and the applicability of regional 
standards to different combinations of indoor and outdoor units. DOE 
developed two draft guidance documents to address these issues. After 
consideration of the Working Group's discussions and the comments 
received on the two draft guidance documents, DOE determined that 
regulatory changes would be necessary to implement the approach agreed 
to by the Working Group. DOE is proposing several of those regulatory 
changes as part of this rulemaking. The remainder of the necessary 
regulatory changes will be addressed in a forthcoming regional 
standards enforcement notice of proposed rulemaking.
    During the pendency of the rulemakings (CAC TP and Regional 
Standards), DOE reaffirms its commitment to the approach advocated by 
the Working Group, subject to consideration of comments received in the 
rulemakings to effectuate the necessary changes to the regulations. The 
following sections describe the two guidance documents and DOE's 
proposals to address them as part of this rulemaking.
a. Single-Split-System Air Conditioners Rated by OUMs
    In the August 20, 2014 draft guidance document (Aug 20 Guidance) 
(EERE-2014-BT-GUID-0032), DOE proposed to clarify that when selecting 
which split-system air conditioner and heat pump units to test (in 
accordance with the DOE test procedure), a unit of each outdoor model 
must be paired with a unit of one selected indoor model. 10 CFR 
429.16(a)(2)(i). Specifically, the manufacturer must test the 
condenser-evaporator coil combination that includes the model of 
evaporator coil that is likely to have the largest volume of retail 
sales with the particular model of condensing unit. 10 CFR 
429.16(a)(2)(ii) (This combination is also known as the highest sales 
volume combination or HSVC.) That is, the HSVC for each condensing unit 
may not be rated using an ARM. (See section III.B regarding DOE's 
proposal to switch from ARMs to AEDMs for this product.)
    The guidance further stated that for any other split-system 
combination that includes the same outdoor unit model but a different 
indoor unit model than the HSVC, manufacturers may determine 
represented values of energy efficiency (including those values that, 
for each combination, must be reported in certifications to DOE) of a 
split-system central air conditioner or heat pump basic model 
combination either by testing the combination in accordance with the 
DOE test procedure or by applying an ARM that has been approved by DOE 
in accordance with the provisions of 10 CFR 429.70(e)(1) and (2). 10 
CFR 429.16(a)(2)(ii)(A) and (B)(1).
    In the August 19, 2014 draft guidance document (August 19 Guidance) 
(EERE-2014-BT-GUID-0033), DOE proposed to clarify that split-system 
central air conditioners other than those with single-speed compressors 
may be tested and rated using a blower coil only if the condensing unit 
is sold exclusively for use with a blower coil indoor unit. 10 CFR 
429.16(a)(2)(ii). The guidance stated that there is no provision in the 
Code of Federal Regulations (CFR) permitting use of a blower coil for 
testing and rating a split-system central air conditioner where the 
condensing unit is also offered for sale with a coil-only indoor unit, 
and that, furthermore, there is no provision in the CFR permitting the 
use of a blower coil for testing and rating a condensing unit with a 
single-speed compressor.
    Commenters generally agreed with the information in the August 20 
Guidance regarding selecting units for testing, rating, and certifying 
split-system combinations. In addition, in response to the August 19 
Guidance, DOE received nearly identical comments from several 
stakeholders generally agreeing with the intent of the guidance to 
emphasize that single-speed compressor products must be tested and 
rated with a coil-only system as HSVC. (Docket No. EERE-2014-BT-GUID-
0033, AHRI No. 8 at p. 2; Nordyne, No. 9 at p. 1; Lennox, No. 4 at p. 
2; Ingersoll Rand, No. 3 at p. 1; Goodman, No. 10 at p. 1; Rheem, No. 2 
at p. 2; JCI, No. 5 at p. 2-3) These stakeholders, as well as Mortex, 
clarified that other combinations besides the HSVC, including blower 
coil combinations, can be rated through testing or using an ARM. (Id.; 
Mortex, No. 6 at p. 1) Stakeholders recommended language identical to 
or similar to the following:

    Split-system central air conditioners with single-speed 
compressors must be tested and rated using a coil-only for the HSVC. 
10 CFR 429.16(a)(2)(ii). Such single-speed systems may be rated with 
other coil-only and blower coil indoor units through the use of a 
DOE approved ARM or by testing. 10 CFR 429.16(a)(2)(ii)(A) and 10 
CFR 429.16(a)(2)(ii)(B). Furthermore, there is no provision in the 
CFR permitting the use of a blowercoil for testing and rating a 
condensing unit with a single-speed compressor for the HSVC, unless:
     [Version 1] the unit is a mini-split, multi-split or 
through-the-wall, OR
     [Version 2] the unit is sold and installed only with 
blower-coil indoor units.
    (Version 1: Docket No. EERE-2014-BT-GUID-0033, Lennox, No. 4 at 
p. 2; Ingersoll Rand, No. 3 at p. 2; Goodman, No. 10 at p. 3; Rheem, 
No. 2 at p. 3; JCI, No. 5 at p. 4; Version 2: AHRI No. 8 at p. 3; 
Nordyne, No. 9 at p. 2)

    AHRI and several manufacturers disputed that when using a 
compressor other than single speed, the HSVC can never be a blower coil 
unless it is exclusively used with a blower coil. AHRI and the 
manufacturers reported that many multi-stage capacity products are 
tested and rated with high efficiency blower coil or furnace products 
as the HSVC even though those systems are also rated for coil-only use. 
(Docket No. EERE-2014-BT-GUID-0033, AHRI No. 8 at p. 2; Nordyne, No. 9 
at p. 2; Lennox, No. 4 at p. 2; Ingersoll Rand, No. 3 at p. 2; Goodman, 
No. 10 at p. 2; Rheem, No. 2 at p. 2; Carrier, No. 7 at p. 1) Johnson 
Controls responded that they test and rate multi-speed compressor units 
with blower coils or furnace/coils as the HSVC. (JCI, No. 5 at p. 3). 
AHRI and the manufacturers reported that not allowing this could limit 
the application of high performing products, and that it is important 
for units designed for blower coil to also be rated as coil-only to 
offer certain consumers a compromise of cost and performance. AHRI and 
the manufacturers proposed the following modified language:

    Split-system central air conditioners other than those with 
single-speed compressors (two-stage or multi-stage) may be tested 
and rated using a blower-coil only as HSVC only if the condensing 
unit design intent is for use with a blower-coil indoor unit (e.g. 
the evaporator coil that is likely to have the largest volume of 
retails sales with the particular model of condensing unit is a 
blower-coil).

(Docket No. EERE-2014-BT-GUID-0033, AHRI No. 8 at p. 3; Nordyne, No. 
9 at p. 2; Lennox, No. 4 at p. 3; Ingersoll Rand, No. 3 at p. 2; 
Goodman, No. 10 at p. 3; Rheem, No. 2 at p. 3; JCI, No. 5 at p. 4; 
Carrier, No. 7 at p. 2 with slightly different language)

    After reviewing the comments, DOE proposes to make changes to 10 
CFR 429.16 to revise the testing and rating requirements for single-
split-system air conditioners. (See section III.F.4

[[Page 69286]]

regarding discussion of new definitions including ``single-split-
system.'') These changes will occur in two phases. In the first phase, 
prior to the compliance date of any amended energy conservation 
standards, DOE proposes only a slight change to the current 
requirements. Specifically, DOE proposes that for single-split-system 
air conditioners with single capacity condensing units, each model of 
outdoor unit must be tested with the model of coil-only indoor unit 
that is likely to have the largest volume of retail sales with the 
particular model of outdoor unit. For split-system air conditioners 
with other than single capacity condensing units each model of outdoor 
unit must also be tested with the model of coil-only indoor unit likely 
to have the largest sales volume unless the model of outdoor unit is 
sold only with model(s) of blower coil indoor units, in which case it 
must be tested and rated with the model of blower coil indoor unit 
likely to have the highest sales volume. However, any other combination 
may be rated through testing or use of an AEDM. (See section III.B 
regarding proposed changes from ARM to AEDM.) Therefore, both single 
capacity and other than single capacity systems may be rated with 
models of both coil-only or blower coil indoor units, but if the system 
is sold with a model of coil-only indoor unit, it must, at a minimum, 
be tested in that combination.
    In the second phase, DOE anticipates that any amended energy 
conservation standards will be based on blower coil ratings. Therefore, 
DOE proposes that all single-split-system air conditioner basic models 
be tested and rated with the model of blower coil indoor unit likely to 
have the largest volume of retail sales with that model of outdoor 
unit. Manufacturers would be required to also rate all other blower 
coil and coil-only combinations within the basic model but would be 
permitted do so through testing or an AEDM. DOE believes that this 
proposal will offer the benefits of design for high performance through 
the use of blower coils as well as providing appropriate 
representations for coil-only combinations. In addition, given that 
most basic models are currently submitted as blower coil ratings, this 
change will align DOE requirements with industry practice. This 
proposed change would also be accounted for in the parallel energy 
conservation standards rulemaking, and is contingent upon any proposed 
amended standards being based on blower coil ratings.
    Table III.1 summarizes these proposed changes.

   Table III.1--Test Requirements for Single-Split-System Non-Space-Constrained Air Conditioners Rated by OUMs
----------------------------------------------------------------------------------------------------------------
                Date                     Equipment type          Must test each:                With:
----------------------------------------------------------------------------------------------------------------
Before the compliance date for any   Split-System AC with    Model of Outdoor Unit.  The model of coil-only
 amended energy conservation          single capacity                                 indoor unit that is likely
 standards.                           condensing unit.                                to have the largest volume
                                                                                      of retail sales with the
                                                                                      particular model of
                                                                                      outdoor unit.
                                     Split-System AC with    Model of Outdoor Unit.  The model of coil-only
                                      other than single                               indoor unit that is likely
                                      capacity condensing                             to have the largest volume
                                      unit.                                           of retail sales with the
                                                                                      particular model of
                                                                                      outdoor unit, unless the
                                                                                      model of outdoor unit is
                                                                                      only sold with model(s) of
                                                                                      blower coil indoor units
                                                                                      in which case, the model
                                                                                      of blower coil indoor unit
                                                                                      that is likely to have the
                                                                                      largest volume of retail
                                                                                      sales with the particular
                                                                                      model of outdoor unit.
After the compliance date for any    Split-system AC.......  Model of Outdoor Unit.  The model of blower coil
 amended energy conservation                                                          indoor unit that is likely
 standards.                                                                           to have the largest volume
                                                                                      of retail sales with the
                                                                                      particular model of
                                                                                      outdoor unit.
----------------------------------------------------------------------------------------------------------------

    In order to facilitate these changes, DOE also proposes definitions 
of blower coil indoor unit and coil-only indoor unit:
     Blower coil indoor unit means the indoor unit of a split-
system central air conditioner or heat pump that includes a 
refrigerant-to-air heat exchanger coil, may include a cooling-mode 
expansion device, and includes either an indoor blower housed with the 
coil or a separate designated air mover such as a furnace or a modular 
blower (as defined in Appendix AA).
     Blower coil system refers to a split-system that includes 
one or more blower coil indoor units.
     Coil-only indoor unit means the indoor unit of a split-
system central air conditioner or heat pump that includes a 
refrigerant-to-air heat exchanger coil and may include a cooling-mode 
expansion device, but does not include an indoor blower housed with the 
coil, and does not include a separate designated air mover such as a 
furnace or a modular blower (as defined in Appendix AA). A coil-only 
indoor unit is designed to use a separately-installed furnace or a 
modular blower for indoor air movement.
     Coil-only system refers to a system that includes one or 
more coil-only indoor units.
    DOE notes that these proposed testing requirements, when combined 
with the proposed definition for basic model, require that each basic 
model have at least one rating determined through testing; no basic 
model can be rated solely using an AEDM.
    DOE also proposes that in the certification report, manufacturers 
state whether each rating is for a coil-only or blower coil 
combination.
    DOE seeks comment on its proposed changes to the determination of 
certified ratings for single-split-system air conditioners when rated 
by an OUM, as well as on the proposed definitions for blower coil and 
coil-only indoor units.
b. Split-System Heat Pumps and Space-Constrained Split Systems
    The current requirements for split-system heat pumps in 10 CFR 
429.16 require testing a condenser-evaporator coil combination with the 
evaporator coil likely to have the largest volume of retail sales with 
the particular model of condensing unit. The coil-only requirement does 
not apply to split-system heat pumps, because central heat pump indoor 
units nearly always include both a coil and a fan.
    In this notice, DOE proposes to slightly modify the wording 
explaining this requirement; specifically, the requirement would use 
the more general terms ``indoor unit'' and ``outdoor unit,'' rather 
than ``evaporator coil'' and ``condensing unit,'' since the requirement 
addresses heat pumps. DOE also proposes to apply this same test 
requirement to space-constrained split-system air conditioners and heat 
pumps. The current requirements in 10 CFR

[[Page 69287]]

429.16 do not specifically call out space-constrained systems, and as 
such, the current coil-only requirements for split-system air 
conditioners apply to space-constrained split-system air conditioners. 
Therefore, this proposal will change test procedures for space-
constrained split-system air conditioners but will not change, other 
than in nomenclature, the test procedures for space-constrained split-
system heat pumps.
c. Multi-Split, Multi-Circuit, and Single-Zone-Multiple-Coil Units
    The current requirements in 10 CFR 429.16(a)(2)(ii) specify that 
multi-split systems and mini-split systems designed to always be 
installed with more than one indoor unit (now proposed to be called 
single-zone-multiple-coil units, see section III.F.4) be tested using a 
``tested combination'' as defined in 10 CFR 430.2. For multi-split 
systems, each model of condensing unit currently must be tested with a 
non-ducted tested combination and a ducted tested combination. 
Furthermore, current requirements for testing with a coil-only indoor 
unit do not apply to mini-splits or multi-splits, as the general use of 
these terms in the industry refers to specific types of systems with 
blower coil indoor units. Id.
    The current requirements also state that for other multi-split 
systems that include the same model of condensing unit but a different 
set of evaporator coils, whether the evaporator coil(s) are 
manufactured by the same manufacturer or by a component manufacturer 
(i.e., ICM), the rating must be: (1) Set equal to the rating for the 
non-ducted indoor unit system tested (for systems composed entirely of 
non-ducted units), (2) set equal to the rating for the ducted indoor 
unit system tested (for systems composed entirely of ducted units), or 
(3) set equal to the mean of the values for the two systems (for 
systems having a mix of non-ducted and ducted indoor units). (10 CFR 
429.16(a)(2)(ii))
    In this notice, DOE proposes a slight modification to the testing 
requirements for single-zone-multiple-coil and multi-split systems, and 
adds similar requirements for testing multi-circuit systems (see 
section III.C.2 for more information about these systems). DOE also 
clarifies that these requirements apply to VRF systems that are single-
phase and less than 65,000 Btu/h (see section III.A.3.c for more 
details). For all multi-split, multi-circuit, and single-zone-multiple-
coil split systems, DOE proposes that at a minimum, each model of 
outdoor unit must be tested as part of a tested combination (as defined 
in the CFR) composed entirely of non-ducted indoor units. For any 
models of outdoor units also sold with short-ducted indoor units, a 
second ``tested combination'' composed entirely of short-ducted indoor 
units would be required to be tested. DOE also proposes the 
manufacturers may rate a mixed non-ducted/short-ducted combination as 
the mean of the represented values for the tested non-ducted and short-
ducted combinations.
    Under the proposed definition of basic model, these three 
combinations (non-ducted, short-ducted, and mixed) would represent a 
single basic model. When certifying the basic model, manufacturers 
should report ``* * *'' for the indoor unit model number, and report 
the test sample size as the total of all the units tested for the basic 
model, not just the units tested for each combination. For example, if 
the manufacturer tests 2 units of a non-ducted combination and 2 units 
of a short-ducted combination, and also rates a mix-match combination, 
the manufacturer should specify ``4'' as the test sample size for the 
basic model, while providing the rating for each combination. DOE also 
proposes that manufacturers be allowed to test and rate specific 
individual combinations as separate basic models, even if they share 
the same model of outdoor unit. In this case, the manufacturer must 
provide the individual model numbers for the indoor units rather than 
stating ``* * *''. Table III.2 provides an example of both situations.

                                                  Table III.2--Example Ratings for Multi-Split Systems
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Individual model          Individual model                                       Non-ducted
             Basic model                    (outdoor unit)            (indoor unit)         Sample size    Ducted rating      rating        Mix rating
--------------------------------------------------------------------------------------------------------------------------------------------------------
ABC..................................  ABC.....................  * * *..................               4              14              15            14.5
ABC1.................................  ABC.....................  2-A123; 3-JH746........               2  ..............              17  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------

    DOE requests comment on whether additional requirements are 
necessary for multi-split systems paired with models of conventional 
ducted indoor units rather than short-duct indoor units.
    DOE also notes that the test procedure currently allows testing of 
only non-ducted or short-ducted systems, and not combinations of the 
two. Therefore to rate individual mix-match combinations, manufacturers 
would have to test 4 units--2 ducted and 2 short-ducted. DOE requests 
comment on whether manufacturers should have the ability to test mix-
match systems using the test procedure rather than rating them using an 
average of the other tested systems. DOE also requests comment on 
whether manufacturers should be able to rate mix-match systems using 
other than a straight average, such as a weighting by the number of 
non-ducted or short-ducted units. Finally, DOE requests comment on 
whether the definition of ``tested combination'' is appropriate for 
rating specific individual combinations, or whether manufacturers 
should be given more flexibility, such as testing with more than 5 
indoor units.
    In reviewing the market for multi-split systems, DOE determined 
that some are sold by OUMs with only models of small-duct, high 
velocity (SDHV) indoor units, or with a mix of models of short-duct and 
SDHV units. (See section III.F.2 regarding the proposed definition of 
short ducted systems.) These kinds of units are not currently 
explicitly addressed in DOE's test requirements. Therefore, DOE 
proposes to add a requirement that for any models of outdoor units also 
sold with models of SDHV indoor units, a ``tested combination'' 
composed entirely of SDHV indoor units must be used for testing and 
rating. However, such a system must be certified as a different basic 
model.
    DOE notes that multi-split systems consisting of a model of outdoor 
unit paired with models of non-ducted or short-ducted units must meet 
the energy conservation standards for split-system air conditioners or 
heat pumps, while systems consisting of a model of outdoor unit paired 
with models of small-duct, high-velocity indoor units must meet SDHV 
standards. DOE proposes to add a limitations section in 429.16 that 
would require models of outdoor units that are rated and distributed in 
combinations that span multiple product classes to be tested and 
certified as compliant with the

[[Page 69288]]

applicable standard for each product class. Even if a manufacturer 
sells a combination including models of both SDHV and other non-ducted 
or short-ducted indoor units, DOE proposes that the manufacturer may 
not provide a mix-match rating for such combinations. DOE requests 
comment on whether manufacturers would want to rate such combinations, 
and if so, how they would prefer to rate them (i.e., by by taking the 
mean of a sample of tested non-ducted units and a sample of tested SDHV 
units or by testing a combination on non-ducted and SDHV units), and 
whether the SDHV or split-system standard would be most appropriate.
    DOE understands that manufacturers of multi-split systems commonly 
only test one sample rather than complying with the sampling plan 
requirements in 429.16(a)(2)(i), which require a sample of two. DOE may 
consider moving toward a single unit sample for single-zone multiple-
coil and multi-split system models, but in order to do so, DOE requires 
information on manufacturing and testing variability associated with 
these systems. In particular, DOE requires data to allow it to 
understand how a single unit sample may be representative of the 
population. DOE also requests information on what tolerances would need 
to be applied to the ratings of these units based on a single unit 
sample in order to account for the variability.
d. Basic Models Rated by ICMs
    The current requirements in 10 CFR 429.16(a) require that each 
condensing unit of a split system must be tested using the HSVC 
associated with that condensing unit. There are no current requirements 
for testing each model of indoor unit of a split system. Non-HSVC 
combinations can be rated using an ARM, assuming the condensing unit of 
the combination has a separate HSVC rating based on testing. DOE 
understands that ICMs typically do not test all of their models of 
indoor units, but rather use OUM test data for outdoor units to 
generate ratings for their models. (See section III.B on AEDMs for 
further information.) In this notice, DOE proposes that ICMs must test 
and provide certified ratings for each model of indoor unit (i.e., 
basic model) with the least-efficient model of outdoor unit with which 
it will be paired, where the least- efficient model of outdoor unit is 
the outdoor unit in the lowest-SEER combination as certified by the 
OUM. If more than one model of outdoor unit (with which the ICM wishes 
to rate the model of indoor unit) has the same lowest-SEER rating, the 
ICM may select one for testing purposes. This applies to both 
conventional (i.e., non-short-duct, non-SDHV) split-systems and SDHV 
systems. ICMs must rate all other individual combinations of the same 
model of indoor unit, but may determine those ratings through testing 
or use of an AEDM.
    DOE understands that this proposal would increase test burden for 
ICMs beyond the testing they currently conduct to meet ARM validation 
requirements. However, DOE believes this burden is outweighed by the 
benefit of providing more accurate ratings for models of indoor units 
sold by ICMs. Additional discussion regarding potential test 
requirements for ICMs can be found in the stakeholder comments 
regarding AEDMs in section III.B.5.
    DOE understands that the proposed definition of basic model for an 
ICM, including what constitutes the ``same'' model of indoor unit and 
thus would be required to be tested, is important for accurately 
assessing the test burden for manufacturers as a result of this test 
proposal. DOE seeks comment on the basic model definition in section 
III.A.1. DOE also seeks comment on the proposed testing requirements 
for ICMs.
e. Single-Package Systems
    In the current regulations, 10 CFR 429.16(a)(2)(i) states that each 
single-package system a must have a sample of sufficient size tested in 
accordance with the applicable provisions of Subpart B. In this notice, 
DOE proposes that the lowest SEER individual model within each basic 
model must be tested. DOE expects that in most cases, each single-
package system will represent its own basic model. However, based on 
the proposal for the definition of basic model in section III.A.1, this 
may not always be the case. DOE notes that regardless, AEDMs do not 
apply to single-package models--manufacturers may either test and rate 
each individual single-package model, or if multiple individual models 
are assigned to the same basic model per the proposed requirements in 
the basic model definition, the manufacturer would be required to test 
only the lowest SEER individual model within the basic model and use 
that to determine the rating for the basic model.
    DOE requests comment on the likelihood of multiple individual 
models of single-package units meeting the requirements proposed in the 
basic model definition to be assigned to the same basic model. DOE also 
requests comment on whether, if manufacturers are able to assign 
multiple individual models to a single basic model, manufacturers would 
want to use an AEDM to rate other individual models within the same 
basic model other than the lowest SEER individual model. Finally, DOE 
requests comment on whether manufacturers would want to employ an AEDM 
to rate the off-mode power consumption for other variations of off-mode 
associated with the basic model other than the variation tested.
    DOE also proposes to specify this same requirement for space-
constrained single-package air conditioners and heat pumps, which are 
currently not explicitly identified in the test requirement section.
f. Replacement Coils
    DOE stated in the August 20 Guidance that an individual condensing 
unit or coil must meet the current Federal standard (National or 
regional) when paired with the appropriate other new part to make a 
system when tested in accordance with the DOE test procedure and 
sampling plan.
    In response, AHRI and manufacturers commented that they believed 
the intent of the guidance was to clarify how the outdoor section of a 
split system used in a replacement situation can be tested and rated to 
meet the appropriate efficiency requirements. However, they felt this 
language should not apply to the indoor coil. AHRI stated that indoor 
coil is rarely changed and when it is, such as for an irreparable leak, 
it requires an exact replacement. In addition, they note that 
warranties can extend up to 10 years. Commenters also expressed the 
view that the guidance would not result in an improvement to installed 
product efficiency. (Docket No. EERE-2014-BT-GUID-0032, AHRI, No. 8 at 
pp. 2-3; Rheem, No. 2 at p. 3; Goodman, No. 10 at pp. 2-3; Ingersoll 
Rand, No. 3 at p. 2; Lennox, No. 4 at p. 2; Nordyne, No. 9 at p. 2) 
AHRI and the manufacturers recommended removing indoor coils from the 
draft guidance language on replacement. (Id.; JCI, No. 5 at p. 6)
    Johnson Controls added further detail that using the term coil does 
not differentiate between service parts (listed with part numbers) and 
finished component assemblies (listed as a coil model) or between 
evaporator coils and condenser coils. Johnson Controls added that 
replacement parts cannot be rated as a finished coil assembly because 
the replacement parts do not contain sheet metal parts required to 
complete the installation. They also added that where the physical 
characteristics of an evaporator coil are significantly different when 
compared to a new system, replacing the old evaporator coil with a new 
coil model rather than a replacement part could result in increased 
cost and reduced

[[Page 69289]]

performance, reliability, and comfort. (Docket No. EERE-2014-BT-GUID-
0032, JCI, No. 5 at pp. 4-6)
    Mortex also commented that replacement with a different evaporator 
coil design and size could lead to issues of fitting or size constraint 
problems and refrigerant metering and charging differences. The end 
result (if design air volume rate is hampered and refrigerant circuit 
performance is modified) could lead to less efficiency than the pre-
failure situation. (Docket No. EERE-2014-BT-GUID-0032, Mortex, No. 6 at 
p. 1)
    DOE also notes that the ASRAC regional standards enforcement 
Working Group agreed that manufacturers do not need to keep track of 
components including uncased coils. (Docket No. EERE-2011-BT-CE-0077-
0070, Attachment)
    In consideration of the comments and the Working Group proposals, 
DOE notes that its proposed definition of ``indoor unit'' refers to the 
box rather than just a coil. Accordingly, legacy indoor coil 
replacements and uncased coils would not meet the definition of indoor 
unit. Furthermore, by defining air conditioners and heat pumps as 
consisting of a single-package unit, an outdoor unit and one or more 
indoor units, an indoor unit only, or an outdoor unit only, legacy 
indoor coil replacements and uncased coils would not meet the 
definition of a central air conditioner or heat pump. Hence, they would 
not need to be tested or certified as meeting the standard.
g. Outdoor Units With No Match
    For split-system central air conditioners and heat pumps, current 
DOE regulations require that manufacturers test the condensing unit and 
``the evaporator coil that is likely to have the largest volume of 
retail sales with the particular model of condensing unit'' (commonly 
referred to as the highest sales volume combination). 10 CFR 
4429.16(a)(2)(ii). Effective January 1, 2010, the U.S. Environmental 
Protection Agency (EPA) banned the sale and distribution of those 
central air conditioning systems and heat pump systems that are 
designed to use HCFC-22 refrigerant. 74 FR 66450 (Dec. 15, 2009). EPA's 
rulemaking included an exception for the manufacture and importation of 
replacement components, as long as those components are not pre-charged 
with HCFC-22. Id. at 66459-60.
    Because complete HCFC-22 systems can no longer be distributed, 
manufacturers inquired how to test and rate individual components--
because these components are sold separately, there are no highest 
sales volume combinations. Because the EPA prohibits distribution of 
new HCFC-22 condensing unit and coil combinations (i.e., complete 
systems), there is no such thing as a HSVC, and hence, testing and 
rating of new HCFC-22 combinations cannot be conducted using the 
existing test procedure.
    DOE expects that the HCFC-22 indoor and outdoor units remaining on 
the market are part of legacy offerings that were initially sold five 
or more years ago. These components of HCFC-22 systems were in 
production for sale as part of matched systems before the EPA 
regulations became effective on January 1, 2010. While EPA's rulemaking 
bans the sale of HCFC-22 systems that are charged with refrigerant 
while allowing sale of uncharged components of such systems, EPA's rule 
has no effect on the efficiency rating of these systems or on 
requirements for DOE efficiency standards that they must meet. The DOE 
test procedure used prior to January 15, 2010 that would have been used 
to rate these systems is no longer valid, thus these ratings can no 
longer be used as the basis for representing their efficiency. The 
individual indoor coils and outdoor units of such systems that could 
potentially meet the current standard may continue to be manufactured 
only if the manufacturer uses a valid test procedure to ensure 
compliance (i.e., to certify compliance) and for representations.
    Generally, when a model cannot be tested in accordance with the DOE 
test procedure, manufacturers must submit a petition for a test 
procedure waiver for DOE to assign an alternative test method. 10 CFR 
430.27(a)(1) Instead, DOE proposes in this notice a test procedure that 
may be used for rating and certifying the compliance of these outdoor 
units. DOE proposes in this notice to specify coil characteristics that 
should be used when testing models of outdoor units that do not have a 
HSVC. Specifically, these requirements include limitations on coil tube 
geometries and dimensions and coil fin surface area. These outdoor unit 
models, when tested with the specified indoor units, must meet 
applicable Federal standards. (See section III.A.4 for more information 
on compliance.) This proposal is consistent with the regional standards 
enforcement Working Group recommendation that a person cannot install a 
replacement outdoor unit unless it is certified as part of a 
combination that meets the applicable standard. (Docket No. EERE-2011-
BT-CE-0077-0070, Attachment) The new test procedure would be effective 
(i.e., allowed for use for such certifications) 30 days after it is 
finalized and would be required for use for such systems (i.e., rather 
than any granted waiver test procedure) beginning 180 days after it is 
finalized.
    In response to the August 20, 2014 draft guidance document, Carrier 
requested clarification that the finalized guidance would replace DOE's 
draft guidance document issued on January 1, 2012, regarding central 
air conditioning systems and air conditioning heat pump systems that 
are designed to use dry R-22 condensing units. (Docket No. EERE-2014-
BT-GUID-0032, Carrier, No. 7 at p. 2) If finalized, this proposed test 
procedure would replace both the 2012 guidance document for dry R-22 
units as well as the 2014 draft guidance document on unit selection 
regarding condensing units for replacement applications.
4. Compliance With Federal (National or Regional) Standards
    In the August 20, 2014 draft guidance document (EERE-2014-BT-GUID-
0032), DOE discussed whether each basic model of split-system air 
conditioner or heat pump has to meet the applicable standard. DOE 
stated that compliance with standards is based on the statistical 
concept that an entire population of units (where ``unit'' refers to a 
complete system) of a basic model must meet the standard, recognizing 
that efficiency measurements for some units may be better or worse than 
the standard due to manufacturing or testing variation. Manufacturers 
apply the statistical formulae in 10 CFR 429.16 to demonstrate 
compliance, and DOE applies the statistical formulae in 10 CFR part 
429, subpart C, Appendix A to determine compliance.
    Further, DOE stated that the only condensing units and coils that 
may be installed in the region are those that can meet the regional 
standard when tested and rated as a new system in accordance with the 
test procedure and sampling plan as described above.
    In response, AHRI and several manufacturers recommended the 
following additions to DOE's statements regarding compliance:

    ``Compliance with national or regional standards is based on the 
statistical concept that an entire population of units (where 
``unit'' refers to a complete system) of a basic model including 
Highest Sales Volume Tested Combination and all other combinations 
must meet the standard, recognizing that some individual units may 
perform slightly better or worse than the design due to 
manufacturing or testing variation.''
    (Docket No. EERE-2014-BT-GUID-0032, AHRI, No. 8 at p. 2; Rheem, 
No. 2 at p. 2; Goodman, No. 10 at p. 2; Ingersoll Rand, No. 3 at p. 
1; Lennox, No. 4 at p. 2; Nordyne, No.

[[Page 69290]]

9 at pp. 1-2; JCI, No. 5 at p. 3; Carrier, No. 7 at p. 6)

    In addition, Carrier commented that with respect to the discussion 
about selection of units for testing, the HSVC should be determined for 
the applicable region. (Docket No. EERE-2014-BT-GUID-0032, Carrier, No. 
7 at p. 4)
    AHRI and several manufacturers recommended the following addition 
to the paragraph on condensing units sold as replacements:

    ``In summary, DOE interprets for the regional standard to 
require that the least efficient rating combination for a specified 
model of condensing unit must be 14 SEER with a coil only rating 
where 14 SEER is the regional standard. Any model that has a 
certified combination below the regional standard cannot be 
installed in the region. This interpretation of the regional 
standard also applies to units shipped without refrigerant charge.''
    (Docket No. EERE-2014-BT-GUID-0032, AHRI, No. 8 at p. 2; Rheem, 
No. 2 at p. 3; Goodman, No. 10 at p. 3; Ingersoll Rand, No. 3 at p. 
3; Lennox, No. 4 at p. 3; Nordyne, No. 9 at pp. 2-3; JCI, No. 5 at 
p. 6)

    Carrier provided slightly different recommended language:

    ``Given the different Federal standards, National and regional, 
the least efficient rating combination for a specified model of 
condensing unit must: (i) in the regions where the regional standard 
applies, be rated and certified on as performing at or above the 
current regional standard with a coil only rating; and (ii) where 
the National standard applies, be rated and certified as performing 
at or above the current National standard with a coil only rating. 
For purposes of clarity, any basic model that has a certified 
combination below the current regional standard cannot be installed 
in the region. This interpretation also applies to dry condensing 
units.'' (Docket No. EERE-2014-BT-GUID-0032, Carrier, No. 7 at pp. 
1-2)

    In contrast, Carrier also suggested that the guidance document 
discussion of unit selection and basic models should replace references 
to ``Federal standard'' with ``Federal (national or regional) 
standard''. (Carrier, No. 7 at pp. 4-5)
    The regional standards enforcement Working Group suggested the 
regional standards required clarification because a particular 
condensing unit may have a range of efficiency ratings when paired with 
various indoor evaporator coils and/or blowers. The Working Group 
provided the following four recommendations to clarify the regional 
standards: That (1) the least-efficient rated combination for a 
specified model of condensing unit must be 14 SEER for models installed 
in the Southeast and Southwest regions; (2) the least-efficient rated 
combination for a specified model of condensing unit must meet the 
minimum EER for models installed in the Southwest region; (3) any 
condensing unit model that has a certified combination that is below 
the regional standard(s) cannot be installed in that region; and (4) a 
condensing unit model certified below a regional standard by the 
original equipment manufacturer cannot be installed in a region subject 
to a regional standard(s) even with an independent coil manufacturer's 
indoor coil or air handler combination that may have a certified rating 
meeting the applicable regional standard(s). (Docket No. EERE-2011-BT-
CE-0077-0070, Attachment)
    After reviewing stakeholder comments and the Working Group report, 
DOE agrees that all individual models or combinations within a basic 
model must meet the applicable national or regional standard. DOE 
proposes to add requirements to the relevant provisions of section 
430.32 that the least-efficient combination of each basic model must 
comply with the regional SEER and EER standards.
    In addition, as noted in section III.A.1, DOE proposes that if any 
individual combination within a basic model fails to meet the standard, 
the entire basic model (i.e., model of outdoor unit) must be removed 
from the market. In order to clarify the limitations on sales of models 
of outdoor units across regions with different standards, DOE proposes 
to add a limitation in section 429.16 that any model of outdoor unit 
that is certified in a combination that does not meet all regional 
standards cannot also be certified in a combination that meets the 
regional standard(s). Outdoor unit model numbers cannot span regions 
unless the model of outdoor unit is compliant with all standards in all 
possible combinations. If a model of outdoor unit is certified below a 
regional standard, then it must have a unique individual model number 
for distribution in each region. For example:

----------------------------------------------------------------------------------------------------------------
                            Individual model #    Individual model #    Certified rating
       Basic model            (outdoor unit)         (indoor unit)         (SEER/EER)            Permitted?
----------------------------------------------------------------------------------------------------------------
AB12.....................  ABC**#**-***........  SO123...............           14.5/12.0  NO.
AB12.....................  ABC**#**-***........  SW123...............           15.0/12.8
AB12.....................  ABC**#**-***........  N123................           13.9/11.7
CD13.....................  CDESO**-*#*.........  SO123...............           14.5/12.0  YES.
CD13.....................  CDESW**-*#*.........  SW123...............           15.0/12.8
CD13.....................  CDEN***-*#*.........  N123................           13.9/11.7
EF12.....................  EFCS**#**-***.......  SO123...............           14.5/12.2  YES.
EF12.....................  EFCS**#**-***.......  SW123...............           14.6/12.4
EF12.....................  EFCN**#**-***.......  N123................           13.9/11.7
----------------------------------------------------------------------------------------------------------------

5. Certification Reports
    To maximize test repeatability and reproducibility for assessment 
and enforcement testing, DOE proposes to amend the certification 
reporting requirements.
    DOE proposes to clarify what basic model number and individual 
model numbers must be reported for central air conditioners and heat 
pumps:

----------------------------------------------------------------------------------------------------------------
                                                                      Individual model number(s)
         Equipment type           Basic model number -----------------------------------------------------------
                                                               1                   2                   3
----------------------------------------------------------------------------------------------------------------
Single Package..................  Number unique to    Package...........  N/A...............  N/A.
                                   the basic model.
Split System (rated by OUM).....  Number unique to    Outdoor Unit......  Indoor Unit(s)....  Air Mover (or N/A
                                   the basic model.                                            if rating coil-
                                                                                               only system or
                                                                                               fan is part of
                                                                                               indoor unit model
                                                                                               number).

[[Page 69291]]

 
Outdoor Unit Only...............  Number unique to    Outdoor Unit......  N/A...............  N/A.
                                   the basic model.
Split-System or SDHV (rated by    Number unique to    Outdoor Unit......  Indoor Unit(s)....  N/A.
 ICM).                             the basic model.
----------------------------------------------------------------------------------------------------------------

    Each basic model number must be unique in some way so that all 
individual models or combinations within the same basic model can be 
identified.
    DOE also proposes to require product-specific information at 10 CFR 
429.16(c)(4) that is not public and will not be displayed in DOE's 
database. Several proposed requirements are addressed in the remainder 
of this notice in response to comments on specific issues or in 
relation to test procedure changes. In addition, several other 
requirements are discussed in this section.
    In order for DOE to replicate the test setup for its assessment 
tests, DOE proposes that manufacturers that wish to certify multi-
split, multiple-circuit, and single-zone-multiple-coil systems report 
the number of indoor units tested with the outdoor unit, the nominal 
cooling capacity of each indoor unit and outdoor unit, and the indoor 
units that are not providing heating or cooling for part-load tests. 
Manufacturers that wish to certify systems that operate with multiple 
indoor fans within a single indoor unit shall report the number of 
indoor fans; the nominal cooling capacity of the indoor unit and 
outdoor unit; which fan(s) are operating to attain the full-load air 
volume rate when controls limit the simultaneous operation of all fans 
within the single indoor unit; and the allocation of the full-load air 
volume rate to each operational fan when different capacity blowers are 
connected to the common duct.
    Similarly, DOE proposes that for those models of indoor units 
designed for both horizontal and vertical installation or for both up-
flow and down-flow vertical installations, the orientation used during 
certification testing shall be included on the certification test 
reports.
    DOE also proposes that the maximum time between defrosts as allowed 
by the controls be included on the certification test reports. For 
units with time-adaptive defrost control, the frosting interval used 
during the Frost Accumulation tests and the associated procedure for 
manually initiating defrost at the specified time, if applicable, 
should also be included on the certification test reports.
    DOE also proposes that for variable-speed units, the compressor 
frequency set points and the required dip switch/control settings for 
step or variable components should be included. For variable-speed heat 
pumps, DOE proposes that manufacturers report whether the unit controls 
restrict use of minimum compressor speed operation for some range of 
operating ambient conditions, whether the unit controls restrict use of 
maximum compressor speed operation for any ambient temperatures below 
17 [deg]F, and whether the optional H42 low temperature test 
was used to characterize performance at temperatures below 17 [deg]F.
    Finally, DOE proposes that manufactures report air volume rates and 
airflow-control settings.
    DOE recognizes that additional reporting requirements in 
certification test reports increases reporting burden because 
manufacturers must spend additional time to add such content to the 
report. However, DOE believes that a knowledgeable person in the field 
would not find the additional information difficult to provide and 
could do so in a reasonable amount of time. Thus, DOE does not believe 
that the added reporting requirements are significantly burdensome to 
warrant excluding them. DOE requests comment on this issue.
6. Represented Values
    DOE proposes to make several additions to the represented value 
requirements in 10 CFR 429.16. First, DOE proposes to add a requirement 
that the represented value of cooling capacity, heating capacity, and 
sensible heat ratio (SHR) shall be the mean of the values measured for 
the sample. Second, DOE proposes to move the provisions currently in 10 
CFR 430.23 regarding calculations of various measures of energy 
efficiency and consumption for central air conditioners to 10 CFR 
429.16. Specifically, while Part 430 would refer to the test procedure 
appendix and section therein to use for each metric and the rounding 
requirements for test results of individual units, Part 429 would refer 
to how to calculate annual operating cost for the sample based on 
represented values of cooling capacity and SEER, and how to round the 
represented values based on the sample for other measures of energy 
efficiency and consumption. DOE proposes minor changes to the 
calculations of annual operating cost to address changes proposed in 
Appendix M and M1. Table III.3 shows the proposed rounding requirements 
for each section. DOE requests comment on these values.

                     Table III.3--Rounding Proposals
------------------------------------------------------------------------
                                  10 CFR 430.23 (one     10 CFR 429.16
             Measure                     unit)             (sample)
------------------------------------------------------------------------
Cooling capacity/heating
 capacity:
    <20,000 Btu/h...............  nearest 50 Btu/h..  nearest 100 Btu/h.
    >=20,000 Btu/h and <38,000    nearest 100 Btu/h.  nearest 200 Btu/h.
     Btu/h.
    >=38,000 Btu/h and <65,000    nearest 250 Btu/h.  nearest 500 Btu/h
     Btu/h.
Annual operating cost...........  N/A...............  nearest dollar per
                                                       year.
EER/SEER/HSPF/APF...............  nearest 0.025.....  nearest 0.05.
Off-mode power consumption......  nearest 0.5 watt..  nearest watt.
Sensible heat ratio.............  nearest 0.5%......  nearest percent
                                                       (%).
------------------------------------------------------------------------


[[Page 69292]]

7. Product-Specific Enforcement Provisions
    DOE proposes to verify during assessment or enforcement testing the 
cooling capacity certified for each basic model or individual 
combination. DOE proposes to measure the cooling capacity of each 
tested unit pursuant to the test requirements of 10 CFR part 430. The 
results of the measurement(s) will be compared to the value of cooling 
capacity certified by the manufacturer. If the measurement is within 
five percent of the certified cooling capacity, DOE will use the 
certified cooling capacity as the basis for determining SEER. 
Otherwise, DOE will use the measured cooling capacity as the basis for 
determining SEER.
    DOE also proposes to require manufacturers to report the cyclic 
degradation coefficient (CD) value used to determine 
efficiency ratings. In this proposal, DOE would run CD 
testing as part of any assessment or verification testing, except when 
testing an outdoor unit with no match. If the measurement is 0.02 or 
more greater than the certified value, DOE would use the measurement as 
the basis for calculation of SEER or HSPF. Otherwise, DOE would use the 
certified value. For models of outdoor units with no match, DOE would 
always use the default value.

B. Alternative Efficiency Determination Methods

1. General Background
    For certain consumer products and commercial equipment, DOE's 
existing regulations allow the use of an alternative efficiency 
determination method (AEDM) or alternative rating method (ARM), in lieu 
of actual testing, to estimate the ratings of energy consumption or 
efficiency of basic models by simulating their energy consumption or 
efficiency at the test conditions required by the applicable DOE test 
procedure. The simulation method permitted by DOE for use in rating 
split-system central air conditioners and heat pumps, in accordance 
with 10 CFR 429.70(e), is referred to as an ARM. In contrast to an 
AEDM, an ARM must be approved by DOE prior to its use.
    The simulation methods represented by AEDMs or ARMs are computer 
modeling or mathematical tools that predict the performance of non-
tested individual or basic models. They are derived from mathematical 
models and engineering principles that govern the energy efficiency and 
energy consumption of a particular basic model of covered product based 
on its design characteristics. (In the context of this discussion, the 
term ``covered product'' applies both to consumer products and 
commercial and industrial equipment that are covered under EPCA.) These 
computer modeling and mathematical tools can provide a relatively 
straightforward means to predict the energy usage or efficiency 
characteristics of an individual or basic model of a given covered 
product and reduce the burden and cost associated with testing certain 
covered products that are inherently difficult or expensive to test. 
When properly developed, they can predict the performance of a product 
accurately enough to be statistically representative under DOE's 
sampling requirements.
    On April 18, 2011, DOE published a Request for Information (AEDM 
RFI) in the Federal Register. 76 FR 21673. Through the AEDM RFI, DOE 
requested suggestions, comments, and information relating to the 
Department's intent to expand and revise its existing AEDM and ARM 
requirements for consumer products and commercial and industrial 
equipment covered under EPCA. In response to comments it received on 
the AEDM RFI, DOE published a Notice of Proposed Rulemaking (AEDM NOPR) 
in the Federal Register on May 31, 2012. 77 FR 32038. DOE also held a 
public meeting on June 5, 2012, to present proposals in the AEDM NOPR 
and to receive comments from stakeholders. In the AEDM NOPR, DOE 
proposed the elimination of ARMs, and the expansion of AEDM 
applicability to those products for which DOE allowed the use of an ARM 
(i.e., split-system central air conditioners and heat pumps). 77 FR at 
32055. Furthermore, DOE proposed a number of requirements that 
manufacturers must meet in order to use an AEDM as well as a method 
that DOE would employ to determine if an AEDM was used appropriately 
along with specific consequences for misuse of an AEDM. 77 FR at 32055-
56.
    The purpose of the AEDM rulemaking was to establish a uniform, 
systematic, and fair approach to the use of modeling techniques that 
would enable DOE to ensure that products in the marketplace are 
correctly rated--irrespective of whether they are rated based on 
physical testing or modeling--without unnecessarily burdening regulated 
entities. DOE solicited suggestions, comments, and information related 
to its proposal and accepted written comments on the AEDM NOPR through 
July 2, 2012. DOE subsequently formed a working group through the 
Appliance Standards and Rulemaking Federal Advisory Committee (ASRAC) 
(see the Notice of Intent To Form the Commercial HVAC, WH, and 
Refrigeration Certification Working Group and Solicit Nominations To 
Negotiate Commercial Certification Requirements for Commercial HVAC, 
WH, and Refrigeration Equipment, published on March, 12, 2013, 78 FR 
15653), which addressed revisions to the AEDM requirements for 
commercial and industrial equipment covered by EPCA and resulted in the 
subsequent publishing of a SNOPR on October 22, 2013 (78 FR 62472) and 
a final rule on December 31, 2013 (78 FR 79579). In the final rule, DOE 
made, among others changes, revisions to pre-approval requirements, 
validation requirements, and DOE verification testing requirements for 
the AEDM process for commercial HVAC equipment.
    In this notice, DOE proposes modifications to the central air 
conditioners and heat pump AEDM requirements proposed in the AEDM NOPR 
with consideration of the comments received on the AEDM NOPR specific 
to these products, as well as the requirements implemented for 
commercial HVAC equipment in the December 2013 AEDM final rule.
2. Terminology
    In the AEDM NOPR, DOE proposed to eliminate the term ``alternate 
rating method'' (ARM) and instead use the term ``alternative efficiency 
determination method'' (AEDM) to refer to any modeling technique used 
to rate and certify covered products. 77 FR 32038, 32040 (May 31, 
2012). DOE proposed to refer to any technique used to model product 
performance as an AEDM, but recognized that there are product-specific 
considerations that should be accounted for in the development of an 
AEDM and thus, in the proposed methodology for validating product-
specific AEDMs. Id.
    DOE received a number of comments in response to its proposal to 
solely apply the term AEDM to any modeling technique used to rate and 
certify covered products. Bradford White Corporation (Bradford White), 
United Technologies Climate, Controls & Security and ITS Carrier (UTC/
Carrier), and Nordyne, LLC (Nordyne) agreed with DOE that one term 
should be used. (Docket No. EERE-2011-BT-TP-0024, Bradford White, No. 
38 at p. 1; UTC/Carrier, No. 56 at p. 1; Nordyne, No. 55 at p. 1) \8\ 
AAON, Inc. (AAON) supported

[[Page 69293]]

DOE's proposal to combine requirements for ARMs and AEDMs, but did not 
differentiate between the terminology and the methodological changes 
proposed. (AAON, No. 40 at p. 2) DOE also received a number of 
comments, both written and at the public meeting, regarding the 
differences in ARM and AEDM methodology. Those comments are discussed 
in section III.B.3 of this document. In addition, DOE received numerous 
comments regarding the validation of AEDMs for different product types, 
which are discussed in section III.B.4 of this document.
---------------------------------------------------------------------------

    \8\ Unless otherwise specified, further references in this 
section (section III.B) to comments received by DOE are to those 
associated with the AEDM rulemaking (Docket No. EERE-2011-BT-TP-
0024). References to the public meeting are to the June 5, 2012 
public meeting on the AEDM NOPR, the transcript of which is in the 
AEDM rulemaking docket.
---------------------------------------------------------------------------

    In response to comments received, DOE is continuing to propose the 
use of one term, AEDM, to refer to all modeling techniques used to 
develop certified ratings of covered products. DOE believes that since 
the two methods are conceptually similar, the use of one term is 
appropriate. DOE would like to clarify that the use of one term to 
refer to all modeling techniques used to develop certified ratings of 
covered products and equipment does not indicate a uniform process or 
requirements for their use across all covered products, nor does it 
imply that DOE will not include any of the current ARM provisions as 
part of the proposed AEDM provisions. Further, similar to the 
differences between AEDMs for distribution transformers and commercial 
HVAC products, DOE proposes validation requirements that will account 
for the differences between HVAC products and other covered equipment.
3. Elimination of the Pre-Approval Requirement
    Under current regulations, ARMs used by manufacturers of split-
system central air conditioners and central heat pumps must be approved 
by the Department before use. (10 CFR 429.70(e)(2)) Manufacturers who 
elect to use an ARM to rate untested basic models pursuant to 10 CFR 
429.16(a)(2)(ii)(B)(1) must, among other requirements, submit to the 
Department full documentation of the rating method including a 
description of the methodology, complete test data on four mixed 
systems per each ARM, and product information on each indoor and 
outdoor unit of those systems. Furthermore, manufacturers are not 
permitted to use the ARM as a rating tool prior to receiving 
Departmental approval.
    In the AEDM RFI, DOE requested comment on the necessity of a pre-
approval requirement for AEDMs and/or ARMs. 76 FR 21673, 21674 (April 
18, 2011). Based on the comments received in response to the AEDM RFI, 
DOE perceived no benefit in the additional burden imposed by a pre-
approval requirement and that a pre-approval process could cause time-
to-market delays. Pursuant to those comments, DOE proposed in the AEDM 
NOPR to eliminate the pre-approval process currently in place for 
central air conditioner and heat pump ARMs. 77 FR 32038, 32040-41 (May 
31, 2012). DOE believed that this would reduce the burden currently 
placed on manufacturers by eliminating the time-to-market delays caused 
by completing the necessary request for approval before bringing 
products to market. Furthermore, DOE believed that elimination of the 
pre-approval requirement would promote innovation because an ARM would 
not need to be approved or re-approved to account for any changes in 
technology. Id.
    In the AEDM NOPR, DOE sought comment regarding its proposal to 
eliminate the pre-approval requirement for ARMs for central air 
conditioners and heat pumps and received mixed responses. Modine 
Manufacturing Corporation (Modine) supported DOE's proposal to 
eliminate the pre-approval requirement. (Modine, No. 42 at p. 1) Lennox 
International, Inc. (Lennox) and Unico, Inc. (Unico), however, 
suggested that removal of the pre-approval requirement could lead to 
incorrect ratings and unfair competition in the marketplace, which 
could negatively impact consumers. (Lennox, No. 46 at p. 2; Unico, No. 
54 at p. 2) Furthermore, Johnson Controls, Inc. (JCI) commented that it 
was particularly important that manufacturers continue to be allowed to 
use pre-approved ARMs because the new AEDM provisions, by eliminating 
pre-approval, introduce regulatory risk that is not present under 
current ARM requirements. (JCI, No. 66 at pp. 2)
    Other interested parties specifically recommended that 
participation in a voluntary industry certification program (VICP),\9\ 
or review of an AEDM or ARM by a qualified engineer, could reduce or 
eliminate the need for pre-approval. AHRI, Rheem Manufacturing Company 
(Rheem), Goodman Global, Inc. (Goodman), and Unico suggested that DOE 
should consider pre-approval for manufacturers not participating in a 
VICP, and that at a minimum, review by a professional engineer should 
be required. (AHRI, No. 61 at p. 2; Rheem, No. 59 at p. 2; Goodman, No. 
53 at p. 1; Unico, No. 54 at p. 5) Likewise, Lennox agreed that if DOE 
does not maintain pre-approval in general, it could still require pre-
approval for those who do not participate in a VICP . (Lennox, No. 46 
at pp. 2 and 4) Lennox and Rheem commented that a pre-approval 
requirement for manufacturers who do not participate in a VICP could 
protect consumers from unsubstantiated ratings. (Rheem, No. 59 at p. 2; 
Lennox, No. 46 at p. 2)
---------------------------------------------------------------------------

    \9\ A Voluntary Industry Certification Program, or VICP, is an 
independent, third-party program that conducts ongoing verification 
testing of members' products.
---------------------------------------------------------------------------

    DOE does not agree with JCI's suggestion that the elimination of 
pre-approval could create additional burden for manufacturers in cases 
where they fail to meet certified ratings and are subsequently required 
to re-substantiate their AEDM. DOE also does not agree with Rheem 
Lennox, and Unico who claim that the elimination of pre-approval will 
lead to incorrect ratings in the marketplace or create unfair 
competition. Pre-approval of an ARM that is used to certify a basic 
model rating does not mean that the basic model is correctly rated. 
Products that are certified using an approved ARM are subject to the 
same assessment testing and enforcement actions as those products 
certified through testing and/or use of an AEDM. Further, DOE currently 
has the authority to review approved ARMs at any time, including review 
of documentation of tests used to support the ARM. DOE may also test 
products that were certified using an ARM to determine compliance with 
the applicable sampling provisions, as well as with federal standards. 
Should DOE determine that products were incorrectly rated, DOE may 
require that the ARM is no longer used. Similarly, AEDMs used to 
certify ratings are subject to review at any time, as well as the 
potential for suspension should DOE determine that products were 
incorrectly rated. Additionally, as discussed in section III.A.3.a, 
each basic model must have at least one rating determined through 
testing; no basic model can be rated solely using an AEDM, which 
reduces the likelihood of significant error. Finally, use of a pre-
approved ARM does not insulate a manufacturer from responsibility for 
the accuracy of their ratings, and the misconception that it does 
presents another reason to eliminate DOE review. Most manufacturers 
have not updated their ARMs and submitted the revised ARM for DOE 
review as required by regulation since prior to the last standards 
update and, thus, are effectively using unapproved or outdated ARMs 
currently. For these reasons, it is DOE's view that the elimination of 
the pre-approval process would not have a substantive

[[Page 69294]]

detrimental effect on the accuracy of a manufacturer's ratings, will 
improve manufacturers' ability to introduce new products into the 
marketplace, and will not represent a significant change from the 
status quo.
    For the forgoing reasons, in this SNOPR, DOE proposes to eliminate 
the pre-approval process for ARMs for split-system central air 
conditioners and heat pumps. As stated in the AEDM NOPR, DOE believes 
that this will reduce time-to-market delays, facilitate innovation, and 
eliminate the time required to complete the approval process. 
Furthermore, DOE emphasizes that the Department's treatment of products 
that are currently rated and certified with the use of an ARM does not 
differ from its treatment of products currently rated and certified 
using an AEDM, except for the pre-approval requirement. (See for 
example 10 CFR 429.70(c).)
    In addition, DOE proposes that manufacturers may only apply an AEDM 
if it (1) is derived from a mathematical model that estimates 
performance as measured by the applicable DOE test procedure; and (2) 
has been validated with individual combinations that meet current 
Federal energy conservation standards (as discussed in the next 
section). Furthermore, DOE proposes records retention requirements and 
additional manufacturer requirements to permit DOE to audit AEDMs 
through simulations, review of data and analyses, and/or certification 
testing.
4. AEDM Validation
    In the AEDM NOPR, DOE proposed product-specific AEDM validation 
requirements meant to reduce confusion and allow for easier development 
and utilization of AEDMs by manufacturers. 77 FR 32044-32045. The 
proposed validation requirements applicable to central air conditioner 
and heat pump products would have required manufacturers to:
    a. Test a minimum of five basic models, including at least one 
basic model from each product class to which the AEDM would be applied.
    b. Test the smallest and largest capacity basic models from the 
product class with the highest sales volume.
    c. Test the basic model with the highest sales volume from the 
previous year, or the basic model which is expected to have the highest 
sales volume for newly introduced basic models.
    d. Validate only with test data that meets applicable Federal 
energy conservation standards and was derived using applicable DOE 
testing procedures.
    In response to these proposed validation requirements, DOE received 
a number of comments from stakeholders addressing specific products 
covered by the AEDM rule. Comments applicable to the proposed 
requirements for central air conditioner and heat pump products are 
discussed in the following sections.
a. Number of Basic Models From a Product Class Necessary To Validate an 
AEDM
    Commenter responses with regard to the minimum sample size of one 
unit each of five different basic models were mixed, with some 
commenters agreeing with DOE's proposal and some offering alternative 
sample sizes. Both AAON and Goodman agreed with DOE's proposal that a 
minimum of one unit each of five basic models be tested to validate the 
AEDM. (AAON, No. 40 at p. 6; Goodman, No. 53 at p. 2) AHRI, however, 
commented that it was not realistic for a manufacturer who produces two 
basic models, for example, to be required to validate an AEDM based on 
a minimum sample of five units of the same two basic models. (AHRI, 
Public Meeting Transcript, No. 69 at p. 154) Furthermore, AHRI stated 
that it is disproportionately burdensome to require testing of at least 
five basic models for small manufacturers who manufacture or wish to 
use an AEDM for only a few basic models compared to manufacturers who 
offer many basic models and many product classes. AHRI recommended that 
DOE require testing of only 3 basic models if the AEDM is to be applied 
to 15 or fewer basic models. (AHRI No. 61 at p. 3) United Cool Air 
agreed with AHRI's concerns and stated that to obtain data that are 
statistically robust enough to meet the validation requirements, 
testing of at least two to five units of many basic models would be 
necessary, which may be too burdensome for built-to-order and small 
manufacturers. This would be particularly burdensome in cases where 
models used for testing cannot be sold. (United Cool Air, No. 51 at pp. 
7, 10, and 11) Acknowledging the amount of work and complex testing 
required for validation of an AEDM, Zero Zone, Inc. (Zero Zone) noted 
that it would be difficult for small manufacturers to comply. Zero Zone 
recommended that small manufacturers could be exempt or have a 
different sample size requirement. (Zero Zone, Public Meeting 
Transcript, No. 69 at p. 65)
    Other stakeholders commented on the validation requirements for 
specific products. JCI stated that testing of five units is 
unnecessarily burdensome and suggested that testing a minimum of three 
units would be sufficient to validate HVAC AEDMs. (JCI, No. 66 at p. 6) 
First Co. stated that DOE's proposed requirements would unreasonably 
burden small manufacturers, especially independent coil manufacturers 
because they would not have knowledge of which condensing unit model is 
expected to have the highest sales volume in the coming year. First Co. 
stated that this proposed requirement is unnecessary and should be 
eliminated given that the proposed validation requirements already 
include testing of the smallest and largest capacity basic model from 
the product class with the highest sales volume, and that the current 
minimum number of tests required for obtaining ARM approval is four. 
(First Co., No. 45 at p. 2) JCI agreed with First Co., stating that the 
proposal would create an overrepresentation of the highest sales volume 
product class because the highest sales volume basic model is most 
likely from that product class, and along with the requirement to test 
the smallest and largest capacity basic model from that product class, 
would require testing of three basic models from the highest sales 
volume product class. (JCI, No. 66 at p. 7) Goodman, on the other hand, 
stated that an additional test beyond the currently required four tests 
would not cause significant burden. (Goodman, No. 53 at p. 2)
    DOE notes that in its proposed revisions to the determination of 
certified ratings for central air conditioners and heat pumps 
(discussed in section III.A.3), manufacturers must test each basic 
model; specifically for split-system air conditioners and heat pumps, 
OUMs must test each model of outdoor unit with at least one model of 
indoor unit (highest sales volume), and ICMs must test each model of 
indoor unit with at least one model of outdoor unit (lowest SEER). 
Manufacturers would only be able to use AEDMs for other individual 
combinations within the same basic model--in other words, other 
combinations of models of indoor units with the same model of outdoor 
unit. DOE does not seek to require additional testing to validate an 
AEDM beyond what is proposed under 10 CFR 429.16(a)(1)(ii). Therefore, 
the testing burden required to validate an AEDM would depend on the 
number of basic models each manufacturer must rate. Furthermore, 
because ICMs must test each model of indoor unit with the lowest-SEER 
model of outdoor unit with which it is paired, First Co.'s concerns 
related to predicting the highest sales volume model would no longer be 
relevant. DOE requests comment on its proposal related to the testing

[[Page 69295]]

requirements for validation of an AEDM.
    Regarding the proposed requirement to test a basic model from each 
applicable product class for HVAC products, Goodman believes that the 
current definition of ``product class'' does not address the specific 
issues raised by split-system central air conditioners and heat pumps, 
which consist of separate indoor and outdoor coils that only function 
as intended when paired with one another to form a unitary split-system 
central air conditioner or heat pump. Hence, Goodman suggested that DOE 
consider the following product types to constitute individual 
validation classes: Split-system air conditioners, split-system heat 
pumps, single-package air conditioners, and single-package heat pumps. 
(Goodman, No. 53 at p. 4) UTC/Carrier proposed separate validation 
classes for the categories mentioned by Goodman, but also proposed that 
central air conditioners and heat pumps should include distinct 
validation classes for space-constrained air conditioners and space-
constrained heat pumps. (UTC/Carrier, No. 56 at p. 2) United Cool Air 
stated that DOE did not properly address classification of space-
constrained HVAC systems. (United Cool Air, No. 51 at p. 4, 13) United 
Cool Air's comments align with comments from Carrier that DOE should 
create a separate product class for space-constrained equipment.
    In response, DOE notes that the proposed testing requirements in 
429.16 require testing at least one individual model/combination within 
each basic model. Therefore, by default manufacturers would be testing 
all basic models from each product class in which they manufacture 
units.
b. Selection of Capacity Variations of a Basic Model for Validating an 
AEDM
    Regarding selection of basic models for validating an AEDM, both 
Nordyne and Goodman agreed with DOE's proposal that the basic models 
selected for validating an AEDM must include the smallest capacity 
basic model as well as the largest capacity basic model (or a basic 
model within 25 percent of the largest capacity). (Nordyne, No. 55 at 
p. 2; Goodman, No. 53 at p. 2) Rheem, however, disagreed and stated 
that the requirement to test the smallest and largest capacity basic 
model was too restrictive and does not account for outliers or 
differences in technology across product classes. (Rheem, No. 59 at p. 
4) Furthermore, Lennox noted that the manufacturer is most suited to 
determine which models should be used for validation and that 
requirements for particular capacities do not account for variation in 
product design and construction. (Lennox, No. 46 at p. 4)
    DOE's intention when proposing to require that a manufacturer test 
both the smallest and largest capacity basic models within the product 
class with the highest sales volume was to ensure that the AEDM could 
accurately predict the efficiency of those products at the extremes of 
a manufacturer's product line. As variations in product design and 
construction across all capacities should be accounted for when testing 
all basic models, DOE withdraws the proposal regarding selecting the 
smallest and largest capacity basic models from the product class with 
the highest sales volume for testing for validation of the AEDM. DOE 
notes that in the proposed revisions to the determination of certified 
ratings, each basic model must be tested and an AEDM can only be used 
to certify other individual combinations that are part of the same 
basic model.
c. Use of the Highest Sales Volume Basic Model for Validating an AEDM
    Many interested parties recommended that DOE continue to require 
that split-system manufacturers test each condensing unit they 
manufacture with the evaporator coil that is likely to have the largest 
volume of retail sales (i.e., the highest sales volume combination, or 
HSVC) because the data resulting from these test combinations are 
critical to independent coil manufacturers (ICMs) in determining 
accurate ratings for their products since they must determine their 
ratings based on pairings with condensing units offered by other 
manufacturers. AHRI stated that DOE should retain requirements for 
testing based on the HSVC for central air conditioners and heat pumps. 
(AHRI, No. 61 at p. 2) UTC/Carrier agreed that DOE should allow split-
systems to retain the HSVC process, as is required by current ARM 
regulations. (UTC/Carrier, No. 56 at p. 1) Lennox disagreed with 
removing the requirement for testing based on HSVC because the current 
AHRI certification program and independent coil manufacturing industry 
depend on this requirement, and the data from HSVC test results are 
used by independent coil manufacturers (ICMs) as the input to their 
ARM. (Lennox, No. 46 at p. 4)
    Unico stated that DOE should maintain the current ARM requirements 
for central air conditioners and heat pumps because as an indoor coil 
manufacturer, Unico relies on the accuracy of the ratings published by 
the manufacturer of the outdoor unit and decreasing the accuracy of 
those ratings would increase their own risk of failure. Unico stressed 
that it was particularly important for DOE to allow manufacturers' 
rating methodology to rely on curve fit data, and specifically proposed 
that for validating an AEDM, matched system manufacturers should test 
at least the highest sales volume combination for each outdoor unit. 
(Unico, No. 54 at pp. 2, 4, and 6) Mortex Products, Inc. (Mortex) 
stated that in order for ICMs to rate indoor coils accurately using the 
ARM, the system manufacturer's HSVC data is necessary, and if HSVC data 
were no longer obtained from tests, but generated using an AEDM, the 
accuracy of the indoor coil ratings would be affected. (Mortex, No. 58 
at p. 1)
    DOE recognizes the concerns of stakeholders who commented that 
eliminating the requirement to test the HSVC for split-system products 
could increase the burden on ICMs. DOE does not intend to eliminate 
that requirement and notes that such requirement is proposed to be 
retained in this notice, as discussed in section III.A.3.a. However, 
DOE also proposes additional requirements for ICMs that are discussed 
in section III.B.5. DOE also notes that the ARM provisions in the 
current regulations do not clearly apply to ICMs, and most ICMs do not 
have DOE-approved ARMs.
    DOE's proposal in the AEDM NOPR required re-validation when the 
HSVC changes. In response, Goodman stated that for split-system CACs 
and HPs, testing the highest or expected highest sales volume 
combination basic model would be appropriate as long as DOE does not 
require re-validation of the AEDM if another basic model subsequently 
becomes the highest sales volume combination. Determination of the 
highest volume basic model should be based on sales data of the prior 
year, or sales data or forecasts of the year of the AEDM's validation. 
(Goodman, No. 53 at p. 3) United Cool Air was also concerned that 
additional testing would be required if the highest selling basic model 
changed. (United Cool Air, No. 51 at p. 9)
    In response to the concerns of Goodman and United Cool Air 
regarding re-validation if the HSVC changed, DOE agrees that re-
validation should not be required if test data used to validate the 
AEDM was based on an expected HSVC that subsequently becomes a lower 
sales volume model and is not proposing such a requirement in this 
notice. DOE agrees with Goodman that determination of the highest 
volume basic model should be based on sales data of the prior year, 
sales data or forecasts of the year of the AEDM's

[[Page 69296]]

validation, or other similar information. Selection of the highest 
volume basic model should reflect a good faith effort by the 
manufacturer to predict the combination most likely to result in the 
highest volume of sales. DOE notes that it may verify compliance with 
this HSVC testing requirement.
d. Requirements for Test Data Used for Validation
    In AEDM NOPR, DOE did not propose requirements on the test data 
used for validation of an AEDM because any non-testing approaches to 
certifying central air conditioners and heat pumps via an ARM were to 
be approved by DOE prior to use. 77 FR 32043. However, if DOE adopts 
the current proposal to remove the pre-approval requirement, certified 
ratings generated using an AEDM would be unreliable without other 
requirements to validate the AEDM against actual test data. Therefore, 
DOE proposes in this notice to adopt requirements on test data similar 
to those used for validation for commercial HVAC and water heating 
equipment, as published in the AEDM final rule 78 FR 79579, 79584 (Dec. 
31, 2013). Specifically, (1) for energy-efficiency metrics, the 
predicted efficiency using the AEDM may not be more than 3 percent 
greater than that determined through testing; (2) for energy 
consumption metrics, the predicted efficiency using the AEDM may not be 
more than 3 percent less than that determined through testing; and (3) 
the predicted efficiency or consumption for each individual combination 
calculated using the AEDM must comply with the applicable Federal 
energy conservation standard. Furthermore, the test results used to 
validate the AEDM must meet or exceed the applicable Federal standards, 
and the test must have been performed in accordance with the applicable 
DOE test procedure. If DOE has ordered the use of an alternative test 
method for a particular basic model through the issuance of a waiver, 
that is the applicable test procedure.
    DOE proposes a validation tolerance of 3 percent because the 
variability in a manufacturer's lab and within a basic model should be 
more limited than lab-to-lab variability. DOE proposes tolerances for 
verification testing of 5 percent to account for added lab-to-lab 
variability.
5. Requirements for Independent Coil Manufacturers
    In the AEDM NOPR, DOE did not propose a statistical sampling 
requirement for independent coil manufacturers (ICMs) that would be 
distinct from the sampling required to validate an AEDM for HVAC 
products. 77 FR at 32043. In response, Unico commented that ICMs should 
test coils of each fin-pattern, varying the number of rows, fin 
density, tube type, circuiting, and frontal area. (Unico, No. 54 at p. 
4) Mortex stated that their ARMs are based on data from a ``matched 
system'' tested by an OUM. Mortex uses an ARM to simulate the 
performance of their own coil in a matched system by substituting the 
geometry of the indoor evaporator coil used by the manufacturer of the 
condensing unit with the geometry of their own coil. (Mortex, No. 58 at 
p. 1)
    While DOE understands that ICMs currently use ratings from OUMs to 
predict the efficiency of their coil models, as discussed in section 
III.A.3.d, DOE is now proposing to require that ICMs test each of model 
of indoor units (i.e., basic models) with the least efficient model of 
outdoor unit with which it will be paired. In order to validate an AEDM 
for split-systems rated by ICMs for other individual combinations 
within each basic model, DOE also proposes that ICMs must use the 
individual combinations the ICMs would be required to test under the 
proposed text in 10 CFR 429.16. DOE seeks comment on this proposal.
    In regard to Unico's suggestion to test indoor units with coils of 
varying fin-patterns, DOE refers stakeholders to the definition of a 
basic model in section III.A.1, and particularly what constitutes the 
same model of indoor unit. DOE notes that the manner in which 
manufacturers apply the basic model provisions would impact what models 
of indoor units are required for testing.
6. AEDM Verification Testing
    DOE may randomly select and test a single unit of a basic model 
pursuant to 10 CFR 429.104. This authority extends to all DOE covered 
products, including those certified using an AEDM. In the AEDM NOPR, 
DOE clarified that a selected unit would be tested using the applicable 
DOE test procedure at an independent, third-party laboratory accredited 
to the International Organization for Standardization (ISO)/
International Electrotechnical Commission (IEC), ``General requirements 
for the competence of testing and calibration laboratories,'' ISO/IEC 
17025:2005E. 77 FR 32038, 32057 (May 31, 2012).
    In this notice, DOE proposes further verification testing methods. 
Specifically, DOE proposes that verification testing conducted by the 
DOE will be (1) on a retail unit or a unit provided by the manufacturer 
if a retail unit is not available, (2) at an independent, third-party 
testing facility or a manufacturer's facility upon DOE's request if the 
former is not capable of testing such a unit, and (3) conducted with no 
communication between the lab and the manufacturer without DOE 
authorization.
    DOE also proposes clarification of requirements for determining 
that a model does not meet its certified rating, as proposed in the 
AEDM NOPR. Specifically, DOE proposes that an individual combination 
would be considered as having not met its certified rating if, even 
after applying the five percent tolerance between the test results and 
the rating as specified in the proposed 10 CFR 429.70(e)(5)(vi), the 
test results indicate the individual combination being tested is less 
efficient or consumes more energy than indicated by its certified 
rating. DOE notes that this approach will not penalize manufacturers 
for applying conservative ratings to their products. That is, if the 
test results indicate that the individual combination being tested is 
more efficient or consumes less energy than indicated by its certified 
rating, DOE would consider that individual combination to meet its 
certified rating. DOE seeks comment on whether this is a reasonable 
approach to identify an individual combination's failure to meet its 
certified rating.
    In the AEDM NOPR, DOE also proposed the actions DOE would take in 
response to individual models that fail to meet their certified 
ratings. 77 FR at 32056. Many stakeholders submitted comments 
suggesting that DOE should determine the cause of the test failure 
prior to taking any additional action. UTC/Carrier commented that 
failure of a single unit test result could be a result of a defective 
unit and further urged DOE to define a process to contest test results 
from a third party lab. (UTC/Carrier, No. 56 at p. 2) JCI had a similar 
concern regarding potential errors in test set-up and proposed that DOE 
should work with the manufacturer to determine the root cause of the 
failure, performing additional testing if necessary. (JCI, No. 66 at p. 
8) Rheem agreed with JCI that DOE should work with the manufacturer to 
determine whether the root cause is associated with test variability, 
AEDM model inaccuracy, or manufacturing variability. Rheem added that 
DOE should clarify what constitutes a ``failure'' as well as develop a 
detailed plan for selection, testing, evaluation, manufacturer 
notification, and resolution. (Rheem, No. 59 at p. 4) Lennox also 
agreed that DOE should not immediately require modification of an

[[Page 69297]]

AEDM without first finding the cause of the failure. (Lennox, No. 46 at 
pp. 4-5) Additionally, Ingersoll Rand requested that DOE allow for a 
dialogue with the manufacturer to ensure that the sample unit was not 
defective and that the test was set up correctly. (Ingersoll Rand, 
Public Meeting Transcript, No. 69 at p. 187) AHRI agreed that it would 
be valuable to specify particular steps manufacturers and DOE must take 
in the case of a test failure and incorporate a defective sample 
provision, and recommended that DOE provide data, a failure report, and 
other necessary information to the manufacturer for proper analysis of 
the test failure. (AHRI, No. 61 at pp. 6-7)
    Unico and manufacturers of products other than HVAC suggested that 
DOE should not only share the data with the manufacturer, but also 
allow the manufacturer to review or witness testing done by a lab. This 
would allow for better understanding of potential discrepancies in test 
results and ensure that failure was not merely a result of variation in 
test set-up. (Unico, No. 54 at p. 4) AHRI and UTC/Carrier suggested 
that manufacturers should be allowed to participate in commissioning of 
their equipment prior to the assessment test since proper set-up is 
critical. AHRI added that manufacturers should have an opportunity to 
repair a unit, if defective, while it is in the assessment lab. (AHRI, 
No. 61 at pp. 6-7; Carrier, Public Meeting Transcript, No. 69 at p. 
218) Further, UTC/Carrier urged DOE to specify an appeals process for 
tests that a manufacturer believes were tested with improper test set-
up. (UTC/Carrier, Public Meeting Transcript, No. 69 at p. 195; UTC/
Carrier, No. 56 at p. 3)
    DOE agrees that determining the root cause of the failure to meet 
certified ratings is important; however, DOE stresses that this would 
be the manufacturer's responsibility. DOE is aware that in order to 
determine the cause of the failure, the manufacturer will need to 
review the data from DOE's testing. DOE therefore proposes that when an 
individual combination fails to meet certified ratings, DOE will 
provide to the manufacturer a test report that includes a description 
of test set-up, test conditions, and test results. DOE will provide the 
manufacturer with an opportunity to respond to the lab report by 
presenting all claims regarding testing validity, and if the 
manufacturer was not on-site for initial set-up, to purchase an 
additional unit from retail to test following the requirements in 
429.110(a)(3). This process is designed to provide manufacturers the 
opportunity to raise concerns about the test set-up, taking into 
account various comments from stakeholders. DOE will consider any 
response offered by the manufacturer within a designated time frame 
before deciding upon the validity of the test results. Only after 
following these steps will the Department make a determination that the 
rating for the basic model is invalid and require the manufacturer to 
take subsequent action, as described in section III.B.7.
7. Failure To Meet Certified Ratings
    In the AEDM NOPR, DOE proposed a method of determining whether a 
model meets its certified rating whereby the assessment test result 
would be compared to the certified rating for that model. If the test 
result was not within the tolerance in the proposed section 429.70(c), 
the model would be considered as having not met its certified rating. 
In this case DOE proposed to require that manufacturers re-validate the 
AEDM that was used to certify the product within 30 days of receiving 
the test report from the Department. DOE also proposed to require that 
manufacturers incorporate DOE's test data into the re-validation of the 
AEDM. If after inclusion of DOE's test data and re-validation, the 
AEDM-certified ratings change for any models, then the manufacturer 
would be required to re-rate and re-certify those models. The 
manufacturer would not be required to perform additional testing in 
this re-validation process unless the manufacturer finds it necessary 
in order to meet the requirements enumerated in the proposed section 
429.70. 77 FR 32028, 32056.
    A few stakeholders provided comments on the aforementioned 
proposals. Zero Zone commented that the failure of a single test unit 
to meet its certified rating should not automatically necessitate re-
validation, but suggested that the manufacturer should decide on the 
appropriate course of action. (Zero Zone, No. 64 at p. 3) UTC/Carrier 
commented that DOE should not require re-validation based on a single 
unit's test result because the failure could be a result of a defective 
unit. (UTC/Carrier, No. 56 at p. 2) Lennox opposed DOE's proposal to 
require manufacturers to incorporate DOE test data into their AEDM if a 
model is determined not to meet its certified rating because they 
believe that DOE data may be erroneous and only the best available data 
should be used to validate an AEDM. (Lennox, No. 46 at p. 5) JCI stated 
that without additional information as to why a particular product 
failed a test, it is not reasonable to assume that all models rated 
with the AEDM must be re-rated. (JCI, No. 66 at pp. 9-10).
    In consideration of the above mentioned comments, DOE proposed to 
allay concerns via the proposal in section III.B.6, which provides 
manufacturers an opportunity to review the data from DOE's testing and 
present claims regarding testing validity. Based on these comments, DOE 
also proposes an exception to re-validation of the AEDM in cases where 
the determination of an invalid rating for that basic model is the 
first for models certified with an AEDM. In such cases, the 
manufacturer must conduct additional testing and re-rate and re-certify 
the individual combinations within the basic model that were improperly 
rated using the AEDM.
    DOE also proposes that if DOE has determined that a manufacturer 
made invalid ratings on individual combinations within two or more 
basic models rated using the manufacturer's AEDM within a 24 month 
period, the manufacturer must test the least efficient and most 
efficient combination within each basic model in addition to the 
combination specified in 429.16(a)(1)(ii). The twenty-four month period 
begins with a DOE determination that a rating is invalid through the 
process outlined above. If DOE has determined that a manufacturer made 
invalid ratings on more than four basic models rated using the 
manufacturer's AEDM within a 24-month period, the manufacturer may no 
longer use an AEDM.
    Finally, DOE proposes additional requirements for manufacturers to 
regain the privilege of using an AEDM, including identifying the 
cause(s) for failure, taking corrective action, performing six new 
tests per basic model, and obtaining DOE authorization.
    DOE created this proposal under the expectation that each 
manufacturer will use only a single AEDM for all central air 
conditioner and central air conditioning heat pumps. DOE requests 
comment on whether manufacturers would typically apply more than one 
AEDM and if they would, the differences between such AEDMs.
8. Action Following a Determination of Noncompliance
    In the AEDM NOPR, DOE explained that if a model failed to meet the 
applicable Federal energy conservation standard during assessment 
testing, DOE may pursue enforcement testing pursuant to 10 CFR 429.110. 
DOE also stated that if an individual model was determined to be 
noncompliant, then all other individual models within that basic model 
would be considered noncompliant. This is consistent with

[[Page 69298]]

DOE's approach for all covered products. All other basic models rated 
with the AEDM would be unaffected pending additional investigation. 
Furthermore, DOE proposed that if a noncompliant model was used for 
validation of an AEDM, the AEDM must be re-validated within 30 days of 
notification, pursuant to requirements enumerated in 10 CFR 429.70. 
Notably, DOE did not propose that manufacturers must re-test basic 
models used to validate an AEDM when there is no determination of 
noncompliance. 77 FR 32056.
    In response, JCI agreed that all AEDM-rated models should not be 
disqualified if one model is found out of compliance. (JCI, No. 66 at 
p. 9)
    DOE reiterates that for central air conditioners and central air 
conditioning heat pumps, if an individual combination was determined to 
be noncompliant, then all other individual combinations within that 
basic model would be considered noncompliant. DOE is not proposing in 
this SNOPR that other basic models rated with the AEDM be considered 
non-compliant. However, DOE notes that an AEDM must be validated using 
test data for individual combinations that meet the current Federal 
energy conservation standards. Therefore, if a noncompliant model was 
used for validation of an AEDM, manufacturers would be expected to re-
validate the AEDM in order to continue using it. The requirements for 
additional testing based on invalid ratings, as discussed in the 
previous section, may also apply.

C. Waiver Procedures

    10 CFR 430.27(l) requires DOE to publish in the Federal Register a 
notice of proposed rulemaking to amend its regulations so as to 
eliminate any need for the continuation of waivers and as soon 
thereafter as practicable, DOE will publish a final rule in the Federal 
Register. As of the issuance date of this notice, a total of four 
waivers (and one interim waiver) for central air conditioner and heat 
pump products are active. They are detailed in the Table III.4, with 
the section reference to this notice included for discussion regarding 
DOE's proposed amended regulations and intention for subsequent waiver 
termination.

         Table III.4--Active Waivers and Active Interim Waivers
------------------------------------------------------------------------
                Air Conditioners and Heat Pumps, Consumer
-------------------------------------------------------------------------
               Scope                  Decision & order      Termination
------------------------------------------------------------------------
ECR International, Inc., Multi-     (Petition & Interim          III.C.2
 zone Unitary Small Air              Waiver, 78 FR
 Conditioners and Heat Pumps.        47681, 8/6/2013).
Daikin AC (Americas), Inc., Heat    76 FR 11438, 3/2/            III.C.1
 Pump & Water Heater Combination.    2011.
Daikin AC (Americas), Inc., Heat    75 FR 34731, 6/18/           III.C.1
 Pump & Water Heater Combination.    2010.
Hallowell International, Triple-    75 FR 6013, 2/5/2010         III.C.4
 Capacity Northern Heat Pumps.
Cascade Group, LLC, Multi-blower    73 FR 50787, 8/28/           III.C.3
 Air-Conditioning and Heating        2008.
 Equipment.
------------------------------------------------------------------------

    DOE notes that four waivers previously associated with both 
commercial equipment and consumer products, as listed in Table III.3, 
were terminated for consumer products as of the October 22, 2007 Final 
Rule (72 FR 59906, 59911) and for commercial equipment as of the May 
16, 2012 Final Rule (77 FR 28928, 28936). In this SNOPR, DOE reaffirms 
that these waivers have been terminated for consumer products and that 
the products in question can be tested using the current and proposed 
test procedure for central air conditioners and heat pumps.

                     Table III.5--Terminated Waivers
------------------------------------------------------------------------
                   Scope                          Decision & order
------------------------------------------------------------------------
Daikin U.S. Corporation, Multi-split Heat   73 FR 39680, 7/10/2008.
 Pumps and Heat Recovery Systems.
Mitsubishi Electric and Electronics USA,    72 FR 17528, 4/9/2007.
 Inc., Variable Refrigerant Flow Zoning
 Air Conditioners and Heat Pumps.
Fujitsu General Limited, Multi-split        72 FR 71383, 12/17/2007.
 Products.
Samsung Air Conditioning, Multi-split       72 FR 71387, 12/17/2007.
 Products.
------------------------------------------------------------------------

1. Termination of Waivers Pertaining to Air-to-Water Heat Pump Products 
With Integrated Domestic Water Heating
    DOE has granted two waivers to Daikin Altherma for the air-to-water 
heat pump with integrated domestic water heating; one on June 18, 2010 
and a second on March 2, 2011. 75 FR 34731 and 76 FR 11438. As 
described in Daikin's petitions, the Daikin Altherma system consists of 
an air-to-water heat pump that provides hydronic space heating and 
cooling as well as domestic hot water functions. It operates either as 
a split system with the compressor unit outdoors and the hydronic 
components in an indoor unit, or as a single-package configuration in 
which all system components are combined in a single outdoor unit. In 
both the single-package and the split-system configurations, the system 
can include a domestic hot water supply tank that is located indoors. 
These waivers were granted on the grounds that the existing DOE test 
procedure contained in Appendix M to Subpart B of 10 CFR part 430 
addresses only air-to-air heat pumps and does not include any 
provisions to account for the operational characteristics of an air-to-
water heat pump, or any central air-conditioning heat pump with an 
integrated domestic hot water component.
    According to the definition set forth in EPCA and 10 CFR 430.2, a 
central air conditioner is a product, other than a packaged terminal 
air conditioner, which is powered by single phase electric current, air 
cooled, rated below 65,000 Btu per hour, not contained within the same 
cabinet as a furnace, the rated capacity of which is above 225,000 Btu 
per hour, and is a heat pump or a cooling unit only. (42 U.S.C. 
6291(21)) The heat pump definition in EPCA and 10 CFR 430.2 requires 
that a heat pump utilize a refrigerant-to-

[[Page 69299]]

outdoor air heat exchanger, effectively excluding heat pump products 
classified as air-to-water. (42 U.S.C. 6291(24)) In addition, because 
the definition of a central air conditioner, which also applies to heat 
pumps, requires products to be ``air cooled,'' products that rely 
exclusively on refrigerant-to-water heat exchange on the indoor side 
are effectively excluded from the definition of, and the existing 
efficiency standards for, central air conditioners and heat pumps.
    Based upon the description in the waiver petitions for the Daikin 
Altherma air-to-water heat pumps with integrated domestic water heater, 
DOE has determined that these products rely exclusively on refrigerant-
to-water heat exchange on the indoor side, and thus would not be 
subject to the central air conditioner or heat pump standards and would 
not be required to be tested and rated for the purpose of compliance 
with DOE standards for central air conditioners or heat pumps. Thus, if 
this interpretation is adopted, these waivers would terminate on the 
effective date of a notice finalizing the proposals in this notice.
2. Termination of Waivers Pertaining to Multi-Circuit Products
    DOE granted ECR International (ECR) an interim waiver on August 6, 
2013, for its line of Enviromaster International (EMI) products. 78 FR 
47681. ECR describes in its petitions that its multi-zone air 
conditioners and heat pumps each comprise a single outdoor unit 
combined with two or more indoor units, which each comprise a 
refrigeration circuit, a single air handler, a single control circuit, 
and an expansion valve, intended for independent zone-conditioning. The 
outdoor unit contains one fixed-speed compressor for each refrigeration 
circuit; all zones utilize the same condenser fan and defrost 
procedures but refrigerant is not mixed among the zones. 78 FR at 
47686. These products are similar to multiple-split (or multi-split) 
air conditioners or heat pumps, which are defined and covered by 
current test procedure (Appendix M to Subpart B of 10 CFR part 430). 
However, they are distinct from, and therefore not classified as, 
multi-split products due to differences in refrigerant circuitry. The 
separate refrigeration circuits of the ECR product line are not 
amenable to the test procedures for multi-split systems, specifically 
the procedures calling for operation at different levels of compressor 
speed or staging, because the individual compressors are not 
necessarily variable-speed. Hence, alternative procedures have been 
developed, as described in the interim waiver. DOE proposes to address 
products such as the ECR product line in the DOE test procedure. DOE 
also proposes to define such a product as a ``multi-circuit air 
conditioner or heat pump'' and provide testing requirements for such 
for such products at 10 CFR 429.16(a)(1)(ii)(A).
    For the duration of the interim waiver period, either until 180 
days after the publication of the interim waiver (the interim waiver 
period) or until DOE issued its determination on the petition for 
waiver, whichever occurred earlier, DOE granted ECR permission to use 
the proposed alternative test procedure to test and rate its multi-
circuit products. 78 FR 47681, 47682 (Aug. 6, 2013). The requirements 
in the alternative test procedure comprise methods to establish air 
volume rate, procedures for testing, and adjustments to equations used 
to calculate SEER and HSPF. Following publication of the Notice of 
Grant of Interim Waiver, DOE received no comments regarding this 
alternative test procedure. After the interim waiver period, DOE did 
not issue a final decision and order on ECR's petition for waiver, 
therefore, the interim waiver will terminate upon the publication of a 
test procedure final rule for central air conditioners and heat pumps, 
and the alternative test procedure included therein shall cease from 
being applicable to testing and rating ECR's multi-circuit products and 
multi-circuit products in general, absent amendments regarding 
provisions for testing such products. Therefore, DOE proposes in this 
notice testing requirements for manufacturers who wish to certify 
multi-circuit products.
    According to Appendix M to Subpart B of 10 CFR part 430, Section 
2.4.1b, systems with multiple indoor coils are tested in a manner where 
each indoor unit is outfitted with an outlet plenum connecting to a 
common duct so that each indoor coil ultimately connects to an airflow 
measuring apparatus.\10\ In testing a multi-circuit system in this 
manner, the data collection, performance measurement, and reporting is 
done only on the system level. ECR took issue with this, citing 
inadequate data accountability, and thus argued in its petition for 
waiver to individually test each indoor unit. Id. Current test 
procedures for systems with multiple indoor coils, however, produce 
ratings that are repeatable and accurate even though monitoring of all 
indoor units are not required by regulation, or common industry 
practice. DOE also notes that the common duct testing approach has been 
adopted by industry standards and is an accepted method for testing 
systems having multiple indoor units. ECR's petition did not identify 
specific differences between the indoor units of its new product line 
and the indoor units of multi-splits that would make the common-duct 
approach unsuitable for its products. Further, the interim waiver 
approach of using multiple airflow measuring devices, one for each 
indoor unit, represents unnecessary test burden. Therefore, DOE 
proposes to adopt for multi-circuit products the same common duct 
testing approach used for testing multi-split products.
---------------------------------------------------------------------------

    \10\ When the indoor units are installed in separate indoor 
chambers for the test, the test procedure allows common ducting to a 
separate airflow measuring apparatus for each indoor chamber.
---------------------------------------------------------------------------

    The alternative test procedure in the interim waiver calls for 
separate measurement of performance for each indoor unit for each 
required test condition, and requires that all indoor units be 
operating during each of these separate measurements. The overall 
system performance for the given test condition is calculated by 
summing the capacities and power inputs measured for all of the indoor 
units and adding to the power input sum the average of the power 
measurements made for outdoor unit for the set of tests. Id. In 
contrast, DOE's current proposal involves use of the common duct to 
measure the full system capacity, thus allowing use of a single test 
for each operating condition. DOE requests comment on whether this 
method will yield accurate results that are representative of the true 
performance of these systems.
3. Termination of Waiver and Clarification of the Test Procedure 
Pertaining to Multi-Blower Products
    On August 28, 2008, DOE published a decision and order granting 
Cascade Group, LLC a waiver from the Central Air Conditioner and Heat 
Pump Test Procedure for its line of multi-blower indoor units that may 
be combined with one single-speed heat pump outdoor unit, one two-
capacity heat pump outdoor unit, or two separate single-speed heat pump 
outdoor units. 73 FR 50787, 50787-97. DOE proposed revisions to the 
test procedure in the June 2010 NOPR to accommodate the certification 
testing of such products. 75 FR 31237. NEEA responded in the subsequent 
public comment period, recommending DOE defer action on test procedure 
changes until such a product is actually being tested, certified and 
sold. (NEEA, No. 7 at pp. 4-5). Mitsubishi recommended DOE either use 
AHRI Standard 1230-2010 to rate such a product or does not amend the

[[Page 69300]]

test procedure to allow coverage of such a product. (Mitsubishi, No. 12 
at p. 2).
    DOE notes that AHRI Standard 1230-2010, which provides testing 
procedures for products with variable speed or multi-capacity 
compressors, may not be suitable for testing the subject products, 
which are equipped with single-speed compressors; however, the test 
procedure, as proposed in the June 2010 NOPR enables testing of such 
products. DOE therefore retains its proposal in the June 2010 NOPR to 
adopt that test procedure, except for the following revisions.
    The proposal in the June 2010 NOPR amended Appendix M to Subpart B 
of 10 CFR part 430 with language in sections 3.1.4.1.1e and 3.1.4.2e 
that suggested that test setup information may be obtained directly 
from manufacturers. DOE is revising that proposal to eliminate the need 
for communication between third-party test laboratories and 
manufacturers, such that the test setup is conducted based on 
information found in the installation manuals included with the unit by 
the manufacturer. DOE is proposing that much of that information be 
provided to DOE as part of certification reporting. These proposed 
modifications regarding test setup can be found in section 3.1.4.1.1d 
and 3.1.4.2e of the proposed Appendix M in this notice. DOE requests 
comment on its proposals for multi-blower products, including whether 
individual adjustments of each blower are appropriate and whether 
external static pressures measured for individual tests may be 
different.
    Because the proposed test procedure amendments would allow testing 
of Cascade Group, LLC's line of multi-blower products, DOE proposes to 
terminate the waiver currently in effect for those multi-blower 
products effective 180 days after publication of the test procedure 
final rule.
4. Termination of Waiver Pertaining to Triple-Capacity, Northern Heat 
Pump Products
    On February 5, 2010, DOE granted Hallowell International a waiver 
from the DOE Central Air Conditioner and Heat Pump Test Procedure for 
its line of boosted compression heat pumps. 75 FR 6014, 6014-18. DOE 
proposed revisions to its test procedures in the June 2010 NOPR to 
accommodate the certification testing of such products. 75 FR 31223, 
31238 (June 2, 2010). NEEA expressed support for DOE's proposal in the 
subsequent public comment period but urged DOE to ensure that the 
northern climate test procedure can be used by variable speed systems 
that can meet the appropriate test conditions, and that the procedures 
can accurately assess the performance of these systems relative to more 
conventional ones. (NEEA, No. 7 at p. 5). NEEA also urged DOE to 
require publishing of Region V ratings for heat pumps. Mitsubishi 
supported DOE's proposed changes to cover triple-capacity, northern 
heat pumps but requested that DOE reevaluate the testing of inverter-
driven compressor systems to permit better demonstration of the 
system's capabilities at heating at low ambient conditions. 
(Mitsubishi, No. 12 at p. 3).
    DOE believes that the test procedure as proposed in the June 2010 
NOPR, along with the proposed revisions to the test procedure for 
heating tests conducted on units equipped with variable-speed 
compressors, as discussed in section III.H.5, would produce performance 
that represents an average period of use of such products. Because the 
proposed test procedure amendments would allow testing of Hallowell 
International's line of triple-capacity, northern heat pump products, 
DOE proposes to terminate the waiver currently in effect for those 
products effective 180 days after publication of the test procedure 
final rule.

D. Measurement of Off Mode Power Consumption

    In the June 2010 NOPR, DOE proposed a first draft of testing 
procedures and calculations for off mode power consumption. 75 FR 
31223, 31238 (June 2, 2010). In the following April 2011 SNOPR, DOE 
proposed a second draft, revising said testing procedures and 
calculations based on stakeholder-identified issues and changes to the 
test procedure proposals in the 2010 June NOPR and on DOE-conducted 
laboratory testing. 76 FR 18105, 18111 (April 1, 2011). In the October 
2011 SNOPR, DOE proposed a third draft, further revising the testing 
procedures and calculations for off mode power consumption based 
primarily on stakeholder comments regarding burden of test as received 
during the April 2011 SNOPR comment period. 76 FR 65616, 65618-22 (Oct. 
24, 2011). From the original and extended comment period of the October 
2011 SNOPR DOE received stakeholder comments, which are the basis of 
DOE's proposed fourth draft in this notice, further revising testing 
procedures and calculations for off mode power consumption. None of the 
proposals listed in this section impact the energy conservation 
standard.
1. Test Temperatures
    In the October 2011 SNOPR, DOE proposed to base the off mode power 
consumption rating (PW,OFF) on an average of wattages P1 and P2, which 
would be recorded at the different outdoor ambient temperatures of 82 
[deg]F and 57 [deg]F, respectively. DOE intended that, for systems with 
crankcase heater controls, the measurement at the higher ambient 
temperature would measure the off mode contribution that was more 
representative of the shoulder seasons. The lower measurement was 
intended to represent off mode power use for an air conditioner during 
the heating season. 76 FR at 65621.
    In response to the October 2011 SNOPR, a joint comment from Pacific 
Gas and Electric and Southern California Edison, hereafter referred to 
as the California State Investor Owned Utilities (CA IOUs), and a joint 
comment from the American Council for an Energy-Efficient Economy 
(ACEEE) and Appliance Standards Awareness Program (ASAP) expressed 
concern that the 57 [deg]F test point could create a loophole wherein a 
crankcase heater could be designed to turn on just below 57 [deg]F and 
result in an underestimation of the system's energy consumption. The 
off mode power consumption would be underestimated because the energy 
consumption of the crankcase heater would not be included in either P1 
or P2. (CA IOUs, No. 33 at p. 2; ACEEE and ASAP, No. 34 at p. 2) A 
joint comment from the Northwest Energy Efficiency Alliance (NEEA) and 
the Northwest Power and Conservation Council (NPCC), hereafter referred 
to as the Joint Efficiency Advocates, also disputed DOE's proposal to 
test units at two fixed temperatures and disagreed with DOE's 
contention that the proposed P2 test temperature (57 [deg]F) is 
sufficiently low that the crankcase heater would be energized. (Joint 
Efficiency Advocates, No. 35 at p. 3)
    Both the CA IOUs and the Joint Efficiency Advocates proposed that 
DOE require manufacturers to specify the temperature at which the 
crankcase heater turns on and off, and then to run one off mode test 3-
5 [deg]F below the point at which the crankcase heater turns on (``on'' 
set point temperature) and the other off mode test 3-5 [deg]F above the 
temperature at which the crankcase heater turns off (``off'' set point 
temperature). (CA IOUs, No. 33 at p. 2; Joint Efficiency Advocates, No. 
35 at p. 3) However, the Joint Efficiency Advocates only proposed this 
rating method for constant wattage crankcase heaters. (Joint Efficiency 
Advocates, No. 35 at p. 3) The Joint Efficiency Advocates stated that 
two measurements are insufficient for systems that have a heater with 
wattage that varies according to temperature and

[[Page 69301]]

suggested that the crankcase heater power for systems with variable 
wattage be tested at three temperatures. Specifically, the Joint 
Efficiency Advocates recommended testing at 3-5 [deg]F below the ``on'' 
set point temperature, at 47 [deg]F, and at 17 [deg]F. (Joint 
Efficiency Advocates, No. 35 at p. 4) The Joint Efficiency Advocates 
additionally recommended that systems with temperature-controlled 
crankcase heaters should be tested for off mode power use when cold 
(i.e., before the system is run). (Joint Efficiency Advocates, No. 35 
at p. 4)
    In the December 2011 extension notice for comments on the October 
2011 SNOPR, DOE requested comment on the CA IOUs' suggestion that the 
test procedure should measure P1 at a temperature that is 3-5 [deg]F 
above the manufacturer's reported ``off'' set point and measure P2 at a 
temperature that is 3-5 [deg]F lower than the ``on'' set point. 76 FR 
79135 (Dec. 21, 2011). The Joint Efficiency Advocates commented in 
support of the CA IOU proposal. (Joint Efficiency Advocates, No. 43 at 
p. 2) However, they also reiterated that crankcase heater power for 
systems with variable wattage should be tested at three temperatures, 
namely, 3-5 [deg]F below the ``on'' set point temperature, 47 [deg]F, 
and 17 [deg]F. (Joint Efficiency Advocates, No. 43 at p. 2)
    AHRI commented that DOE should modify the test procedure by having 
up to three rating temperatures, depending on the manufacturer control 
protocol. The first test would be conducted at 72 [deg]F immediately 
after the B, C, or D test to verify whether the crankcase heater is on. 
The second test would be conducted at 5 [deg]F below the temperature at 
which the manufacturer specifies the crankcase heater turns on. The 
third test would be conducted at 5 [deg]F below the temperature at 
which the crankcase heater turns off and would only apply to air 
conditioners with crankcase heater controls that turn off the crankcase 
heater during winter. AHRI commented that it could accept the CA IOUs 
proposal to test at 3-5 [deg]F below the heater turn-on temperature and 
at 3-5 [deg]F above the heater turn-off temperature if DOE did not 
accept AHRI's proposal. (AHRI, No. 41 at p. 2) Goodman commented in 
support of AHRI's recommendation. (Goodman, No. 42 at p. 1)
    Many of the commenters' recommended changes are reflected in this 
proposed rule. DOE proposes to require manufacturers to include in 
certification reports the temperatures at which the crankcase heater is 
designed to turn on and turn off for the heating season, if applicable. 
These temperatures are used in the proposed tests described in the 
following paragraphs.
    DOE proposes to replace the off mode test at 82 [deg]F with a test 
at 722 [deg]F and replace the off mode test at 57 [deg]F 
with a test at a temperature which is 52 [deg]F below a 
manufacturer-specified turn-on temperature. This approach maintains the 
intent of the off mode power consumption rating (PW,OFF) as a 
representation of the off mode power consumption for the shoulder and 
heating seasons, addresses AHRI's proposed modification of the test 
procedure, and addresses ACEEE and ASAP's concerns regarding the 
potential for a loophole at the 57 [deg]F test point.
    DOE does not propose to adopt an additional test point at a 
temperature of 17 [deg]F, as recommended by the stakeholders; 
(Efficiency Advocates, No. 35 at p. 4; AHRI, No. 41 at p. 2) at a 
temperature 5 [deg]F below the temperature at which the crankcase 
heater turns off, as recommended by AHRI; (AHRI, No. 41 at p. 2) or at 
a temperature 3-5 [deg]F above the heater turn-off temperature, as 
recommended by the CA IOUs and the Joint Efficiency Advocates. (CA 
IOUs, No. 33 at p. 2; Joint Efficiency Advocates, No. 35 at p. 3) 
Manufacturer literature provides data on variable wattage crankcase 
heaters, otherwise known as self-regulating crankcase heaters, which 
show that power input for such heaters is a linear function of outdoor 
ambient temperature (i.e., the input power can be represented with 
insignificant error as a constant times the outdoor ambient temperature 
plus another constant). As such, DOE maintains that two test points are 
adequate for characterizing the off mode power consumption for self-
regulating crankcase heaters by establishing a linear fit from the two 
test outputs. DOE also believes that one of the two test points is 
adequate for characterizing the off mode power consumption for constant 
wattage crankcase. DOE does not believe that the additional accuracy 
gained from additional test points merits the additional test burden. 
The modifications in this proposal should help to minimize the test 
burden while maintaining the accuracy of off mode power ratings. DOE 
requests comments on these proposals.
2. Calculation and Weighting of P1 and P2
    Stakeholders submitted comments discussing the most appropriate way 
to weight P1 and P2 in order to measure the total off mode power draw. 
In the October 2011 SNOPR, DOE proposed to require calculation of the 
total off mode power consumption based upon an arithmetic mean of the 
power readings P1 and P2. 76 FR 65616, 65621 (Oct. 24, 2011).
    The Joint Efficiency Advocates opposed the DOE's proposal in the 
October 2011 SNOPR. (Joint Efficiency Advocates, No. 35 at p. 4) The CA 
IOUs proposed to weight P1 by 25% and P2 by 75%, because this weighting 
would be more representative of actual heater operation than equally 
weighting P1 and P2. (Joint Utilities, No. 33 at p. 2) Conversely, 
Goodman and AHRI opposed the CA IOUs' proposal because there was 
inadequate data available to support weighting P1 by 25% and P2 by 75%. 
Further, Goodman and AHRI stated that the CA IOUs' proposal would not 
fairly differentiate between products with different crankcase heater 
turn-on and turn-off temperatures. A unit with a lower turn-on and a 
higher turn-off temperature would consume less overall energy, but a 
manufacturer would have no incentive to use the lowest possible 
temperatures because the rating would not change. (Goodman, No. 42 at 
p. 2; AHRI, No. 41 at p. 3)
    AHRI, Goodman, and the Joint Efficiency Advocates suggested that 
average power should be calculated by weighting the off mode hours 
using a bin method, in a manner consistent with the calculations of 
seasonal active-mode. (AHRI, No. 41 at p.3; Goodman, No. 42 at p. 1; 
Joint Efficiency Advocates, No. 35 at p. 5; Joint Efficiency Advocates, 
No. 43 at p. 3) AHRI provided a detailed methodology for calculating 
the off mode power rating in an excel spreadsheet submitted with its 
written comments. (AHRI, No. 41 at p. 2) AHRI introduced bin 
calculations to calculate seasonal P1 and P2 values, including 
recommending a different set of fractional bin-hours for the shoulder 
season. Goodman supported AHRI's proposal. (Goodman, No. 42 at p. 1) 
However, AHRI and Goodman commented that if DOE did not accept AHRI's 
proposed calculation, DOE should implement a 50% weighting of P1 and P2 
as proposed in the October 2011 SNOPR. (AHRI, No. 41 at p. 3; Goodman, 
No. 42 at p. 2)
    After reviewing the Off-Mode Power excel spreadsheet from AHRI and 
the comments received from stakeholders, DOE retains its proposal from 
the October 2011 SNOPR, which gives equal weighting to P1 and P2 for 
the calculation of the off mode power rating (PW,OFF). 76 FR 65616, 
65620 (Oct. 24, 2011). Comments from the stakeholders did not provide 
any data that support selection of specific weights for P1 and P2. 
Therefore DOE cannot confirm that AHRI's suggested temperature bin-hour 
calculation method is representative of

[[Page 69302]]

the off mode power for the shoulder and heating seasons.
3. Products With Large, Multiple or Modulated Compressors
    In the October 2011 SNOPR, DOE proposed to adjust the measured off 
mode power draw for systems with multiple compressors and apply a 
scaling factor to systems larger than 3 tons. 76 FR at 65621-22. The CA 
IOUs and the Joint Efficiency Advocates disagreed with DOE's approach. 
(Joint Efficiency Advocates, No. 35 at p. 5; CA IOUs, No. 33 at p. 2; 
CA IOUs, No. 40 at p. 1) The CA IOUs commented that adjusting the off 
mode power draw for systems with multiple compressors and applying a 
scaling factor to extra-large systems would not represent actual off 
mode power consumption and recommended that DOE not reduce the 
calculated off mode power based on the number of compressors. (CA IOUs, 
No. 33 at p. 2)
    AHRI and Goodman disagreed with CA IOUs' suggestion to eliminate 
the adjustment based on the number of compressors as it may potentially 
discourage the development and use of higher efficiency products. 
(AHRI, No. 36 at p. 2; AHRI, No. 41 at p. 3; Goodman, No. 42 at p. 2) 
Moreover, AHRI requested that a similar credit be given to products 
using modulating compressors due to the typical application where a 
higher charge is a requirement of the high efficiency systems. (AHRI, 
No. 36 at p. 2) AHRI also disagreed with the idea of eliminating the 
scaling factor proposed for rating larger compressors. (AHRI, No. 41 at 
p. 3) Lastly, AHRI recommended that the measurement of the off mode 
power consumption and of the low-voltage power from the controls for 
the shoulder season be divided by the number of compressors or number 
of discrete controls, as is currently done for the measurements in the 
heating season. (AHRI, No. 36 at p. 2)
    DOE is aware that some systems may require higher wattage heaters 
to protect system reliability. Specifically, larger-capacity units may 
have larger-capacity compressors, which (at a high level) have larger 
shells with more surface area that can cool them off, thus requiring 
more heater wattage. They may also have more lubricant, thus it takes 
more heater wattage to heat up the lubricant to acceptable level (for 
example after a power outage) before restart. To avoid situations that 
force manufacturers to potentially compromise the reliability of their 
systems by downsizing crankcase heater wattages to meet off mode power 
requirements, DOE proposes to retain the recommended scaling factor for 
large capacity systems.
    Additionally, DOE does not want to penalize manufacturers of 
multiple compressor systems, which are highly efficient but also need 
to employ larger crankcase heaters for safe and reliable operation 
given the additional shell surface area and lubricant. Therefore, DOE 
agrees with AHRI's recommendation and proposes that the off mode power 
consumption for the shoulder season and heating season, as well as the 
low-voltage power from the controls, be divided by the number of 
compressors to determine off mode power consumption on a per-compressor 
basis.
    The direct final rule also did not consider the possible 
applicability of the new off mode standards to high-efficiency air 
conditioners and heat pumps that achieve high SEER and HSPF ratings 
using both large heat exchangers and compressor modulation. The 
correlation of the use of modulating compressors with high refrigerant 
charge, which is indicative of larger heat exchangers, was mentioned in 
the AHRI comment. (AHRI, No. 41 at p. 3) DOE does not want to penalize 
manufacturers for selling high efficiency units. Therefore, DOE agrees 
with AHRI's recommendation to apply a multiplier to the calculation of 
the per-compressor off mode power for the shoulder season and heating 
season for modulated compressors, but proposes a multiplier of 1.5, as 
modulating technology is not a multiple-compressor technology (with a 
multiplier of 2+). DOE requests comment on the multiplier of 1.5 for 
calculating the shoulder season and heating season per-compressor off 
mode power for modulated compressors.
4. Procedure for Measuring Low-Voltage Component Power
    In the October 2011 SNOPR, DOE proposed to measure the power from 
low-voltage components, Px, after each of the two tests conducted at T1 
and T2. 76 FR 65628-30. Although this would ensure that the low-voltage 
power consumption at each temperature test point would be removed from 
the respective off mode power consumption, AHRI expressed concern about 
excessive manufacturer test burden. AHRI recommended that Px 
not be re-measured, as it does not change with temperature and not re-
measuring it avoids automatic and unwanted operation of the crankcase 
heater. (AHRI, No. 36 at p. 3)
    DOE agrees with AHRI that the low voltage power consumption does 
not change with temperature, although slight and insignificant 
fluctuations in the low-voltage power may occur due to the relationship 
of resistivity and conductivity to temperature. Moreover, DOE does not 
believe that these fluctuations outweigh the test burden added from 
reconfiguring the system for measuring the low-voltage power a second 
time. As such, the test procedure has been revised so that the 
measurement of Px is not repeated. DOE proposes to require that the 
measurement of Px occur after the measurement of the heating season 
total off mode power, P2x, which reduces test burden by requiring a 
single disconnection of the low-voltage wires.
    Additionally, DOE is aware that many control types exist for 
crankcase heaters, and certain control methodologies cycle the 
crankcase heater on and off during the 5-minute interval during which 
Px is being measured. Since Px measures the power of functioning 
components, only non-zero values of measured power should be used in 
the calculations. DOE has therefore included in the proposed test 
procedure a requirement to record only non-zero data for the 
determination of Px.
5. Revision of Off-Mode Power Consumption Equations
    As a result of the proposed revisions to the test procedure 
discussed in section III.D.3 and section III.D.4, the equations from 
the October 2011 SNOPR for determining P1 for crankcase heaters without 
controls and for determining P2 for crankcase heaters with controls are 
simplified in this proposal. The revised equations are:

[[Page 69303]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.000

respectively. 76 FR 65616, 65629-30 (Oct. 24, 2011). P1D is 
the off mode power with the crankcase heater disconnected, which is 
equal to the low-voltage power, Px. P1x is the shoulder-season total 
off mode power, P2x is the heating-season total off mode power, P1 is 
the per-compressor shoulder-season total off mode power, and P2 is the 
per-compressor heating-season total off mode power.
    The proposed revisions to section III.D.3 (per-compressor 
representation of P1) and section III.D.4 (temperature-independence of 
Px) of this notice allow for the simplification of the equations that 
would be used to calculate power for crankcase heaters with or without 
controls. The two proposed revisions are based on the following three 
premises: (1) The representations of P1 and P2 would both be calculated 
on a per-compressor basis (as discussed in section III.D.3); (2) The 
value of Px would not vary with temperature and would thus be the same 
at T1 as it is at T2 (as discussed in section III.D.4); (3) The 
following would apply under the proposed method: P2 = P2x - Pxi P1 = 
P1x - Px. (As discussed in the October 2011 SNOPR at 76 FR 
65629). Applying the three premises to the equations for P1 and P2 from 
the October 2011 SNOPR results in the following simplification:
[GRAPHIC] [TIFF OMITTED] TP09NO15.001

6. Off-Mode Power Consumption for Split Systems
    AHRI commented that language in the October 2011 SNOPR may have 
caused stakeholders to infer that every blower coil indoor unit 
combination and every coil-only indoor unit combination must be tested 
to determine off mode power consumption. (AHRI, No. 36 at p. 2) AHRI 
recommended that DOE only require testing of the outdoor condensing 
unit for the highest sale-volume combination of each basic model to 
determine the off mode power consumption and allow use of an 
alternative rating method (ARM) to reduce test burden. (AHRI, No. 36 at 
p. 2)
    In this SNOPR, DOE proposes generally that each basic model would 
be required to have all applicable represented values (SEER, EER, HSPF, 
or PW,OFF) of a specified individual combination determined 
through testing. The other individual combinations within each basic 
model may be tested or rated using AEDMs. As such, only one individual 
combination within each basic model would be required to be tested to 
determine off mode power consumption.
    Additionally, upon reviewing the test procedures of furnace 
products, DOE found that the indoor off mode power in coil-only split-
systems (that would be installed in the field with a furnace) was 
accounted for in the furnace test methodology. The indoor power for 
coil-only systems consists of the controls for the electronic expansion 
valve drawing power from control boards either indoor in the furnace 
assembly or outdoor in the condensing unit. To avoid double-counting 
indoor off mode power between two products, DOE proposes to exclude 
measurement of the low-voltage power if the controls for the indoor 
components receive power from a control board dedicated to a furnace 
assembly. For blower coil indoor units in which the air mover is a 
furnace, the same proposal applies. For blower coil indoor units in 
which the designated air mover is not a furnace, since the off mode 
power of the indoor components is not accounted for in any other 
product's test methodology, DOE proposes to adopt language to include 
the low-voltage power from the indoor unit when measuring off mode 
power consumption for blower coil systems.
    7. DOE requests comment on its proposal to exclude low-voltage 
power from the indoor unit when measuring off mode power consumption 
for coil-only split-system air conditioners and for blower coil split 
system air conditioners for which the air mover is a furnace. DOE also 
requests comment on its proposal to include the low-voltage power from 
the indoor unit when measuring off mode power consumption for blower 
coil split-system air conditioners with an indoor blower housed with 
the coil and for heat pumps.
Time Delay Credit
    To provide an additional incentive for manufacturers to reduce 
energy consumption, AHRI and Goodman suggested adding a credit for 
crankcase heaters that incorporate a time delay before turning on 
during the shoulder season. (AHRI, No. 41 at p. 2; Goodman, No. 42 at 
p. 1) The off mode period in the calculation methodology designates 
extended periods during which the unit

[[Page 69304]]

is idle. DOE proposes to adopt an energy consumption credit that would 
be proportional to the duration of the delay, as implemented in the 
calculation of the off mode energy consumption for the shoulder season, 
E1, in the proposed off mode test procedure. DOE is also proposing, for 
products in which a time delay relay is installed but the duration of 
the delay is not specified in the manufacturer's installation 
instructions shipped with the product or in the certification report, a 
default period of non-operation of 15 minutes out of every hour, 
resulting in a 25% savings in shoulder-season off mode energy 
consumption. To reduce potential instances of the misuse of this 
incentive, DOE also proposes requiring manufacturers to report the 
duration of the crankcase heater time delay for the shoulder season and 
heating season that was used during certification testing. DOE is also 
considering adding a verification method to 429.134. DOE requests 
comment on the proposed method for accounting for the use of a time 
delay, the default period of non-operation, and the possibility of a 
verification test for length of time delay.
8. Test Metric for Off-Mode Power Consumption
    The June 2010 NOPR proposed a test procedure that would measure the 
average off mode power consumption, PW,OFF, of a central air 
conditioner or heat pump. 75 FR 31238-39. Additionally, the amended 
energy conservation standards for central air conditioners and heat 
pumps in the June 2011 DFR included standards for off mode power 
consumption that were defined in terms of PW,OFF. 76 FR 37408, 37411. 
The Joint Efficiency Advocates and the CA IOUs commented that the test 
procedure should calculate energy use and not average power draw. 
(Joint Efficiency Advocates, No. 43 at p. 3; CA IOUs, No. 33 at p. 1) 
The CA IOUs stated that DOE should measure energy use because control 
systems on the crankcase heater can save power by reducing run time, 
which is not captured by a power-draw metric. (CA IOUs, No. 33 at p. 1) 
The Joint Efficiency Advocates also requested that any standards 
promulgated should be based on energy use. (Joint Efficiency Advocates, 
No. 43 at p. 2) To maintain consistency with the off mode standards, 
the test procedure must measure off mode power consumption rather than 
energy use. However, DOE recognizes that adopting a bin-based approach 
to calculate PW,OFF does not provide a final off mode value that is 
indicative of actual power consumption. DOE is aware of alternative 
methods to determine a power rating. However, in consideration of 
testing burden, DOE proposes to implement a method of calculation that 
would closely approximate the actual off mode power consumption via a 
simple average of the shoulder and heating season measured values. 
Although this metric will not directly translate into instantaneous off 
mode power consumption, annual energy costs, or national energy 
consumption, it does provide a standardized method of calculation that 
is representative of average off mode power consumption. The average 
off mode power calculation can be used for ranking models based on 
their performance when idle, as well as for comparing a model's 
performance to the DOE standards.
    DOE is aware that measurement of energy use for a specified test 
period would enable calculation of annual energy consumption and 
operating costs and, on a larger scale, national energy savings and 
national energy consumption solely due to equipment idling. Therefore, 
DOE has proposed optional equations that a manufacturer could use to 
determine the actual off mode energy consumption, based on the hours of 
off mode operation and off mode power for the shoulder and heating 
seasons, to provide additional information to consumers. Energy 
consumption would be specific to a single location and its unique set 
of cooling, heating, and shoulder season hours. DOE requests comment on 
such equations.
9. Impacts on Product Reliability
    AHRI and Bristol Compressors submitted comments expressing concern 
that regulating crankcase heater energy consumption could have a 
negative impact on product reliability (AHRI, No. 41 at pp. 1-2; 
Bristol, No. 39 at p. 1) Bristol Compressors remarked that simply 
turning the crankcase heater off at specific outdoor ambient 
temperatures would expose many compressors to conditions that would 
reduce the effective life of the product or, at worst, cause immediate 
failure. Bristol requested that DOE allow additional time for research 
on technological options that could save energy in a manner similar to 
controls based on outdoor ambient temperature, but that do not impact 
the reliability of the product. (Bristol, No. 39 at p. 1) AHRI asked 
DOE to conduct further research to determine if regulating crankcase 
heater energy consumption has a negative impact on product reliability 
and to consider additional amendments to the test procedure, if deemed 
necessary, to limit impacts on product reliability. (AHRI, No. 41 at p. 
2)
    DOE expects that this proposed off mode test method will allow 
manufacturers to meet the June 2011 off mode standards without causing 
a shift in the reliability of the overall market of central air 
conditioners and heat pumps. DOE requests comments on the issue of 
compressor reliability as it relates to crankcase heater operation in 
light of the test method proposed in this rule.
10. Representative Measurement of Energy Use
    In the April 2011 SNOPR DOE proposed modifications to the 
laboratory tests and algorithms for determining the off mode power of 
central air conditioners and heat pumps. 76 FR 18105, 18107-09 (April 
1, 2011). DOE received comments indicating that the April 2011 SNOPR 
was overly burdensome, and the October 2011 SNOPR proposed a revised 
method that was intended to reduce this burden. 76 FR 65616 (Oct. 24, 
2011).
    Following the October 2011 SNOPR, the Joint Efficiency Advocates 
stated that, while minimizing test burden is important, DOE is also 
obligated by statute to prescribe a test procedure that measures the 
energy use of a covered product during a representative average use 
cycle or period of use. (42 U.S.C. 629(b)(3)) The Joint Efficiency 
Advocates stated that the Department's proposal was far from 
accomplishing that statutory requirement. (Joint Efficiency Advocates, 
No. 35 at p. 2) The CA IOUs noted that the test procedure revisions 
presented in the October 2011 SNOPR would not encourage innovative 
designs of heating systems in off mode, and that the results produced 
by the test procedure would be misleading to consumers, because the 
reported values would not be indicative of actual power draw if DOE 
were to require measurements based on fixed outdoor temperatures and 
use a simple average of P1 and P2. (CA IOUs, No. 33 at p. 1)
    However, in the December 2011 extension notice, DOE proposed to 
consider the suggestion by the CA IOUs to use the actual outdoor 
temperatures at which the crankcase heater turns on or off to measure 
P1 and P2, as discussed in section III.D.2. The CA IOUs subsequently 
submitted comments that reaffirmed this proposal, and recommended that 
DOE consider its proposals to use a weighted average of P1 and P2 and 
to not adjust power draw for systems with multiple compressors or 
large-capacity systems. (CA IOUs, No. 40 at p.1) The Joint Efficiency 
Advocates conveyed strong support for

[[Page 69305]]

the CA IOUs' proposal and remarked that the test procedure would not be 
indicative of actual energy use if DOE did not adopt the CA IOUs' 
proposal. (Joint Efficiency Advocates, No. 43 at p. 1; Joint Efficiency 
Advocates, No. 43 at p. 3)
    As previously discussed, DOE must develop test procedures to 
measure energy use that balance test burden with measurement accuracy. 
The off mode test procedures published in the original NOPR and the 
first SNOPR were judged by stakeholders to be too complex and 
burdensome. As a result, DOE proposed a test method in the second SNOPR 
that was simplified and designed to result in comparatively less test 
burden. The simplified test procedure, however, may have impacted the 
ability to provide a measurement that is representative of an average 
use cycle or period of use. In this third SNOPR, DOE has made 
additional revisions and believes that this new proposed off mode test 
procedure limits test burden to a reasonable extent and will provide a 
means for measuring off mode power use in a representative manner.

E. Test Repeatability Improvement and Test Burden Reduction

    42 U.S.C. 6293(b)(3) states that any test procedure prescribed or 
amended shall be reasonably designed to produce test results which 
measure energy efficiency and energy use of a covered product during a 
representative average period of use and shall not be unduly burdensome 
to conduct. This section discusses proposals to improve test procedure 
clarity and to reduce test burden. None of the proposals listed in this 
section would alter the average measured energy consumption of a 
representative set of models.
1. Indoor Fan Speed Settings
    Indoor unit fan speed is typically adjustable during test set-up to 
assure that the provided air volume rate is appropriate for the field-
installed ductwork system serving the building in which the unit is 
actually installed. The DOE test procedure accounts for these variable 
settings by establishing specific requirements for external static 
pressure and air volume rate during the test. For an indoor coil tested 
with an indoor fan installed, DOE's test procedure requires that (a) 
external static pressure be not less than a minimum value that depends 
on cooling capacity \11\ and product class, ranging from 1.10 to 1.20 
inches of water column (in. wc.) for small-duct, high-velocity systems 
and from 0.10 to 0.20 in. wc. for all other systems except non-ducted 
units (see 10 CFR part 430, subpart B, Appendix M, Table 2); and (b) 
the air volume rate divided by the total cooling capacity not exceed a 
maximum value of 37.5 cubic feet per minute of standard air (scfm) per 
1000 Btu/h of cooling capacity \12\ (see 10 CFR part 430, subpart B, 
Appendix M, Section 3.1.4.1.1).
---------------------------------------------------------------------------

    \11\ Or heating capacity for heating-only heat pumps.
    \12\ Such a requirement does not exist for heating-only heat 
pumps.
---------------------------------------------------------------------------

    Requirement (a) is more easily met using higher fan speeds, while 
requirement (b) is more easily met by lower fan speeds. DOE realizes 
that more than one speed setting may meet both the minimum static 
pressure and the maximum air volume rate requirements. Section 
3.1.4.1.1(a)(6) of the current DOE test procedure for air conditioners 
and heat pumps allows adjustment of the fan speed to a higher setting 
if the first selected setting does not meet the minimum static pressure 
requirement at 95 percent of the cooling full-load air volume rate.\13\ 
This step suggests that common test practice would be to initially 
select lower fan speeds to meet the requirements before attempting 
higher speeds. However, the test procedure does not, for cases in which 
two different settings could both meet the air volume rate and static 
pressure requirements, explicitly specify that the lower of the two 
settings should be used for the test. The fan power consumption would 
generally be less at lower speeds, but compressor power consumption may 
be reduced at conditions of higher air volume rate--hence it is not 
known prior to testing whether a higher or lower air volume rate will 
maximize the SEER or HSPF for a given individual model. However, DOE is 
aware that efficiency ratings are generally better when products are 
tested at the lowest airflow-control settings intended for cooling (or 
heating) operation that will satisfy both the minimum static pressure 
and maximum air volume rate requirements. DOE therefore proposes that 
blower coil products tested with an indoor fan installed be tested 
using the lowest speed setting that satisfies the minimum static 
pressure and the maximum air volume rate requirements, if applicable, 
if more than one of these settings satisfies both requirements. This is 
addressed in section 2.3.1.a of Appendix M.
---------------------------------------------------------------------------

    \13\ For heating-only heat pumps, Section 3.1.4.4.3(a)(6) allows 
adjustment of the fan speed to a higher setting if the first 
selected setting does not meet the requirements minimum static 
pressure requirement at 95 percent of the heating full-load air 
volume rate.
---------------------------------------------------------------------------

    For a coil-only system, i.e., a system that is tested without an 
indoor fan installed, the pressure drop across the indoor unit must not 
exceed 0.3 inches of water for the A test (or A2 test for 
two-capacity or variable-capacity systems), and the maximum air volume 
rate per capacity must not exceed 37.5 cubic feet per minute of 
standard air (scfm) per 1000 Btu/h. (10 CFR part 430, subpart B, 
Appendix M, Section 3.1.4.1.1) For such systems, higher air volume 
rates enhance the heat transfer rate of the indoor coil, and therefore 
may maximize the measured system capacity and efficiency. In addition, 
the energy use and heat input attributed to the fan energy for such 
products is a fixed default value in the test procedure, and is set at 
365 W per 1,000 scfm (10 CFR part 430, subpart B, Appendix M, Section 
3.3(d)). Thus, the impact from fan power on the efficiency measurement 
if air volume rate is increased may be more modest than for a unit 
tested with the indoor fan installed. However, a maximum external 
static pressure of 0.3 in. wc. is specified for the indoor coil 
assembly in order to represent the field-installed conditions. To 
minimize potential testing variability due to the use of different air 
volume rates, DOE proposes to require for coil-only systems for which 
the maximum air flow (37.5 scfm/1000 Btuh) or maximum pressure drop 
(0.3 in wc) are exceeded when using the specified air flow rate, the 
highest air flow rate that satisfies both the maximum static pressure 
and the maximum air volume rate requirements should be used. This is 
specified in section 3.1.4.1.1.c of Appendix M.
    Improper fan speed implemented during testing may have a marked 
impact on product performance, and inconsistent implementation of speed 
adjustments may be detrimental to test repeatability. DOE therefore 
proposes to require that manufacturers include in their certification 
report the speed setting and/or alternative instructions for setting 
fan speed to the speed upon which the rating is based.
    For consistency with the furnace fan test procedure, DOE proposes 
to add to Appendix M (and also Appendix M1) the definition for 
``airflow-control setting'' that has been adopted in Appendix AA to 
refer to control settings used to obtain fan motor operation for 
specific functions.
    DOE requests comment on its proposals regarding requirements on fan 
speed settings during test setup.

[[Page 69306]]

2. Requirements for the Refrigerant Lines and Mass Flow Meter
    Section 2.2(a) of 10 CFR part 430, subpart B, Appendix M provides 
instructions for insulating the ``low-pressure'' line(s) of a split-
system. In the cooling mode, the vapor refrigerant line connecting the 
indoor and outdoor units is operating at low refrigerant pressure. 
However, in the heating mode, the vapor refrigerant line connecting the 
indoor and outdoor units operates at high pressure, providing high 
pressure vapor to the indoor unit. To improve clarity and ensure that 
the language of the test procedure refers specifically to the actual 
functions of the refrigerant lines, DOE proposes to refer to the lines 
as ``vapor refrigerant line'' and ``liquid refrigerant line''.
    Section 2.2(a) of 10 CFR part 430, subpart B, Appendix M and AHRI 
210/240-2008 Section 6.1.3.5 both require insulation on the vapor 
refrigerant line and do not state what insulation, if any, is required 
on the liquid refrigerant line. Differences in product design and in 
the parts manufacturers decide to ship with the unit may lead to 
varying interpretations regarding the need to insulate the liquid 
refrigerant line during the test and may therefore introduce test 
variability. Furthermore, there may be unnecessary burden on test 
laboratories if they choose to add insulation when manufacturers do not 
to ship liquid refrigerant line insulation with the unit. While DOE 
wishes to clarify requirements for insulation of refrigerant lines, 
there are two factors that make such a determination difficult: (1) 
There may be reasons both for insulating and for not insulating the 
liquid refrigerant tubing--if not insulated, additional subcooling of 
the refrigerant liquid as it passes through the line prior to its 
expansion in the indoor unit may increase cooling capacity and thus 
increase the measured SEER. However, the increased subcooling of the 
liquid would increase the load on the outdoor coil during the heating 
mode of a heat pump, which may slightly reduce evaporating temperature 
and thus both reduce heat pump capacity and increase compressor power 
input. On the other hand, insulating the liquid line would result in 
higher measurements of HSPF for a heat pump when compared with 
measurements with the liquid line not insulated, but would result in 
lower measurements of the SEER; (2) DOE has observed that installation 
manuals for air conditioners and heat pumps generally indicate that 
liquid lines should be insulated in special circumstances (e.g., 
running the line through a warm space or extra-long refrigerant line 
runs), but do not provide guidance on the use of insulation in the 
absence of such conditions.
    Because DOE seeks to minimize test variability associated with the 
use of insulation, this notice includes a proposal for determining the 
insulation requirement for the test based on the materials and 
information included by the manufacturer with the test unit. Under this 
proposal, test laboratories would install the insulation shipped with 
the unit. If the unit is not shipped with insulation, the test 
laboratory would install the insulation specified in the installation 
manuals included with the unit by the manufacturer. Should the 
installation instructions not provide sufficient guidance on the means 
of insulating, liquid line insulation would be used only if the product 
is a heating-only heat pump. These proposed requirements are intended 
to reduce test burden and improve test repeatability for cooling and 
heating products, as well as heating-only products. DOE requests 
comment on its proposal to require that test laboratories install the 
insulation included with the unit or, if insulation was not furnished 
with the unit, follow the insulation specifications in the 
manufacturer's installation instructions. DOE also requests comment on 
its proposal to require liquid line insulation of heating-only heat 
pumps.
    In cases where the refrigerant enthalpy method is used as a 
secondary measurement of indoor space conditioning capacity, 
uninsulated surfaces of the refrigerant lines and the mass flow meter 
may also contribute to thermal losses. DOE does not believe that 
preventing the incremental thermal losses associated with the mass flow 
meter components and its support structure would make a measurable 
impact on efficiency measurements. However, DOE does recognize the 
possibility that thermal loss might reduce the efficiency measurement, 
particularly during heating mode tests if the mass flow meter is placed 
on the test chamber floor, which might be cooler than the air within 
the room. To enhance test repeatability among various laboratories that 
may use different mass flow meters with varying materials for support 
structures, DOE proposes to require use of a thermal barrier to prevent 
such thermal transfers between the flow meter and the test chamber 
floor if the meter is not mounted on a pedestal or other support 
elevating it at least two feet from the floor. DOE proposes to add 
these requirements to Appendix M, section 2.10.3. DOE requests comment 
on this means to prevent meter-to-floor thermal transfer.
3. Outdoor Room Temperature Variation
    Depending on the operating characteristics of the test laboratory's 
outdoor room conditioning equipment, temperature or humidity levels in 
the room may vary during testing. For this reason, a portion of the air 
approaching the outdoor unit's coil is sampled using an air sampling 
device (see Appendix M, section 2.5). The air sampling device, 
described in ASHRAE Standard 41.1-2013, consists of multiple manifolded 
tubes with a number of inlet holes, and is often called an air sampling 
tree. If, during testing, the air entering the outdoor unit of a 
product is monitored only on one of its faces and there is significant 
spatial variation of the room's air conditions, the measured conditions 
for the monitored face may not be indicative of the average conditions 
for the inlet air across all faces.
    To ensure that the measurements account for variation in the 
conditions in the outdoor room of the test chamber, DOE proposes to 
require demonstration of air temperature uniformity over all of the 
air-inlet surfaces of the outdoor unit using thermocouples, if sampling 
tree air collection is performed only on one face of the outdoor unit. 
Specifically, DOE would require that the thermocouples be evenly 
distributed over the inlet air surfaces such that there is one 
thermocouple measurement representing each square foot of air-inlet 
area. The maximum temperature spread to demonstrate uniformity, i.e., 
the maximum allowable difference in temperature between the 
measurements at the warmest location and at the coolest location, would 
be 1.5 [deg]F (DOE proposes to add these requirements to Appendix M, 
section 2.11.b). This is the same maximum spread allowable for 
measurement of indoor unit capacity using thermocouple grids, as 
described in 10 CFR part 430, subpart B, Appendix M, Section 3.1.8, in 
which the maximum spread among the measured temperatures on the 
thermocouple grid in the outlet plenum of the indoor coil must not 
exceed 1.5[emsp14][deg]F dry bulb. If this specified measurement of 
temperature uniformity cannot be demonstrated, DOE would require 
sampling tree collection of air from all air-inlet surfaces of the 
outdoor unit. DOE seeks comment for the proposed 1.5 [deg]F maximum 
spread for demonstration of outdoor air temperature uniformity, the 
proposed one square foot per thermocouple basis for thermocouple 
distribution, and the proposed requirement that an air

[[Page 69307]]

sampling device be used on all outdoor unit air-inlet surfaces if 
temperature uniformity is not demonstrated. DOE proposes to add these 
requirements to Appendix M, section 2.11.b.
4. Method of Measuring Inlet Air Temperature on the Outdoor Side
    To ensure test repeatability, DOE seeks to ensure that temperature 
measurements taken during the test are as accurate as possible. DOE is 
aware that measurement of outdoor inlet temperatures is commonly based 
on measurements of the air collected by sampling devices that use high-
accuracy dry bulb temperature and humidity measurement devices, and 
that the accuracy of these devices may be better than that of 
thermocouples. DOE proposes to require that the dry bulb temperature 
and humidity measurements, that are used to verify that the required 
outdoor air conditions have been maintained, be measured for the air 
collected by the air sampling devices (e.g., rather than being measured 
by temperature sensors located in the air stream approaching the air 
inlets). DOE requests comment on this proposal.
5. Requirements for the Air Sampling Device
    In evaluating various test setups and laboratory conditions, DOE 
has observed that certain setup conditions of the air sampling 
equipment could lead to measurement error or variability between 
laboratories. Specifically, the temperature of air collected by indoor 
and outdoor room air sampling devices could potentially change as it 
passes through the air collection system, leading to inaccurate 
temperature measurement if the air collection devices or the conduits 
conducting the air to the measurement location are in contact with the 
chamber floor or with ambient air at temperatures different from the 
indoor or outdoor room. To prevent this potential cause of error or 
uncertainty, DOE proposes to require that no part of the room air 
sampling device or the means of air conveyance to the dry bulb 
temperature sensor be within two inches of the test chamber floor. DOE 
also proposes to require those surfaces of the air sampling device and 
the means of air conveyance that are not in contact with the indoor and 
outdoor room air be insulated.
    A potential contributor to error or uncertainty in the measurement 
of humidity is the taking of dry bulb and wet bulb measurements in 
different locations, if there is significant cool down of air between 
the two locations. While ASHRAE Standard 41.1-2013 provides an example 
of an air sampling device with a dry bulb and wet bulb thermometer 
placed close together, the figure is merely illustrative. To minimize 
measurement error or uncertainty, DOE proposes to require that humidity 
measurements and dry bulb temperature measurements used to determine 
the moisture content of air be made at the same location in the air 
sampling device.
    As discussed in section III.E.14, DOE has also proposed several 
amendments to air sampling procedures that are included in a draft 
revision of AHRI 210/240-2008. DOE requests comments on all of these 
related proposals, including its proposal to require that the air 
sampling device and its components be prevented from touching the test 
chamber floor, to require insulation of those surfaces of the air 
sampling device and components that are not in contact with the chamber 
room air, and that dry bulb temperature and humidity measurements used 
to determine the moisture content of air be made at the same location 
in the air sampling device.
6. Variation in Maximum Compressor Speed With Outdoor Temperature
    When testing an air conditioner or heat pump with a variable-speed 
compressor, the compressor must be tested at three different speeds: 
Maximum, intermediate, and minimum. Some air conditioners and heat 
pumps with a variable-speed compressor operate such that their maximum 
allowed compressor speed varies with the outdoor temperature. However, 
the test procedure does not explicitly state whether the maximum 
compressor speed refers to a fixed value or a temperature-dependent 
value. As such, DOE proposes that the maximum compressor speed be fixed 
during testing through modification of the control algorithm used for 
the particular product such that the speed does not change with the 
outdoor temperature. DOE requests comment on this proposal.
7. Refrigerant Charging Requirements
    Near-azeotropic and zeotropic refrigerant blends are composed of 
multiple refrigerants with a range of boiling points. Gaseous charging 
of refrigerant blends is inappropriate because it can result in higher 
concentrations of the higher-vapor pressure constituents being charged 
into the unit, which can alter refrigerant performance characteristics 
and thus, unit performance. DOE recognizes that technicians certified 
to handle refrigerants via the Environment Protection Agency's (EPA) 
Section 608 Technician Certification Program, as mandated by 40 CFR 
82.161, are required to be knowledgeable of charging methods for 
refrigerant blends. However, to ensure consistent practices within the 
context of the DOE test procedure, DOE proposes to require that near-
azeotropic and zeotropic refrigerant blends be charged in the liquid 
state rather than the vapor state. This is found in section 2.2.5.8 of 
Appendix M. DOE requests comments on this proposal.
    Current language in Appendix M to Subpart B of 10 CFR part 430 does 
not prohibit testers from changing the amount of refrigerant charge in 
a system during the course of air conditioner and heat pump performance 
tests. Changing the amount of refrigerant may result in a higher SEER 
and/or a higher HSPF that does not reflect the actual performance of a 
unit in the field. In the June 2010 NOPR, DOE proposed to adopt into 
the test procedure select parts of the 2008 AHRI General Operations 
Manual that contains language disallowing changing the refrigerant 
charge after system setup. (75 FR 31234-5) AHRI and NEEA supported this 
proposal. (AHRI, No. 6 at p. 3; NEEA, No. 7 at p. 4) To ensure that 
performance tests reflect operation in the field, and to improve 
consistency in results between test facilities, DOE intends to retain 
the proposal made in the June 2010 NOPR. Specifically, DOE retains the 
proposed requirement that once the system has been charged with 
refrigerant consistent with the installation instructions shipped with 
the unit (or with other provisions of the test procedure, if the 
installation instructions are not provided or not clear), all tests 
must be conducted with this charge.
    DOE is aware that refrigerant charging instructions are different 
for different products, but that in some cases, such instructions may 
not be provided. More specifically, the appropriate charging method may 
vary among products based upon their refrigerant metering devices. The 
thermostatic expansion valve (TXV) type metering device is designed to 
maintain a specific degree of superheat.\14\ Electronic expansion valve 
(EXV) type metering devices function similarly to TXV type metering 
devices, but use sensors, a control system, and an actuator to set the 
valve position to allow more sophisticated control of the degree of 
superheat. Fixed orifice is

[[Page 69308]]

another type of expansion device commonly used for air conditioners. In 
contrast to a TXV or EXV, a fixed orifice does not actively respond to 
system pressures or temperatures to maintain a fixed degree of 
superheat. The refrigerant charge can affect the measured system 
efficiency. Systems with different expansion devices react differently 
to variation in the charge, and they also generally require different 
procedures for ensuring that the system is properly charged. As the 
charging operation may differ among these types of metering devices, 
and misidentification may lead to inconsistent charging and 
unrepeatable testing, DOE proposes to require manufacturers to report 
the type of metering device used during certification testing.
---------------------------------------------------------------------------

    \14\ The degree of superheat is the extent to which a fluid is 
warmer than its bubble point temperature at the measured pressure, 
i.e., the difference between a fluid's measured temperature and the 
saturation temperature at its measured pressure.
---------------------------------------------------------------------------

    If charging instructions are not provided in the manufacturer's 
installation instructions shipped with the unit, DOE proposes 
standardized charging procedures to ensure consistent testing in a 
manner that reflects field practices. For a unit equipped with a fixed 
orifice type metering device for which the manufacturer's installation 
instructions shipped with the unit do not provide refrigerant charging 
procedures, DOE proposes that the unit be charged at the A or 
A2 test condition, requiring addition of charge until the 
superheat temperature measured at the suction line upstream of the 
compressor is 12 [deg]F with tolerance discussed in section III 
E.14.\15\ For a unit equipped with a TXV or EXV type metering device 
for which the manufacturer's installation instructions shipped with the 
unit do not provide refrigerant charging procedures, DOE proposes that 
the unit be charged at the A or A2 condition, requiring 
addition of charge until the subcooling \16\ temperature measured at 
the condenser outlet is 10 [deg]F with tolerance discussed in section 
III E.14.\17\
---------------------------------------------------------------------------

    \15\ The range of superheating temperatures was generalized from 
industry-accepted practice and state-level authority regulations on 
refrigerant charging for non-TXV systems.
    \16\ The degree of subcooling or subcooling temperature is the 
extent to which a fluid is cooler than its refrigerant bubble point 
temperature at the measured pressure, i.e., the bubble point 
temperature at a fluid's measured pressure minus its measured 
temperature. Bubble point temperature is the temperate at a given 
pressure at which vapor bubbles just begin to form in the 
refrigerant liquid.
    \17\ The range of subcooling temperatures was generalized from 
manufacturer-published and technician-provided service instructions 
and are typical of industry practice.
---------------------------------------------------------------------------

    For heating-only heat pumps for which refrigerant charging 
instructions are not provided in the manufacturer's installation 
instructions shipped with the unit, the proposed standardized charging 
procedure would be followed while performing refrigerant charging at 
the H1 or H12 condition. DOE also proposes that charging be 
done for the H1 or H12 test condition for cooling/heating 
heat pumps which fail to operate properly in heating mode when charged 
using the standardized charging procedure for the A or A2 
test condition. In such cases, some of the tests conducted using the 
initial charge may have to be repeated to ensure that all tests 
(cooling and heating) are conducted using the same refrigerant charge. 
DOE proposes to add these requirements to Appendix M in a new section 
2.2.5.8.
    DOE requests comments on the proposed standardized charging 
procedures to be applied to units for which the installation 
instructions shipped with the unit do not provide charging 
instructions.
    DOE understands that manufacturers may provide installation 
instructions with different charging procedures for the indoor and 
outdoor units. In such cases, DOE proposes to require charging based on 
the installation instructions shipped with the outdoor unit for outdoor 
unit manufacturer products and based on the installation instructions 
shipped with the indoor unit for independent coil manufacturer 
products, unless otherwise specified by either installation 
instructions. DOE requests comments on this proposal.
    Single-package central air conditioners and heat pumps may be 
shipped with refrigerant already charged into the unit. Verifying the 
proper amount of refrigerant charge is valuable for increasing test 
repeatability. To this end, DOE believes that the benefits of 
installing pressure gauges on a single-package unit to help verify 
charge and to monitor refrigerant conditions generally outweigh the 
potential drawbacks associated with connecting the gauges (e.g., 
refrigerant transfer from the product into the gauges and hoses or 
refrigerant leakage); calculating the superheat or subcooling 
quantities used to determine whether the unit is charged properly 
requires knowledge of the refrigerant pressure, and the quantity of 
charge transferred from the unit when connecting a pressure gauge set 
is generally a very small percentage of the unit's charge. Further, 
assessing the refrigerant charge may improve repeatability of the tests 
and measured efficiency. DOE therefore proposes that refrigerant line 
pressure gauges be installed during the setup of single-package and 
split-system central air conditioner and heat pump products, unless 
otherwise specified by the instructions. DOE also proposes that the 
refrigerant charge be verified per the charging instructions and, if 
charging instructions are not provided in the installation instructions 
shipped with the unit, the refrigerant charge would be verified based 
on the standardized charging procedure described above. DOE requests 
comments on these proposals.
    As discussed in section III.E.14, DOE has also proposed several 
amendments to charging procedures that are included in a draft revision 
of AHRI 210/240-2008. DOE requests comment on all aspects of its 
proposals to amend the refrigerant charging procedures.
8. Alternative Arrangement for Thermal Loss Prevention for Cyclic Tests
    10 CFR part 430, subpart B, Appendix M, Section 2.5(c) requires use 
of damper boxes in the inlet and outlet ducts of ducted units to 
prevent thermal losses during the OFF period of the compressor OFF/ON 
cycle for the cooling or heating cyclic tests. However, DOE is aware 
that installation of such dampers for single-package ducted units can 
be burdensome because the unit must be located in the outdoor chamber 
and there may be limited space in the chamber and in between the inlet 
and outlet ducts to install the required transition ducts, insulation, 
and dampers. To preserve the intent of the air damper boxes, reduce 
testing burden, and accommodate variations in chamber size, DOE 
proposes an alternative testing arrangement to prevent thermal losses 
during the compressor OFF period that would eliminate the need to 
install a damper in the inlet duct that conveys indoor chamber air to 
the indoor coil.
    The proposed alternative testing arrangement would allow the use of 
a duct configuration that relies on changes in duct height, rather than 
a damper, to eliminate natural convection thermal transfer out of the 
indoor duct during OFF periods of the ``cold'' or heat generated by the 
system during the ON periods. An example of such an arrangement would 
be an upturned duct installed at the inlet of the indoor duct, such 
that the indoor duct inlet opening, facing upwards, is sufficiently 
high to prevent natural convection transfer out of the duct. DOE also 
proposes to require installation of a dry bulb temperature sensor near 
the inlet opening of the indoor duct at a centerline location not 
higher than the lowest elevation of the duct edges at the inlet. 
Measurement and recording of dry bulb temperature at this location 
would be required at least every minute during the compressor OFF 
period to confirm that no thermal loss occurs. DOE

[[Page 69309]]

proposes a maximum permissible variation in temperature measured at 
this location during the OFF period of 1.0 [deg]F.
    DOE seeks comment on its proposal in section 2.5(c) of Appendix M 
to allow, for cyclic tests, alternative arrangements to replace the 
currently-required damper in the inlet portion of the indoor air 
ductwork for single-package ducted units. DOE also requests comment on 
the proposed requirements for ensuring that there are no thermal losses 
during the OFF portion of the test, including the location of the 
proposed dry bulb temperature sensor, the requirements for recorded 
temperatures, and the 1.0 [deg]F allowable variation in 
temperature measured by this sensor.
9. Test Unit Voltage Supply
    The current DOE test procedure references ARI Standard 210/240-2006 
Section 6.1.3.2 for selecting the proper electrical voltage supply, 
which generally requires that, for tests performed at standard rating 
conditions (referred to as ``Standard Rating tests'' in Standard 210/
240), the tests be conducted at the product's nameplate rated voltage 
and frequency. This section also requires that Standard Rating tests be 
performed at 230 V for air-cooled equipment rated with 208-230 V dual 
nameplate voltages, and that all other dual nameplate voltage equipment 
be tested at both voltages or at the lower of the two voltages if only 
a single Standard Rating is to be published. DOE recognizes that 
nameplate voltages may differ for indoor and outdoor units. This may 
result in a difference of voltage supplied to the indoor and outdoor 
units in accordance with the current test requirement. DOE realizes 
that, in most cases, this voltage difference that may occur during 
testing is not representative of field operation where indoor and 
outdoor units are typically supplied with the same voltage. As such, 
DOE proposes to clarify that the outdoor voltage supply requirement 
supersedes the indoor requirement if the provisions result in a 
difference for the indoor and outdoor voltage supply. That is, both the 
indoor and outdoor units shall be tested at the same voltage supplied 
to the outdoor unit.
10. Coefficient of Cyclic Degradation
    The cooling coefficient of degradation, Cc, is the ratio of the EER 
measured for cycling (or intermittent) operation to the EER that would 
be measured for steady operation. The heating coefficient of 
degradation, Ch, is a similar factor that characterizes efficiency 
reduction for cycling operation during heat pump operation. The test 
procedures to determine these two coefficients are the same except for 
the testing conditions and unit operation mode, and the changes 
discussed in this section are applied to both metrics. Therefore, for 
the sake of simplicity and clarity, only the cooling coefficient of 
degradation is discussed here.
    The current test procedure gives manufacturers the option to use a 
default cyclic degradation coefficient (CD) value of 0.25 
instead of running the optional cyclic test. In response to the June 
2010 NOPR, which proposed some modifications related to the optional 
tests but not the default value, NEEA commented that its laboratory 
testing demonstrated that the default value 0.25 is not representative 
of system performance, especially for TXV-equipped systems, and instead 
supported using the actual tested values in determining ratings. (NEEA, 
No. 7 at pp. 6-7) DOE reviewed results from its own testing of 19 
split-system and single-package air conditioners and heat pumps from 
1.5 to 5 tons and found that the tested CD values range from 
0.02 to 0.18, with an average of 0.09. It also found no correlation 
between CD and SEER, EER, or cooling capacity. DOE also 
reviewed the AHRI 210/240-Draft (see section III.E.14), which updates 
the cooling Cc value to 0.2. DOE believes this default value may be 
more in-line with actual tested values, and DOE proposes to update the 
default cooling Cc value in Appendix M to 0.2. At this time, DOE is not 
proposing to update the default heating Ch value. In evaluating 
appropriate default values, DOE also reviewed its testing requirements 
to measure CD.
    DOE is aware of various issues that occur when conducting the test 
procedure to measure the degradation coefficient, such as the inability 
to attain stable capacity measurements from cycle to cycle and 
burdensome testing time to attain stability, and believes that these 
are symptoms of cyclic instability. DOE believes that the variation in 
cooling capacity during the test to determine Cc is exacerbated by the 
short compressor on-time specified for each cycle and by the effect of 
response time, sensitivity, and repeatability errors. DOE understands 
the importance of having a minimally burdensome test procedure. 
However, DOE recognizes that the current test method for measuring Cc, 
although clear in description and intent, does not provide requirements 
for cyclic stability of measured capacity over successive on-cycles 
during the test. Therefore, DOE proposes the following procedure based 
on cyclic testing data to clarify the test procedure, address cyclic 
stability, and offer default procedures to allow for test burden 
relief.
    DOE has obtained cyclic test data that show that as cycles are 
tested, either capacity reaches steady-state or capacity fluctuates 
constantly and consistently. Therefore, DOE proposes that before 
determining Cc, three ``warm up'' cycles for a unit with a single-speed 
compressor or two-speed compressor or two ``warm up'' cycles for a unit 
with a variable speed compressor must be conducted. Then, conduct a 
minimum of three complete cycles after the warm-up period, taking a 
running average of Cc after each additional cycle. If after three 
cycles, the average of three cycles does not differ from the average of 
two cycles by more than 0.02, the three-cycle average should be used. 
If it differs by more than 0.02, up to two more valid cycles will be 
conducted. If the average Cc of the last three cycles are within 0.02 
of or lower than the previous three cycles, use the average Cc of all 
valid cycles. After the fifth valid cycle, if the average Cc of the 
last three cycles is more than 0.02 higher than the previous three 
cycles, the default value will be used. The same changes are proposed 
for the test method to determine the heating coefficient of 
degradation.
    Given these changes to address, DOE proposes that unlike the 
current test procedure, manufacturers must conduct the specified 
testing required to measure CD for each tested unit. The 
default value may only be used if stability or the test tolerance is 
not achieved or when testing outdoor units with no match.
    DOE requests comment regarding the proposed revisions to the cyclic 
test procedure for the determination of both the cooling and heating 
coefficient of degradation. DOE also requests additional test data that 
would support the proposed specifications, or changes to, the number of 
warm-up cycles, the cycle time for variable speed units, the number of 
cycles averaged to obtain the value, and the stability criteria.
11. Break-In Periods Prior to Testing
    On June 1, 2012, AHRI submitted a supplement to the comments it 
submitted on January 20, 2012, as part of the extended comment period 
on the October 2011 SNOPR. In these supplementary comments, AHRI 
requested that DOE implement an optional 75-hour break-in period for 
testing central air conditioners and heat pumps. It stated that scroll 
compressors, which are the type of compressors most

[[Page 69310]]

commonly used in central air conditioners and heat pumps, achieve their 
design efficiency after 75 hours of operation, so the allowance for a 
break-in period of this length would ensure that the product being 
tested is operating as intended by the manufacturer and would provide a 
result that is more representative of average use. AHRI also cited a 
study of compressor break-in periods to justify this period of 
time,\18\ and added that, while AHRI's certification program for 
central air conditioners and heat pumps does not specify a minimum 
break-in period, it does allow manufacturers to specify a break-in 
period for their products. According to AHRI's comments, some 
manufacturers request a break-in period in excess of 100 hours, while 
others request 50 hours or less.
---------------------------------------------------------------------------

    \18\ Khalifa, H.E. ``Break-in Behavior of Scroll Compressors'' 
(1996). International Compressor Engineering Conference. Paper 1145.
---------------------------------------------------------------------------

    Furthermore, AHRI commented that implementation of an optional 
break-in period for central air conditioners and heat pumps would be 
consistent with a similar provision in the DOE test procedures for 
commercial heating and air-conditioning equipment, which DOE adopted in 
a final rule published May 16, 2012. 77 FR 28928. As stated in the 
final rule, the purpose of including this option for testing commercial 
HVAC equipment was to ensure that the equipment being tested would have 
time to achieve its optimal performance prior to conducting the test. 
DOE placed a maximum limit of 20 hours on the allowed period of break-
in, regardless of the break-in period recommended by the manufacturer, 
explaining that such a limit was necessary to minimize the burden 
imposed by this provision. In addition, DOE required that manufacturers 
who use the optional break-in period report the duration of their 
break-in as part of the test data underlying the certification that is 
required to be maintained under 10 CFR 429.71. DOE stated that it would 
use the same break-in period for any DOE-initiated testing as the 
manufacturer used in its certified ratings or, in the case of ratings 
based upon use of an alternate efficiency determination method (AEDM), 
the maximum 20-hour break-in period. 77 FR 28928, 28944.
    After consideration of the potential improvement in performance and 
increased test burden that may result from implementation of an 
optional 75-hour break-in period, DOE believes that the lengthy break-
in period is not appropriate or justified. In reviewing the paper that 
AHRI cited in its comments, DOE noted that, while the data indicate 
that products with scroll compressors do appear to converge upon a more 
consistent result after compressor break-in periods exceeding 75 hours, 
the most significant improvement in compressor performance and 
reduction in variation among compressor models both appear to occur 
during roughly the first 20 hours of run time.\19\ Moreover, scroll 
compressors in use at the time of this paper's publication in 1996 may 
have required longer break-in periods to address the surface quality of 
the internal components resulting from the manufacturing processes of 
that time, whereas compressors in use today have benefitted from 
improvements in the manufacturing technology for scroll compressors 
over the past 20 years. In addition, while the paper also supports 
AHRI's comment that smaller compressors require more time to reach 
their optimal performance than larger compressors, it does not show the 
absolute size of the compressors that were studied and makes 
comparisons based only on their relative sizes. Therefore, it is 
difficult to precisely determine how this data would apply to a central 
air conditioner or heat pump compressor versus a commercial air 
conditioner or heat pump. Finally, since DOE determined in the May 16, 
2012 commercial HVAC equipment final rule that a 20 hour maximum break-
in time would be sufficient for small commercial air-conditioning 
products, which are of a capacity similar to central air-conditioning 
products, DOE does not see justification for a break-in period longer 
than 20 hours for products. 77 FR 28928.
---------------------------------------------------------------------------

    \19\ Ibid. pp. 442-443.
---------------------------------------------------------------------------

    In consideration of AHRI's comments on the merits of conducting a 
break-in period prior to testing of central air conditioners and heat 
pumps, DOE proposes in this SNOPR to allow manufacturers the option of 
specifying a break-in period to be conducted prior to testing of these 
products under the DOE test procedure. However, due to the excessive 
test burden that could be imposed by allowing lengthy break-in times, 
DOE proposes to limit the optional break-in period to 20 hours, which 
is consistent with the test procedure final rule for commercial HVAC 
equipment. DOE also proposes to adopt the same provisions as the 
commercial HVAC rule regarding the requirement for manufacturers to 
report the use of a break-in period and its duration as part of the 
test data underlying their product certifications, the use of the same 
break-in period specified in product certifications for testing 
conducted by DOE, and use of the 20 hour break-in period for products 
certified using an AEDM.
    DOE requests comments on its proposal to allow an optional break-in 
period of up to 20 hours prior to testing as part of the DOE test 
procedure for central air conditioners and heat pumps.
12. Industry Standards That Are Incorporated by Reference
    In the June 2010 NOPR, DOE proposed two ``housekeeping'' updates 
throughout Appendix M regarding test procedure references. 75 FR 31243. 
The first is an update of the incorporation by reference (IBR) from ARI 
Standard 210/240-2006 to ANSI/AHRI 210/240-2008, which provides 
additional test unit installation requirements and requirements on 
apparatus used during testing. The second update involves changes to 
references from 10 CFR 430.22 to 10 CFR 430.3, as the listing of those 
materials incorporated by reference was relocated. In the public 
comment period following the NOPR, AHRI expressed support for updating 
the test procedure to reference current AHRI and ASHRAE standards. 
(AHRI, No. 6 at p. 6). DOE is maintaining its position in the June 2010 
NOPR for both proposals and therefore implemented the reference updates 
in the reprint of Appendix M of this notice. However, DOE proposes in 
this SNOPR to incorporate by reference the 210/240 standard having the 
most recent amendments at the time of this notice, i.e., ANSI/AHRI 210/
240-2008 with Addendum 2.\20\ The changes incorporated by these 
amendments relate to replacing the Integrated Part Load Value (IPLV) 
efficiency metric with the Integrated Energy Efficiency Ratio (IEER) 
metric, as well as adding the methodology for determining IEER for 
water- and evaporatively-cooled products. These changes are relevant 
only to commercial equipment and are not relevant to the DOE test 
procedure for central air conditioners and heat pumps. Therefore 
updating references to the latest version of ANSI/AHRI 210/240 will not 
impact the ratings or energy conservation standards for central air 
conditioners and heat pumps.
---------------------------------------------------------------------------

    \20\ ANSI/AHRI 210/240-2008 with Addendum 2 is named as such but 
includes changes per an Addendum 1 on the same standard.
---------------------------------------------------------------------------

    In addition, in this SNOPR, DOE proposes to update the IBR from 
ASHRAE Standard 37-2005, Methods of Testing for Rating Unitary Air-
Conditioning and Heat Pump Equipment to ASHRAE Standard 37-2009, 
Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump

[[Page 69311]]

Equipment; ASHRAE 41.9-2000, Calorimeter Test Standard Methods for Mass 
Flow Measurements of Volatile Refrigerants to ASHRAE 41.9-2011, 
Standard Methods for Volatile-Refrigerant Mass Flow Measurements Using 
Calorimeters; and ASHRAE/AMCA 51-1999/210-1999, Laboratory Methods of 
Testing Fans for Aerodynamic Performance Rating to ASHRAE/AMCA 51-07/
210-07, Laboratory Methods of Testing Fans for Certified Aerodynamic 
Performance Rating. None of these updates includes significant changes 
to the sections referenced in the DOE test procedure and thus will not 
impact the ratings or energy conservation standards for central air 
conditioners and heat pumps.\21\
---------------------------------------------------------------------------

    \21\ ASHRAE 37-2009 only updates to more recent versions of 
other standards it references. ASHRAE/AMCA 51-07/210-07 made slight 
changes to the figure referenced by DOE, which DOE has determined to 
be insignificant.
---------------------------------------------------------------------------

    Additionally, DOE proposes to update the IBR from ASHRAE 41.1-1986 
(Reaffirmed 2006), Standard Method for Temperature Measurement to 
ASHRAE 41.1-2013, Standard Method for Temperature Measurement, as well 
as the IBR to ASHRAE 41.6-1994, Standard Method for Measurement of 
Moist Air Properties to ASHRAE 41.6-2014, Standard Method for Humidity 
Measurement. In the updated versions of these standards, specifications 
for measuring wet-bulb temperature were moved from ASHRAE 41.1 to 
ASHRAE 41.6. None of these updates includes significant changes to the 
sections referenced in the DOE test procedure and thus will not impact 
the ratings or energy conservation standards for central air 
conditioners and heat pumps.
    Also, DOE proposes to update the IBR from ASHRAE 23-2005, Methods 
of Testing for Rating Positive Displacement Refrigerant Compressors and 
Condensing Units to ASHRAE 23.1-2010 Methods of Testing for Rating the 
Performance of Positive Displacement Refrigerant Compressors and 
Condensing Units That Operate at Subcritical Temperatures of the 
Refrigerant. ASHRAE 23 has been withdrawn and has been replaced by 
ASHRAE 23.1 and ASHRAE 23.2. ASHRAE 23.2 deals with supercritical 
pressure conditions, which are not relevant to the DOE test procedure, 
so will not be referenced. None of these updates includes significant 
changes to the sections referenced in the DOE test procedure and thus 
will not impact the ratings or energy conservation standards for 
central air conditioners and heat pumps.
    DOE also proposes to revise its existing IBRs to AHRI 210/240-2008 
with Addendums 1 and 2, ANSI/AHRI 1230-2010 with Addendum 2, ASHRAE 
23.1-2010 (updated from ASHRAE 23-2005), ASHRAE 37-2009 (updated from 
2005), ASHRAE 41.1-2013 (updated from 1986 version), ASHRAE 41.2-1987, 
ASHRAE 41.6-2014 (updated from 1994 reaffirmed in 2001 version), ASHRAE 
41.9-2011 (updated from 2000 version), and ASHRAE/AMCA 51-07/210-07 
(updated from 1999 version) to incorporate only the sections currently 
referenced or proposed to be referenced in the DOE test procedure. DOE 
requests comment on its proposed sections for incorporation and 
specifically on whether any additional sections may be necessary to 
conduct a test of a unit.
    DOE also proposes to revise the definition of ``continuously 
recorded'' based on changes to ASHRAE 41.1. ASHRAE 41.1-86 specified 
the maximum time intervals for sampling dry-bulb temperature. The 
updated version, ASHRAE 41.1-2013 does not contain specifications for 
sampling intervals. DOE proposes to require that dry-bulb temperature, 
wet bulb temperature, dew point temperature, and relative humidity data 
be ``continuously recorded,'' that is, sampled and recorded at 5 second 
intervals or less. DOE is proposing this requirement as a means of 
verifying that temperature condition requirements are met for the 
duration of the test. DOE requests comment on its revised sampling 
interval for dry-bulb temperature, wet bulb temperature, dew point 
temperature, and relative humidity.
13. Withdrawing References to ASHRAE Standard 116-1995 (RA 2005)
    In the June 2010 NOPR, DOE proposed referencing ASHRAE Standard 
116-1995 (RA 2005) within the DOE test procedure to provide additional 
informative guidance for the equations used to calculate SEER and HSPF 
for variable-speed systems. 75 FR 31223, 31243 (June 2, 2010). In the 
subsequent public comment period, AHRI expressed support for DOE's 
proposal to reference ASHRAE 116. (AHRI, No. 6 at p. 6). However, in 
section III.H.4 of this notice, DOE proposes to change the heating load 
line, and as such the equations for HSPF in ASHRAE Standard 116 are no 
longer applicable. In order to prevent confusion, DOE proposes in this 
notice to withdraw the proposal made in the June 2010 NOPR to reference 
ASHRAE 116 for both HSPF and SEER and is removing those instances of 
references to said standard from the test procedure.
    Appendix M only references ASHRAE 116 in one other location, 
regarding the requirements for the air flow measuring apparatus. Upon 
review, DOE has determined that referencing ASHRAE Standard 37 instead 
provides sufficient information. As a result, in this NOPR, DOE also 
proposes to revise its reference for the requirements of the air flow 
measuring apparatus to ASHRAE Standard 37-2009 rather than ASHRAE 116, 
and proposes to remove the incorporation by reference to ASHRAE 116 
from the code of federal regulations related to central air 
conditioners and heat pumps.
14. Additional Changes Based on AHRI 210/240-Draft
    In August 2015, AHRI provided a draft version of AHRI 210/240 for 
the docket that will supersede the 2008 version once it is published. 
(AHRI Standard 210/240-Draft, No. 45, See EERE-2009-BT-TP-0004-0045) 
The draft version includes a number of revisions from the 2008 version, 
some of which already exist in DOE's test procedure, and some of which 
do not.
    Regarding test installation requirements, the AHRI 210/240-Draft 
added new size requirements for the inlet duct to the indoor unit. If 
used, the inlet duct size to the indoor unit is required to equal the 
size of the inlet opening of the air-handling (blower-coil) unit or 
furnace, with a minimum length of 6 inches. Regarding the testing 
procedure, the AHRI 210/240-Draft added new external static pressure 
requirements for units intended to be installed with the airflow to the 
outdoor coil ducted. These new requirements provide for testing of 
these products more consistently with the way that they are intended to 
be used in the field. Also regarding the testing procedure, the AHRI 
210/240-Draft specified a new requirement for the dew point temperature 
of the indoor test room when the air surrounding the indoor unit is not 
supplied from the same source as the air entering the indoor unit. DOE 
proposes to adopt these three revisions in this SNOPR.
    The AHRI 210/240-Draft includes several differences as compared to 
the current DOE test procedure for setting air volume rates during 
testing. Specifically:
    (a) Air volume rates would be specified by the manufacturer;
    (b) For systems tested with indoor fans installed in which the fans 
have permanent-split-capacitor (PSC) or constant-torque motors, there 
would be minimum external static pressure requirements for operating 
modes other than full-load cooling; and

[[Page 69312]]

    (c) A criterion is defined for acceptable air flow stability for 
systems tested with constant-air-volume indoor fans (these are fans 
with controls that vary fan speed to maintain a constant air volume 
rate).
    DOE proposes to adopt these changes because they will improve 
repeatability and the consistency of testing among different 
laboratories.
    The AHRI 210/240-Draft also includes a more thorough procedure for 
setting of refrigerant charge than exists in the DOE test procedure. 
The new approach addresses potential issues associated with conflicting 
guidelines that might be provided by manufacturer's installation 
instructions and indicates how to address ranges of target values 
provided in instructions. DOE is proposing these changes because they 
improve test repeatability. The AHRI 210/240-Draft also specifies both 
a target value tolerance and a maximum tolerance but does not specify 
in what circumstances each of these apply. DOE proposes to adopt the 
maximum tolerance only. However, DOE may consider adopting only the 
target value tolerance or both the target value and maximum tolerance. 
DOE requests comment on the appropriate use of the target value and 
maximum tolerances, as well as data to support the appropriate 
selection of tolerance. DOE notes that the tolerances adopted in the 
DOE test procedure should be achievable by test lab personnel without 
the presence or direct input of the manufacturer.
    Finally, the AHRI 210/240-Draft includes specifications for air 
sampling that provide more detail than provided in existing standards. 
DOE proposes to incorporate these specifications by reference in order 
to improve test procedure repeatability and consistency. The proposal 
currently cites the AHRI 210/240-Draft, which is not possible for the 
final rule associated with this rulemaking. However, DOE expects that 
the AHRI standard will be finalized in time to allow the final rule to 
amend the CFR to incorporate this material.
    DOE notes that the final published version of what is currently the 
AHRI 210/240-Draft may not be identical to the current draft. If AHRI 
makes other than minor editorial changes to the sections DOE references 
in this SNOPR after publication of this SNOPR, DOE proposes to adopt 
the current draft content into its regulations and not incorporate by 
reference the modified test procedure.
15. Damping Pressure Transducer Signals
    ASHRAE 37-2009, which DOE proposes in this SNOPR to be incorporated 
by reference into the DOE test procedure, includes requirements for 
maximum allowable variation of specific measurements for a valid test. 
Specifically, Table 2 of the standard indicates that the test operating 
tolerance (total observed range) of the nozzle pressure drop may be no 
more than 2 percent of the average value of reading. Section 5.3.1 of 
the standard indicates that the nozzle pressure drop (or the nozzle 
throat velocity pressure) may be measured with manometers or electronic 
pressure transducers. These measurements are made to determine air 
flow. Section 8.7.2 of the standard requires that measurements shall be 
recorded at equal intervals that span five minutes or less when 
evaluating cooling capacity.
    DOE is aware that when nozzle pressure drop measurements are made 
with pressure transducers and recorded using a computer-based data 
acquisition system, high frequency pressure fluctuations can cause 
observed pressure variations in excess of the 2 percent test operating 
tolerance, even when air flows are steady and non-varying. DOE proposes 
to add clarifying language in the test procedure that would allow for 
damping of the measurement system to prevent such high-frequency 
fluctuations from affecting recorded pressure measurements. The 
proposal would allow for damping of the measurement system so that the 
time constant for response to a step change in pressure (i.e. the time 
required for the indicated measurement to change 63% of the way from 
its initial value to its final value) is no more than five seconds. 
This damping could be achieved in any portion of the measurement 
system. Examples of damping approaches include adding flow resistance 
to the pressure signal tubing between the pressure tap and the 
transducer, using a transducer with internal averaging of its output, 
or filtering the transducer output signal, digital averaging of the 
measured pressure signals. DOE requests comment on this proposal, 
including on whether the proposed maximum time constant is appropriate.

F. Clarification of Test Procedure Provisions

    Ensuring repeatability of test results requires that all parties 
that test a unit use the same set of instructions to set up the unit, 
conduct the test, and calculate test results. A test laboratory may be 
tempted to contact the product's manufacturer or other sources of 
information not referenced or allowed by the test procedure if there is 
a lack of clarity in the installation instructions shipped with the 
unit or ambiguities within the test procedure itself. Currently, 
certain sections of the DOE test procedure for central air conditioners 
and heat pumps in Appendix M to Subpart B of 10 CFR part 430 permit 
such consultation with the manufacturer. In the June 2010 NOPR, DOE 
proposed to allow lab-manufacturer communication as long as test unit 
installation and laboratory testing are conducted in complete 
compliance with all requirements in the DOE test procedure and the unit 
is installed according to the manufacturer's installation instructions. 
75 FR 31223, 31235 (June 2, 2010). In the subsequent public comment 
period, AHRI expressed support regarding DOE's proposal. (AHRI, No. 6 
at p. 3). Mitsubishi also supported adding test procedure to clarify 
that interaction with the manufacturer is allowed. (Mitsubishi, No. 12 
at p. 2). NEEA did not object to DOE's proposal. (NEEA, No. 7 at p. 4). 
Because the reliance upon such consultation could lead to variability 
in test results among laboratories by manufacturers providing different 
testing instructions, DOE seeks to limit such occurrences to the 
maximum extent possible by ensuring that all required testing 
conditions and product setup information is either specified in the 
test procedure, certified to DOE, or stated in installation manuals 
shipped with the unit by the manufacturer. DOE believes that the 
proposed revisions in this rule provide such clarity and allow for 
models to be tested and rated in an equitable manner across 
manufacturers. Upon implementing such clarifications, laboratories will 
no longer need to contact the manufacturer for advice on implementation 
of the test procedure. If questions arise about a specific test 
procedure provision, the test lab and/or the manufacturer should seek 
guidance from DOE. DOE believes that this change will eliminate 
inconsistent testing due to different test laboratories seeking and 
receiving different information regarding unclear instructions. Thus, 
DOE proposes the following changes to the test procedure to address 
test procedure provisions that may be ambiguous or unclear in their 
intent and also withdraws the proposal it made in the June 2010 NOPR 
that placed no restrictions on interactions between manufacturers and 
third-party test laboratories 75 FR at 31235.

[[Page 69313]]

1. Manufacturer Consultation
    DOE proposes to clarify the test procedure provisions regarding the 
specifications for refrigerant charging prior to testing, with input on 
certain details from the AHRI 210/240-Draft, as discussed in section 
III.E.14. Section 2.2.5 of the test procedure provides refrigerant 
charging instructions but also states, ``For third-party testing, the 
test laboratory may consult with the manufacturer about the refrigerant 
charging procedure and make any needed corrections so long as they do 
not contradict the published installation instructions.'' The more 
thorough refrigerant charging requirements proposed in this notice 
should preclude the need for any manufacturer consultation, since they 
include steps to take in cases where manufacturer's installation 
instructions fail to provide information regarding refrigerant charging 
or provide conflicting requirements. Consultation with the manufacturer 
should thus become unnecessary, and DOE proposes to remove the current 
test procedure's allowance for contacting the manufacturer to receive 
charging instructions. In instances where multiple sets of instructions 
are specified or are included with the unit and the instructions are 
unclear on which set to test with, DOE proposed in the June 2010 NOPR 
to use the instructions ``most appropriate for a normal field 
installation.'' 75 FR 31235, 31250. (June 2, 2010) NEEA supported this 
proposal. (NEEA, No. 7 at p. 4). DOE proposes to maintain this position 
in this rulemaking, proposing the use of field installation criteria if 
instructions are provided for both field and lab testing applications.
    In the June 2010 NOPR, DOE proposed requirements for the low-
voltage transformer used when testing coil-only air conditioners and 
heat pumps, and required metering of such low-voltage component energy 
consumption during all tests. 75 FR 31238. In the April 2011 SNOPR, in 
response to the June 2010 NOPR public meeting comments, DOE proposed 
revised requirements such that metering of low-voltage component energy 
consumption is required during only the proposed off mode testing, 
citing that such changes would require adjustments to the standard 
levels currently being considered. 76 FR 18109. The proposal therein 
consisted of language that suggested that test setup information may be 
obtained directly from manufacturers. In the effort to remain objective 
during testing, DOE is hereby revising certain language in the proposal 
such that communication between third party test laboratories and 
manufacturers are eliminated, and such information when needed for test 
setup can be found in the installation manuals included with the unit 
by the manufacturer.
    Regarding the use of an inlet plenum, section 2.4.2 of the test 
procedure states, ``When testing a ducted unit having an indoor fan 
(and the indoor coil is in the indoor test room), the manufacturer has 
the option to test with or without an inlet plenum installed. Space 
limitations within the test room may dictate that the manufacturer 
choose the latter option.'' To eliminate the need for the test 
laboratory to confirm with the manufacturer whether the inlet plenum 
was installed during the manufacturer's test, DOE proposes to require 
manufacturers to report on their certification report whether the test 
was conducted with or without an inlet plenum installed.
    Further, it is unclear in certain sections of the test procedure 
which ``test setup instructions'' are to be referenced for preparing 
the unit for testing. Ambiguous references to ``test setup 
instructions'' and/or ``manufacturer specifications'' may lead to the 
use of instructions or specifications provided by the manufacturer that 
are possibly out-of-date or otherwise not applicable to the products 
being tested. DOE therefore proposes to amend references in the test 
procedure to test setup instructions or manufacturer specifications by 
specifying that these refer to the test setup instructions included 
with the unit. DOE proposes to implement this change in the following 
sections: 2.2.2, 3.1.4.2(c), 3.1.4.4.2(c), 3.1.4.5(d), and 3.5.1(b)(3).
2. Incorporation by Reference of ANSI/AHRI Standard 1230-2010
    ANSI/AHRI Standard 1230-2010 ``Performance Rating of Variable 
Refrigerant Flow (VFR) Multi-Split Air-Conditioning and Heat Pump 
Equipment'' with Addendum 2 (AHRI Standard 1230-2010) prescribes test 
requirements for both consumer and commercial variable refrigerant flow 
multi-split systems. On May 16, 2012, DOE incorporated this standard by 
reference into test procedures for testing commercial variable 
refrigerant flow multi-split systems at 10 CFR 431.96. 77 FR 28928. DOE 
recognizes that consumer variable refrigerant flow multi-split systems 
have similarities to their commercial counterparts. Therefore, to 
maintain consistency of testing consumer and commercial variable 
refrigerant flow multi-split systems, DOE proposes to incorporate by 
reference the sections of AHRI Standard 1230-2010 that are relevant to 
consumer variable refrigerant flow multi-split systems (namely, 
sections 3 (except 3.8, 3.9, 3.13, 3.14, 3.15, 3.16, 3.23, 3.24, 3.26, 
3.27, 3.28, 3.29, 3.30, and 3.31), 5.1.3, 5.1.4, 6.1.5 (except Table 
8), 6.1.6, and 6.2) into the existing test procedure for central air 
conditioners and heat pumps at Appendix M to Subpart B of 10 CFR part 
430. To ensure that there is no confusion with future definition 
changes in industry test procedures, DOE is including the terms 
``Multiple-split (or multi-split) system'', ``Small-duct, high-velocity 
system'', ``Tested combination'', ``Variable refrigerant flow system'' 
and ``Variable-speed compressor system'' into its list of definitions 
in Appendix M to Subpart B of 10 CFR part 430.
    10 CFR 429.16 requires the use of a ``tested combination,'' as 
defined in 10 CFR 430, subpart B, Appendix M, section 1.B, when rating 
multi-split systems. In response to a May 27, 2008 letter from AHRI to 
DOE, DOE proposed changes in the ``tested combination'' definition in 
the June 2010 NOPR. 75 FR 31223, 31231 (June 2, 2010). In comments 
responding to the NOPR, AHRI urged DOE to adopt AHRI Standard 1230-2010 
for all requirements pertaining to multi-split systems. (AHRI, No. 6 at 
pp. 1-2) Mitsubishi recommended likewise. (Mitsubishi, No. 12 at p. 1) 
AHRI Standard 1230-2010, published after the June 2010 NOPR, duplicates 
most of the requirements for tested combinations that DOE proposed in 
the June 2010 NOPR except for the following requirements, which DOE 
proposes in this notice to adopt to reduce manufacturer test burden: 
lower the maximum number of indoor units matched to an outdoor unit; 
and the option to use another indoor model family if units from the 
highest sales volume model family cannot be combined so that the sum of 
their nominal capacities is in the required range of the outdoor unit's 
nominal capacity (between 95 and 105 percent). The proposal in June 
2010 NOPR also used the term ``nominal cooling capacity,'' which may be 
ambiguous; DOE also intends to clarify that such a term should be 
interpreted as the highest cooling capacity listed in published product 
literature for 95 [deg]F outdoor dry bulb temperature and 80 [deg]F dry 
bulb, 67 [deg]F wet bulb indoor conditions, and for outdoor units as 
the lowest cooling capacity listed in published product literature for 
these

[[Page 69314]]

conditions. If incomplete or no operating conditions are reported, the 
highest (for indoor units) or lowest (for outdoor units) such cooing 
capacity shall be used. Finally, AHRI 1230 uses the term ``model 
family'' but does not define the term. DOE requests comment on an 
appropriate definition of ``model family'' for DOE to adopt in the 
final rule. In summary, DOE proposes to omit AHRI's definition of 
tested combination, found in section 3.26, from the IBR of AHRI 
Standard 1230-2010 into Appendix M to Subpart B of 10 CFR part 430, and 
make amendments to the proposal from the June 2010 NOPR.
    During testing for ducted systems with indoor fans installed, the 
rise in static pressure between the air inlet and the outlet (called 
external static pressure (ESP)) must be adjusted to a prescribed 
minimum that varies with system cooling capacity. The minimum ESPs are 
0.10 in. wc. for units with cooling capacity less than 28,800 Btu/h; 
0.15 in. wc. for units with cooling capacity from 29,000 Btu/h to 
42,500 Btu/h; and 0.20 in. wc. for units with cooling capacity greater 
than 43,000 Btu/h. Multi-split systems are composed of multiple indoor 
units, which may be designed for installation with short-run ducts. 
Such indoor units generally cannot deliver the minimum ESPs prescribed 
by the current test procedure. Hence, lower minimum ESP requirements 
may be necessary for testing of ducted multi-split systems.
    In the June 2010 NOPR, DOE proposed lower minimum ESP requirements 
for ducted multi-split systems: 0.03 in. wc. for units less than 28,800 
Btu/h; 0.05 in. wc. for units between 29,000 Btu/h and 42,500 Btu/h; 
and 0.07 in. wc. for units greater than 43,000 Btu/h. 75 FR at 31232. 
In its comments, AHRI urged DOE to adopt the minimum ESP requirements 
from AHRI Standard 1230-2010 as DOE was aware that the standard was 
being developed at that time. AHRI expressed concern over the potential 
abuse of lower multi-split minimum ESPs requirements by manufacturers 
of ducted single-indoor-unit split-system products. Specifically, they 
were concerned that the lower ESP were allowed for very specific 
installation applications which could not be assured by the 
manufacturer, and thus might be used more widely than intended. AHRI 
therefore argued against changing ESP requirements. (AHRI, No. 6 at p. 
2). Mitsubishi recommended likewise. (Mitsubishi, No. 12 at p. 2). NEEA 
recommended establishing minimum ESP requirements that are the same as 
those of conventional systems. (NEEA, No. 7 at p. 2) AHRI Standard 
1230-2010 does not include minimum ESP requirements for multi-split 
systems with short-run ducted indoor units. In order to accommodate the 
design differences of these indoor units, DOE proposes to omit Table 8 
of AHRI Standard 1230-2010 from the IBR into Appendix M and to set 
minimum ESP requirements for systems with short-run ducted indoor units 
at the levels and cooling capacity thresholds as proposed in the June 
2010 NOPR. Furthermore, DOE proposes to implement these requirements by 
(a) defining the term ``Short duct systems,'' to refer to ducted 
systems whose indoor units can deliver no more than 0.07 in. wc. ESP 
when delivering the full load air volume rate for cooling operation, 
and (b) adding the NOPR-proposed minimum ESP levels to Table 3 of 
Appendix M (this is the table that specifies minimum ESP), indicating 
that these minimum ESPs are for short duct systems. DOE proposes using 
the new term ``Short duct system'' rather than ``Multi-split system'' 
for these minimum ESPs because multi-circuit or mini-split systems 
could potentially also include similar short-ducted indoor units. DOE 
proposes a limitation in the level of ESP that eligible indoor units 
can deliver in order to prevent the potential abuse of the reduced ESP 
requirement mentioned by AHRI. DOE requests comment on these proposals, 
including the value of maximum ESP attainable by eligible systems.
    DOE notes that in conjunction with the adopted portions of the AHRI 
Standard 1230-2010 , the following sections of the proposed test 
procedure found in Appendix M may apply to testing VRF multi-split 
systems: section 1 (definitions); section 3.12 (rounding of space 
conditioning capacities for reporting purposes); sections 2.2.a, 2.2.b, 
2.2.c, 2.2.1, 2.2.2, 2.2.3(a), 2.2.3(c), 2.2.4, 2.2.5, and 2.4 to 2.12 
(test unit installation requirements); Table 3 in section 3.1.4.1.1c 
(external static pressure requirements); section 3.1 except section 
3.1.3 and 3.1.4 (general requirements of the testing procedure); 
sections 3.3, 3.4, and 3.5 (procedures for cooling-mode tests); 
sections 3.7, 3.8, 3.9, and 3.10 (procedures for heating-mode tests); 
section 3.13 (procedure for off mode average power rating); and section 
4 (calculations of seasonal performance descriptors).
    DOE requests comment on the incorporation by reference of AHRI 
1230-2010, and in particular the specific sections of Appendix M and 
AHRI 1230-2010 that DOE proposes to apply to testing VRF systems.
3. Replacement of the Informative Guidance Table for Using the Federal 
Test Procedure
    The intent of the set of four tables at the beginning of ``Section 
2, Testing Conditions'' of the current test procedure (10 CFR part 430, 
subpart B, Appendix M) is to provide guidance to manufacturers 
regarding testing conditions, testing procedures, and calculations 
appropriate to a product class, system configuration, modulation 
capability, and special features of products. DOE recognizes that the 
current table format may be difficult to follow. Therefore, DOE has 
developed a more concise table and proposes using it in place of the 
current table. DOE requests comment on this proposed change and/or 
whether additional modifications to the new table could be implemented 
to further improve clarity.
4. Clarifying the Definition of a Mini-Split System
    Current definitions in 10 CFR part 430, subpart B, Appendix M 
define a mini-split air conditioner and heat pump as ``a system that 
has a single outdoor section and one or more indoor sections, which 
cycle on and off in unison in response to a single indoor thermostat.'' 
When DOE introduced this definition, mini-split systems solely employed 
one or more non-ducted or short-duct wall-, ceiling-, or floor-mounted 
indoor units (i.e., non-conventional units), and the market for mini-
split products reflected such type and quantity of indoor units. It was 
common understanding that when testing or purchasing a mini-split 
system, the system would have a non-conventional indoor unit.
    Nevertheless, DOE recognizes that further clarification and 
specificity in terminology would alleviate ambiguity in how to 
categorize mini-split products. To differentiate the two types of 
products, DOE proposes deleting the definition of mini-split air 
conditioners and heat pumps, and adding two definitions for: (1) 
Single-zone-multiple-coil split-system, representing a split-system 
that has one outdoor unit and that has two or more coil-only or blower 
coil indoor units connected with a single refrigeration circuit, where 
the indoor units operate in unison in response to a single indoor 
thermostat; and (2) single-split-system, representing a split-system 
that has one outdoor unit and that has one coil-only or blower coil 
indoor unit connected to its other component(s) with a single 
refrigeration circuit. DOE seeks comment on this proposal.

[[Page 69315]]

5. Clarifying the Definition of a Multi-Split System
    A multiple-split (or multi-split) system is currently defined in 10 
CFR part 430, subpart B, Appendix M as ``a split-system having two or 
more indoor units, which respond to multiple thermostats.'' 
Technologies exist on the market that operate like multi-split systems 
but incorporate multiple outdoor units into the same package. To 
clearly define what arrangement qualifies as a multi-split system, DOE 
proposes to clarify the definition of multi-split system to specify 
that multi-split systems are to have only one outdoor unit. (DOE notes 
that it proposes to separately define multi-circuit units as units that 
incorporate multiple outdoor units into the same package. This is 
discussed in section III.C.2.) Finally, DOE proposes to clarify that if 
a model of outdoor unit could be used both for single-zone-multiple-
coil split-systems and for multi-split-systems, it should be tested as 
a multi-split system.

G. Test Procedure Reprint

    The test procedure changes proposed in this SNOPR as well as in the 
June 2010 NOPR, April 2011 SNOPR, and October 2011 SNOPR occur 
throughout large portions of Appendix M to 10 CFR part 430 Subpart B. 
In order to improve clarity regarding the proposed test procedure, in 
the regulatory text for this SNOPR, DOE has reprinted the entirety of 
Appendix M, including all changes proposed in this SNOPR as well as 
those in the previous NOPR and SNOPRs that are still applicable. Table 
III.6 lists those proposals from the previous notices that appear 
without modification in this regulatory text reprint, and provides 
reference to the respective revised section(s) in the regulatory text. 
Table III.7 lists those proposals from the previous notices that either 
are proposed to be withdrawn or amended in this SNOPR or propose no 
amendments to the test procedure, and provides reference to the 
respective preamble section for the discussion of the revision, 
including stakeholder comments from the original proposal, and the 
revised section(s) in the regulatory text, if any. The proposed 
amendments to Appendix M would not change the rated values.
    Because Appendix M1, as discussed in I.A, is substantially similar 
to Appendix M, DOE is only printing the proposed regulatory text for 
Appendix M1 where it differs from the proposed regulatory text for 
Appendix M. Proposed changes relevant to Appendix M1 are discussed in 
section III.H.

              Table III.6--Proposals From Prior Notices Adopted Without Modification in This SNOPR
----------------------------------------------------------------------------------------------------------------
                    Proposal to . . .                                             Preamble       Regulatory text
      Section                              Reference            Action           discussion        location *
----------------------------------------------------------------------------------------------------------------
                                                 June 2010 NOPR
----------------------------------------------------------------------------------------------------------------
A.7...............  Add Calculations   75 FR 31229......  Upheld...........  III.I.5..........  3.3c, 4.6.
                     for Sensible
                     Heat Ratio.
A.10..............  Add Definitions    75 FR 31231......  Upheld...........  None.............  Definitions.
                     Terms Regarding
                     Standby Power.
B.4...............  Allow a Wider      75 FR 31233......  Upheld...........  None.............  3.1.4.1.1a.4b.
                     Tolerance on Air
                     Volume Rate To
                     Yield More
                     Repeatable
                     Laboratory
                     Setups.
B.5...............  Change the         75 FR 31234......  Upheld...........  None.............  3.3d Table, 3.5h
                     Magnitude of the                                                            Table, 3.7a
                     Test Operating                                                              Table, 3.8.1
                     Tolerance                                                                   Table, 3.9f
                     Specified for                                                               Table.
                     the External
                     Resistance to
                     Airflow.
                    Change the         75 FR 31234......  Upheld...........  None.............  3.3d Table, 3.5h
                     Magnitude of the                                                            Table, 3.7a
                     Test Operating                                                              Table, 3.8.1
                     Tolerance                                                                   Table.
                     Specified for
                     the Nozzle
                     Pressure Drop.
B.6...............  Modify             75 FR 31234......  Upheld...........  III.E.7..........  2.2.5.
                     Refrigerant
                     Charging
                     Procedures:
                     Disallow Charge
                     Manipulation
                     after the
                     Initial Charge.
B.7...............  Require All Tests  75 FR 31235,       Upheld...........  III.F.1..........  2.2.5.8.
                     be Performed       31250.
                     with the Same
                     Refrigerant
                     Charge Amount.
B.8...............  When Determining   75 FR 31235......  Upheld...........  None.............  3.4c, 3.5i,
                     the Cyclic                                                                  3.7e, 3.8.
                     Degradation
                     Coefficient CD,
                     Correct the
                     Indoor-Side
                     Temperature
                     Sensors Used
                     During the
                     Cyclic Test To
                     Align With the
                     Temperature
                     Sensors Used
                     During the
                     Companion Steady-
                     State Test, If
                     Applicable:
                     Equation.
                    When Determining   75 FR 31236......  Upheld...........  None.............  3.3b, 3.7a,
                     the Cyclic                                                                  3.9e, 3.11.1.1,
                     Degradation                                                                 3.11.1.3,
                     Coefficient CD,                                                             3.11.2a.
                     Correct the
                     Indoor-Side
                     Temperature
                     Sensors Used
                     During the
                     Cyclic Test To
                     Align With the
                     Temperature
                     Sensors Used
                     During the
                     Companion Steady-
                     State Test, If
                     Applicable:
                     Sampling Rate.
B.9...............  Clarify Inputs     75 FR 31236......  Upheld...........  None.............  3.9.2a.
                     for the Demand
                     Defrost Credit
                     Equation.
B.10..............  Add Calculations   75 FR 31237......  Upheld...........  III.I.5..........  3.3c, 4.6.
                     for Sensible
                     Heat Ratio.
B.11..............  Incorporate        75 FR 31237......  Upheld...........  III.C.3..........  2.2.3, 2.2.3b,
                     Changes To Cover                                                            2.4.1b,
                     Testing and                                                                 3.1.4.1.1d,
                     Rating of Ducted                                                            3.1.4.2e,
                     Systems Having                                                              3.1.4.4.2d,
                     More Than One                                                               3.1.4.5.2f,
                     Indoor Blower.                                                              3.2.2, 3.2.2.1,
                                                                                                 3.6.2, 3.2.6,
                                                                                                 3.6.7, 4.1.5,
                                                                                                 4.1.5.1,
                                                                                                 4.1.5.2, 4.2.7,
                                                                                                 4.2.7.1,
                                                                                                 4.2.7.2,
                                                                                                 3.2.2.2 Table,
                                                                                                 3.6.2 Table.
B.12..............  Add Changes To     75 FR 31238......  Upheld...........  III.C.4..........  3.6.6, 4.2.6.
                     Cover Triple-
                     Capacity,
                     Northern Heat
                     Pumps.
B.13..............  Specify            75 FR 31238......  Upheld...........  III.F.1..........  2.2d.
                     Requirements for
                     the Low-Voltage
                     Transformer Used
                     When Testing for
                     Off-Mode Power
                     Consumption.

[[Page 69316]]

 
B.14..............  Add Testing        75 FR 31238......  Upheld...........  III.D............  Definitions,
                     Procedures and                                                              3.13, 4.3, 4.4.
                     Calculations for
                     Off Mode Power
                     Consumption.
----------------------------------------------------------------------------------------------------------------
                                                April 2011 SNOPR
----------------------------------------------------------------------------------------------------------------
III.A.............  Revise Test        76 FR 18107......  Upheld...........  III.D............  Definitions,
                     Methods and                                                                 3.13, 4.3, 4.4.
                     Calculations for
                     Off-Mode Power
                     and Energy
                     Consumption.
III.B.............  Revise             76 FR 18109......  Upheld...........  III.F.1..........  2.2d.
                     Requirements for
                     Selecting the
                     Low-Voltage
                     Transformer Used
                     During Off-Mode
                     Test(s).
III.D.............  Add Calculation    76 FR 18111......  Upheld...........  None.............  4.7.
                     of the Energy
                     Efficiency Ratio
                     for Cooling Mode
                     Steady-State
                     Tests.
III.E.............  Revise Off-Mode    75 FR 31238......  Upheld...........  III.D............  Definitions,
                     Performance                                                                 3.13, 4.3, 4.4.
                     Ratings.
----------------------------------------------------------------------------------------------------------------
                                               October 2011 SNOPR
----------------------------------------------------------------------------------------------------------------
III.A.............  Reduce Testing     76 FR 65618......  Upheld...........  III.D............  Definitions,
                     Burden and                                                                  3.13, 4.3, 4.4.
                     Complexity.
III.B.............  Add Provisions     76 FR 65619......  Upheld...........  III.D............  Definitions,
                     for Individual                                                              3.13, 4.3, 4.4.
                     Component
                     Testing.
III.C.............  Add Provisions     76 FR 65620......  Upheld...........  III.D............  Definitions,
                     for Length of                                                               3.13, 4.3, 4.4.
                     Shoulder and
                     Heating Seasons.
III.D.............  Revise Test        76 FR 65620......  Upheld...........  III.D............  Definitions,
                     Methods and                                                                 3.13, 4.3, 4.4.
                     Calculations for
                     Off-Mode Power
                     and Energy
                     Consumption.
III.D.1...........  Add Provisions     76 FR 65621......  Upheld...........  III.D............  Definitions,
                     for Large                                                                   3.13, 4.3, 4.4.
                     Tonnage Systems.
III.D.2...........  Add Requirements   76 FR 65622......  Upheld...........  III.D............  Definitions,
                     for Multi-                                                                  3.13, 4.3, 4.4.
                     Compressor
                     Systems.
----------------------------------------------------------------------------------------------------------------
* Section numbers in this column refer to the proposed Appendix M test procedure in this notice.


 Table III.7--Proposals From Prior Notices Withdrawn or Amended in This SNOPR or Proposed No Change to the Test
                                                    Procedure
----------------------------------------------------------------------------------------------------------------
                    Proposal to . . .                                             Preamble       Regulatory text
      Section                              Reference            Action           discussion        location *
----------------------------------------------------------------------------------------------------------------
                                                 June 2010 NOPR
----------------------------------------------------------------------------------------------------------------
A.1...............  Set a Schedule     75 FR 31227......  No Change **.....  None.............  None.
                     for Coordinating
                     the Publication
                     of the Test
                     Procedure and
                     Energy
                     Conservation
                     Standards.
A.2...............  Bench Testing of   75 FR 31227......  No Change **.....  None.............  None.
                     Third-Party
                     Coils.
A.3...............  No Change to       75 FR 31227......  Amended..........  III.H.3..........  10 CFR Part 430,
                     Default Values                                                              Subpart B,
                     for Fan Power.                                                              Appendix M1
                                                                                                 3.3d, 3.5.1,
                                                                                                 3.7c, 3.9.1b.
A.4...............  No Change to       75 FR 31228......  Amended..........  III.H.1..........  10 CFR Part 430,
                     External Static                                                             Subpart B,
                     Pressure Values.                                                            Appendix M1
                                                                                                 3.1.4.1.1c.
                                                                                                 Table.
A.5...............  No Conversion to   75 FR 31228......  No Change **.....  III.I.4..........  None.
                     Wet-Coil Cyclic
                     Testing.
A.6...............  No Change to Test  75 FR 31229......  No Change **.....  None.............  None.
                     Procedure for
                     Testing Systems
                     with ``Inverter-
                     Driven
                     Compressor
                     Technology''.
A.8...............  Regional Rating    75 FR 31229......  Withdrawn          None.............  None.
                     Procedure.                            [dagger].
A.9...............  Modify Definition  75 FR 31230......  Amended..........  III.F.2..........  10 CFR 430.2
                     of Tested                                                                   Definitions.
                     Combination.
                    Add Minimum ESP    75 FR 31230......  Amended..........  III.F.2..........  3.1.4.1.1c.
                     for Short Duct                                                              Table.
                     Systems.
                    Clarify That       75 FR 31230......  Withdrawn          None.............  None.
                     Optional Tests                        [dagger].
                     May Be Conducted
                     without
                     Forfeiting Use
                     of the Default
                     Value(s).
B.1...............  Modify the         75 FR 31231......  Amended..........  III.F.2..........  10 CFR 430.2
                     Definition of                                                               Definitions.
                     ``Tested
                     Combination''.
B.2...............  Add Minimum ESP    75 FR 31232......  Amended..........  III.F.2..........  3.1.4.1.1c.
                     for Short Duct                                                              Table.
                     Systems.
                    Add Indoor Unit    75 FR 31232......  Amended..........  III.F.2..........  3.1.4.1.1c.
                     Design                                                                      Table header.
                     Characteristics
                     for Limiting
                     Application of
                     Minimum ESP for
                     Short Duct
                     Systems.
B.3...............  Clarify That       75 FR 31233......  Withdrawn          None.............  None.
                     Optional Tests                        [dagger].
                     May Be Conducted
                     Without
                     Forfeiting Use
                     of the Default
                     Value(s).
B.6...............  No Adoption of     75 FR 31234......  No Change **.....  None.............  None.
                     Requirement of
                     Manufacturer
                     Sign-Off after
                     Charging
                     Refrigerant.
B.7...............  Allow              75 FR 31235......  Withdrawn........  III.F............  None.
                     Interactions
                     between
                     Manufacturers
                     and Third-Party
                     Testing
                     Laboratory.

[[Page 69317]]

 
B.15..............  Add Parameters     75 FR 31239......  Withdrawn          None.............  None.
                     for Establishing                      [dagger].
                     Regional
                     Standards.
B.15a.............  Use a Bin Method   75 FR 31240......  Withdrawn          None.............  None.
                     for Single-Speed                      [dagger].
                     SEER
                     Calculations for
                     the Hot-Dry
                     Region and
                     National Rating.
B.15b.............  Add New Hot-Dry    75 FR 31240......  Withdrawn          None.............  None.
                     Region Bin Data.                      [dagger].
B.15c.............  Add Optional       75 FR 31241......  Withdrawn          None.............  None.
                     Testing at the A                      [dagger].
                     and B Test
                     Conditions With
                     the Unit in a
                     Hot-Dry Region
                     Setup.
B.15d.............  Add a New          75 FR 31242......  Withdrawn          None.............  None.
                     Equation for                          [dagger].
                     Building Load
                     Line in the Hot-
                     Dry Region.
B.16..............  Add References to  75 FR 31243......  Withdrawn........  III.E.13.........  None.
                     ASHRAE 116-1995
                     for Equations
                     That Calculate
                     SEER and HSPF
                     for Variable
                     Speed Systems.
B.17..............  Update Test        75 FR 31243......  Amended..........  III.E.12.........  10 CFR 430.3
                     Procedure                                                                   Definitions.
                     References.
----------------------------------------------------------------------------------------------------------------
                                                April 2011 SNOPR
----------------------------------------------------------------------------------------------------------------
III.C.............  Withdraw of the    76 FR 18110......  No Change **.....  None.............  None.
                     Proposal To Add
                     the New Regional
                     Performance
                     Metric SEER Hot-
                     Dry.
----------------------------------------------------------------------------------------------------------------
                                               October 2011 SNOPR
----------------------------------------------------------------------------------------------------------------
                                              Proposals are Upheld
----------------------------------------------------------------------------------------------------------------
* Section numbers in this column refer to the proposed Appendix M test procedure in this Notice, unless
  otherwise specified.
** These items were discussed in the NOPR or SNOPR but did not propose changes to the test procedure.
[dagger] Associated proposals regarding the SEER Hot-Dry metric, as indicated, are withdrawn because DOE
  withdrew the SEER Hot-Dry metric in the April 2011 SNOPR. 76 FR 18110.

H. Improving Field Representativeness of the Test Procedure

    DOE received comments from stakeholders during the public comment 
period following the November 2014 ECS RFI requesting changes to the 
test procedure that would improve field representativeness. Such 
changes would impact the rated efficiency of central air conditioners 
and heat pumps. As discussed in section I.A, any amendments proposed in 
this SNOPR that would alter the measured efficiency, as represented in 
the regulating metrics of EER, SEER, and HSPF, are proposed as part of 
a new Appendix M1 to Subpart B of 10 CFR part 430. The test procedure 
changes proposed as part of a new Appendix M1, if adopted, would not 
become mandatory until the existing energy conservation standards are 
revised to account for the changes to rated values. (42 U.S.C. 
6293(e)(2)) These changes, including the relevant stakeholder comments, 
are discussed in the following subsections.
1. Minimum External Static Pressure Requirements for Conventional 
Central Air Conditioners and Heat Pumps
    Most of the central air conditioners and heat pumps used in the 
United States use ductwork to distribute air in a residence, using 
either a fan inside the indoor unit or housed in a separate component, 
such as a furnace, to move the air. External static pressure (ESP) for 
a central air conditioner or heat pump is the static pressure rise 
between the inlet and outlet of the indoor unit that is needed to 
overcome frictional losses in the ductwork. The ESP imposed by the 
ductwork affects the power consumed by the indoor blower, and therefore 
also affects the SEER and/or HSPF of a central air conditioner or heat 
pump.
    The current DOE test procedure \22\ stipulates that certification 
tests for central air conditioners and heat pumps which are not short 
duct systems (see section III.F.2) or small-duct, high-velocity systems 
\23\ (i.e., conventional central air conditioners and heat pumps) must 
be performed with an ESP at or above 0.10 in. wc. if cooling capacity 
is rated at 28,800 Btu/h or less; at or above 0.15 in. wc. if cooling 
capacity is rated from 29,000 Btu/h to 42,500 Btu/h; and at or above 
0.20 in. wc. if cooling capacity is rated at 43,000 Btu/h or more.
---------------------------------------------------------------------------

    \22\ Table 3 of 10 CFR 430 Subpart B Appendix M
    \23\ 10 CFR 430 Subpart B Appendix M Section 1. Definitions 
defines a small-duct, high-velocity system as a system that contains 
a blower and indoor coil combination that is designed for, and 
produces, at least 1.2 inches (of water) of external static pressure 
when operated at the full-load air volume rate of 220-350 cfm per 
rated ton of cooling. When applied in the field, small-duct products 
use high-velocity room outlets (i.e., generally greater than 1000 
fpm) having less than 6.0 square inches of free area.
---------------------------------------------------------------------------

    DOE decided in the June 2010 NOPR not to propose revisions to 
minimum external static pressure requirements, stating that new values 
and a consensus standard were not readily available. 75 FR 13223, 31228 
(June 2, 2010). NEEA responded during the subsequent public comment 
period that current ESP minimums were too low and recommended DOE adopt 
an ESP test requirement of 0.5 in. wc. (NEEA, No. 7 at p. 3). 
Earthjustice commented that retention of the existing ESP values is not 
supported by evidence. (Earthjustice, No. 15 at pp. 1-2). Southern 
California Edison (SCE), the Southern California Gas Company (SCGC), 
and San Diego Gas and Electric (SDGE) (together, the Joint California 
Utilities) included with its comments two studies showing field 
measurements of ESP with an average of 0.5-0.8 in. w.c and urged the 
Department to adopt an external static pressure test point of 0.5 in. 
wc. (Joint California Utilities, No. 9 at p. 3). ACEEE suggested that 
field data is available for DOE to consider new values of ESP. (ACEEE, 
No. 8 at pp. 2-3).
    Stakeholders also commented in response to the November 2014 ECS 
RFI that the current requirements for minimum ESP are unrepresentative 
of field practice. PG&E commented that the ESP for central air 
conditioners and heat pumps needs to be set at 0.5 in. wc. or

[[Page 69318]]

higher for ducted systems. (Docket No. EERE-2014-BT-STD-0048, PG&E, No. 
15 at p. 3) ACEEE advocated similarly: Default ESP used in the current 
federal test procedure should be raised from the current 0.1 to 0.2 in. 
wc. to at least 0.5 in. wc. to represent field practice. (Id.; ACEEE, 
No. 21 at p. 2) ASAP & ASE & NRDC commented that the ESP in the current 
test procedure is unrealistically low, adding that DOE should reference 
to the ESP values adopted by the recently finalized furnace fan 
rulemaking which has an ESP value of 0.5 in. wc.\24\ (Id.; ASAP & ASE & 
NRDC, No. 20 at p. 1).
---------------------------------------------------------------------------

    \24\ Docket No. EERE-2010-BT-TP-0010-0043.
---------------------------------------------------------------------------

    Central air conditioners and heat pumps are generally equipped with 
air filters when used in the field. Section 3.1.4.1.1c of 10 CFR part 
430, subpart B, Appendix M requires that any unit tested without an air 
filter installed be tested with ESP increased by 0.08 in. wc. to 
represent the filter pressure drop. University of Alabama commented 
during the public comment period of the November 2014 ECS RFI that the 
actual combined ESP requirements in the field are typically 3 to 5 
times greater with more effective filters and typical duct designs. The 
unrealistically low rating conditions result in little incentive for 
manufacturers to incorporate improved fan wheel designs. Improvements 
in SEER gained by replacing inexpensive forward-curve fan wheels will 
be negligible but demand and energy savings in actual installations 
will be significant. (Docket No. EERE-2014-BT-STD-0048, University of 
Alabama, No. 6 at p. 1).
    Furnaces use the same ductwork as central air conditioners and heat 
pumps to distribute air in a residence. NEEA & NPCC commented that the 
ESP selected for testing of furnace fans is substantially higher than 
the 0.1 to 0.2 in. wc. prescribed by the federal CAC/HP test procedure. 
They also mentioned that field data from Pacific Northwest shows that 
the minimum required ESP is 0.5 in. wc. regardless of system capacity. 
NEEA & NPCC recommended that the ESP requirement for measurement of 
cooling efficiency be close to 0.6 in. wc. because air volume rates for 
cooling (and heating for heat pumps) are greater than typical furnace 
heating air volume rates. However, they suggested DOE adopt the ESP 
level required for testing of furnace fans as a simple approach. 
(Docket No. EERE-2014-BT-STD-0048, NEEA & NPCC, No. 19 at p. 2).
    In response to stakeholder comment over multiple public meetings 
that the minimum ESP values intended for testing are indeed 
unrepresentative of the ESPs in field installations, and field studies 
indeed demonstrating the same, DOE proposes in this SNOPR revising the 
ESP requirements for most central air conditioners and heat pumps, 
e.g., those that do not meet the proposed requirements for short duct 
systems or the established requirements for small-duct, high-velocity 
(SDHV) systems.
    DOE is not considering revising the minimum ESP requirement for 
SDHV systems. DOE is, however, proposing to establish a new category of 
ducted systems, short duct systems, which would have lower ESP 
requirements for testing--this is discussed in section III.F.2.
    To meet the requirement set forth in 42 U.S.C. 6293(b)(3) providing 
that test procedures be reasonably designed to produce test results 
which measure energy efficiency of a covered product during a 
representative average period of use, DOE reviewed available field data 
to determine appropriate ESP values. DOE gathered field studies and 
research reports, where publically available, to estimate field ESPs. 
DOE previously reviewed most of these studies when developing test 
requirements for furnace fans. The 20 studies, published from 1995 to 
2007, provided 1,010 assessments of location and construction 
characteristics of central air conditioner or heat pump systems in 
residences, with the data collected varying by location, representation 
of system static pressure measurements, and equipment's age and 
ductwork arrangement, vintage, and air-tightness. 79 FR 500 (Jan. 3, 
2014). DOE observed measured ESPs to range from 0.20 to 0.70 in. wc. 
DOE used three statistical approaches to determine an average 
representation of ESP from the range of ESPs: a simple-average 
approach, a sample-size-exclusion approach, and a most-samples 
approach. DOE then performed reconciliation, through equal weighting of 
the results from the three approaches, to obtain a ``middle ground'' 
value of 0.32 in. wc. as the ESP representing a typical residence with 
a new space conditioning system.
    DOE is aware that units used in certification laboratory testing 
have not aged and are thus not representative of seasoned systems in 
the field. Namely, dust, dander, and other airborne particulates, 
commonly deposited as foulant onto in-duct components in field 
installations, are unaccounted for in controlled testing environments. 
Foulant fills air gaps of the air filter and evaporator coil and 
restricts air volume rate, thus increasing ESP. This occurrence is not 
accounted for in certification testing environments. Therefore, DOE 
included an ESP adder for component foulant build-up to the test 
procedure to better reflect a representative average period of use. To 
determine the value of this adder, DOE examined the aforementioned 
field studies that captured the ESP contribution from vintage, and 
certainly fouled, air filters and evaporator coils. From the 
contributing studies, DOE estimates an average pressure drop due to the 
filter's foulant of 0.13 in. wc. based on the difference in static 
pressure contributions between fouled filters and clean filters. DOE 
also examined publicly available reference material and research to 
determine the pressure drop from the build-up of foulant on evaporator 
coils. Three resources in the public domain were identified that 
documented the impact of evaporator coil fouling on ESP in 
applications.\25\ From this literature, DOE estimates an average 
pressure drop resulting from evaporator coil fouling of 0.07 in. wc. 
These additional pressure drops result in a total of 0.20 in. wc. being 
added to the revised ESP value, as mentioned. DOE seeks comment on its 
proposal to include in the ESP requirement a pressure drop contribution 
associated with average typical filter and indoor coil fouling levels 
and its use of residential-based indoor coil and filter fouling 
pressure drop data to estimate the appropriate ESP contribution. DOE 
also requests any data that would validate the proposed ESP 
contributions or suggestions of adjustments that should be made to 
improve representativeness of the values in this proposal. DOE notes 
that addition of these pressure drop contributions is consistent with 
the approach adopted for testing of furnace fans, which are tested 
without the filter and air conditioning coil, and for which the ESP 
selected for testing reflects the field fouling associated with these 
components.
---------------------------------------------------------------------------

    \25\ Siegel, J., Walker, I., and Sherman, M. 2002. ``Dirty Air 
Conditioners: Energy Implications of Coil Fouling'' Lawrence 
Berkeley National Laboratory report, number LBNL-49757.
    ACCA. 1995. Manual D: Duct Systems. Washington, DC, Air 
Conditioning Contractors of America.
    Parker, D. S., J. R. Sherwin, et al. 1997. ``Impact of 
evaporator coil airflow in air conditioning systems'' ASHRAE 
Transactions 103(2): 395-405.
---------------------------------------------------------------------------

    Consistent with the current motivation in current certification 
procedures to promulgate policy that represents the majority of 
products in the field (10 CFR 429.16(a)(2)(ii)), DOE selected the 
capacity with the largest volume of retail sales, 3 tons, as the rated 
cooling capacity category to adopt

[[Page 69319]]

the minimum ESP requirement based on the field data and the 
adjustments. For the other cooling capacity categories, NEEA commented 
that ESP should not vary with capacity. (NEEA, No. 7 at p. 3). DOE 
considered the stakeholder comment and the higher ESPs indicative of 
larger homes, and proposes a compromise approach to use the current 
0.05 in. wc. step variation among capacities.
    In conclusion, DOE proposes to adopt, for inclusion into 10 CFR 
part 430, subpart B, Appendix M1, for systems other than multi-split 
systems and small-duct, high-velocity systems, minimum ESP requirements 
of 0.45 in. wc. for units with rated cooling capacity of 28,800 Btu/h 
or less; 0.50 in. wc. for units with rated cooling capacity of 29,000 
Btu/h or more and 42,500 Btu/h or less; and 0.55 in. wc. for units with 
rated cooling capacity of 43,000 Btu/h or more. (DOE is not making such 
a revision in 10 CFR part 430, subpart B, Appendix M.) The proposed 
minimum ESP requirements are shown in Table III.8. DOE is aware that 
such changes will impact the certification ratings SEER, HSPF, and EER 
and is addressing such impact in the current energy conservation 
standards rulemaking.\26\ DOE requests comment on these proposals.
---------------------------------------------------------------------------

    \26\ Docket No. EERE-2014-BT-STD-0048.

     Table III.8--Proposed Minimum ESP Requirements for Central Air
  Conditioners and Heat Pumps Other Than Multi-Split Systems and Small-
                     Duct, High-Velocity Systems 27
------------------------------------------------------------------------
                                                                Minimum
         Rated cooling or heating capacity  (Btu/h)            ESP  (in.
                                                                 wc.)
------------------------------------------------------------------------
Up Thru 28,800..............................................        0.45
29,000 to 42,500............................................        0.50
43,000 and Above............................................        0.55
------------------------------------------------------------------------

     
---------------------------------------------------------------------------

    \27\ DOE did not increase the ESP requirement for small-duct, 
high-velocity units because the existing values in the test 
procedure represent field operations.
---------------------------------------------------------------------------

2. Minimum External Static Pressure Adjustment for Blower Coil Systems 
Tested With Condensing Furnaces
    As discussed in section III.H.1, DOE proposes to increase the 
minimum ESP required for testing blower coil central air conditioners 
and heat pumps. DOE notes that there are three different blower coil 
configurations: (1) An air handling unit which is a single piece of 
equipment containing a blower and a coil; (2) a coil paired with a 
separately-housed modular blower; (3) a coil paired with a separate 
furnace. The existing federal test procedure for central air 
conditioners and heat pumps does not require different minimum ESPs for 
these different blower coil configurations, even though the heat 
exchanger of a furnace may impose additional pressure drop on the air 
stream. The additional pressure drop can contribute to higher blower 
power, which may negatively affect the performance rating for a central 
air conditioner. Further, condensing furnaces, which have more heat 
transfer surface exposed to the flowing air than non-condensing 
furnaces, may impose even more pressure drop.
    Given the potential disadvantage associated with the rating of an 
air conditioner with a condensing furnace as the designated air mover, 
DOE proposes an adjustment to the minimum external static pressure 
requirement for a rated blower coil combination using a condensing 
furnace as the air mover in order to mitigate the impact on air-
conditioner ratings of furnace efficiency improvements. To aid the 
selection of representative ESP adjustments, DOE conducted laboratory 
testing for two condensing and three non-condensing furnaces to 
determine typical furnace heat exchanger pressure drop levels. DOE 
measured the pressure rise provided by each furnace when operating in 
the maximum airflow-control setting at a representative air volume 
rate, first as delivered and then with the furnace heat exchanger(s) 
removed. DOE measured average furnace heat exchanger pressure drop 
equal to 0.47 in. wc. for the condensing furnaces and 0.27 in. wc. for 
the non-condensing furnaces. The data suggest that condensing furnace 
pressure drop is roughly 0.2 in. wc. higher than non-condensing furnace 
pressure drop. However, DOE notes that cooling operation may be at 
lower air volume rates than the maximum cooling air volume rate used in 
the tests, since furnaces can be paired with air-conditioners having a 
range of capacities. Based on these results, DOE proposes to include in 
Appendix M1 of 10 CFR part 430 Subpart B a requirement of a downward 
adjustment of the required ESP equal to 0.1 in. wc. when testing an air 
conditioner in a blower-coil configuration (or single-package 
configuration) in which a condensing furnace is in the air flow path. 
DOE is not making such a revision in 10 CFR part 430, subpart B, 
Appendix M. DOE requests comments on this proposal.
3. Default Fan Power for Coil-Only Systems
    The default fan power is used to represent fan power input when 
testing coil-only air conditioners, which do not include their own 
fans.\28\ The default was discussed in the June 2010 NOPR, in which DOE 
did not propose to revise it due to uncertainty on whether higher 
default values better represent field installations. 75 FR 31227 (June 
2, 2010). In response to the June 2010 NOPR, Earthjustice commented 
that the existing default fan power for coil-only units in the DOE test 
procedure is not supported by substantial evidence. ESPs measured from 
field data show significant higher values than the requirements in the 
existing test procedure. (Earthjustice, No. 15 at p. 2) However, to be 
consistent with the increase in ESP used for testing blower coil 
products, as discussed in section III.H.1, this notice proposes 
updating the default fan power (hereinafter referred to as ``the 
default value'') used for testing coil-only products. DOE used 
circulation blower electrical power data collected for the furnace fan 
rulemaking (79 FR 38129, July 3, 2014) to determine an appropriate 
default value for coil-only products.
---------------------------------------------------------------------------

    \28\ See 10 CFR 430 Subpart B Appendix M section 3.3.d.
---------------------------------------------------------------------------

    DOE collected circulation blower consumption data from product 
literature, testing, and exchanges with manufacturers as part of the 
furnace fan rulemaking. These data are often provided in product 
literature in the form of tables listing air volume rate and 
circulation blower electrical power input across a range of ESP for 
each of the blower's airflow-control settings. DOE collected such data 
for over 100 furnace fans of non-weatherized gas furnace products for 
the furnace fan rulemaking. DOE used this database to calculate an 
appropriate default value to represent circulation blower electrical 
power for typical field operating conditions for air conditioning, 
consistent with the required ESP values proposed for blower coil split-
systems. From the perspective of the furnace providing the air 
movement, the ESP is higher than that required for testing blower coil 
systems to account for the cooling coil and the air filter that would 
be installed for a coil-only test, since furnace airflow performance is 
determined without the coil and filter installed. DOE used pressure 
drop associated with the filter equal to 0.08 in. wc., consistent with 
the required ESP addition when testing without an air filter installed. 
In addition, DOE

[[Page 69320]]

estimates that the typical pressure drop associated with an indoor coil 
is 0.16 in. wc. DOE added the resulting sum, 0.24 in. wc., to the 
required ESP levels for testing a blower coil system to obtain the ESP 
levels it used to calculate the power input for furnaces in the furnace 
fan database.
    The air volume rate at which central air conditioner and heat pumps 
are required to operate according to the DOE test procedure varies with 
capacity. Typically, units are tested and operated in the field while 
providing between 350 and 450 cfm per ton of cooling capacity. For the 
purpose of determining the appropriate default value, DOE investigated 
furnace fan performance at the ESP values discussed above while 
providing 400 cfm per ton of cooling capacity.
    A product that incorporates a furnace fan can often be paired with 
one of multiple air conditioners of varying cooling capacities, 
depending on the installation. For example, a non-weatherized gas 
furnace model may be designed to be paired with either a 2, 3, or 4 ton 
coil-only indoor unit. These combinations are possible because the 
circulation blower in the furnace has multiple airflow-control 
settings. Multiple airflow-control settings allow the furnace to be 
configured to provide the target air volume rate for either 2, 3, or 4 
ton coil-only indoor units by designating a different airflow-control 
setting for cooling. For furnaces with multiple such airflow-control 
settings that are suitable for air conditioning units, DOE calculated 
fan power for each of these settings since they all represent valid 
field operating conditions.
    DOE then organized the results of the calculations by blower motor 
technology used and manufacturer, averaging over both to calculate an 
overall average default value. The distribution of motor technology 
follows projected distribution of motors used in furnaces in the field 
in the year 2021. By this time, there will be some small impact on this 
distribution associated with the furnace fan rule. DOE averaged by 
manufacturer based on market share.
    The default fan power in the existing DOE test procedure does not 
vary among different capacities. DOE maintains the same approach for 
the adjusted default fan power. Using the aforementioned methodology, 
DOE calculated the adjusted default fan power to be 441 W/1000 cfm and 
proposes to use this value in Appendix M1 of 10 CFR part 430 Subpart B 
where Appendix M included a default fan power of 365 W/1000 cfm. DOE is 
not making such replacements in Appendix M of 10 CFR part 430 Subpart 
B.
4. Revised Heating Load Line
    In the current test procedure, the heating seasonal performance 
factor (HSPF) determined for heat pumps in heating mode is calculated 
by evaluating the energy usage of both the heat pump unit (reverse 
refrigeration cycle) and the resistive heat component when matching the 
house heating load for the range of outdoor temperatures representing 
the heating season. The temperature range is split into 5-degree 
``bins'', and an average temperature and total number of hours are 
assigned to each bin, based on weather data for each climate region 
used to represent the heating season--for the HSPF rating, this is 
Region IV. The amount of heating delivered at each temperature 
increases as the temperature decreases. This amount is dependent on the 
size of the house that the unit is heating. In addition, there is a 
relationship between the size of the house and the capacity of the heat 
pump selected to heat it. For the current test procedure, the heating 
load is proportional to the heating capacity of the heat pump when 
operating at 47[emsp14][deg]F outdoor temperature. The heating load is 
also proportional to the difference between 65[emsp14][deg]F and the 
outdoor temperature. The resulting relationship between heating load 
and outdoor temperature is called the heating load line--it slopes 
downward from low temperatures, dropping to zero at 65[emsp14][deg]F. 
The slope of the heating load line affects HSPF both by dictating the 
heat pump capacity level used by two-capacity or variable-capacity heat 
pumps at a given outdoor temperature, and also by changing the amount 
of auxiliary electric resistance heat required when the unit's heat 
pumping capacity is lower than the heating load line. The current test 
procedure defines two load levels, called the minimum heating load line 
and maximum heating load line. However, it is the minimum heating load 
line in region IV that is used to determine HSPF for rating 
purposes.\29\
---------------------------------------------------------------------------

    \29\ See 10 CFR 430 Subpart B Appendix M Section 1. Definitions.
---------------------------------------------------------------------------

    Studies have indicated that the current HSPF test and calculation 
procedure overestimates ratings because the current minimum heating 
load line is too low compared to real world situations.\30\ In response 
to the November 2014 ECS RFI, NEEA and NPCC commented that the federal 
test procedure does a poor job representing balance point temperatures 
and electric heat energy use in the case of heat pump systems. They 
pointed out the inability of the test procedure to capture dynamic 
response to heating needs, such as use of electric resistance (strip) 
heat during morning or afternoon temperature setup (i.e., rewarming of 
the space after a thermostat setback period). They also expressed 
concerns about capturing the use of electric resistance heat during 
defrost cycles and at times when it shouldn't be needed, such as when 
outdoor temperatures are above 30 [deg]F. (NEEA & NPCC, No. 19 at p. 2)
---------------------------------------------------------------------------

    \30\ Erbs, D.G., C.E. Bullock, and R.J. Voorhis, 1986. ``New 
Testing and Rating Procedures for Seasonal Performance of Heat Pumps 
with Variable-Speed Compressors'', ASHRAE Transactions, Volume 92, 
Part 2B.
    Francisco, Paul W., Larry Palmiter, and David Baylon, 2004. 
``Understanding Heating Seasonal Performance Factors for Heat 
Pumps'', 2004 Proceedings of the ACEEE Summer Study on Energy 
Efficiency in Buildings.
    Fairey, Philip, Danny S. Parker, Bruce Wilcox, and Matthew 
Lombardi, 2004. ``Climatic Impacts on Seasonal Heating Performance 
Factor (HSPF) and Seasonal Energy Efficiency Ratio (SEER) for Air-
Source Heat Pumps'', ASHRAE Transactions, Volume 110, Part 2.
---------------------------------------------------------------------------

    DOE agrees with NEEA and NPCC and notes that the heating balance 
point determined for a typical heat pump using the current minimum 
heating load line in Region IV is near 17 [deg]F, while the typical 
balance point is in the range 26 to 32 [deg]F, resulting from 
installing a proper sized unit based on the design cooling load 
according to ACCA Manual S, 2014. The low heating balance point means 
that the test procedure calculation adds in much less auxiliary heat 
than would actually be needed in cooler temperatures, thus inflating 
the calculated HSPF. Furthermore, the zero load point of 65 [deg]F 
ambient, which is higher than the typical 50-60 [deg]F zero load 
point,\31\ causes the test procedure calculation to include more hours 
of operation at warmer outdoor temperatures, for which heat pump 
operation requires less energy input, again inflating the calculated 
HSPF. These effects result in overestimation of rated HSPF up to 30% 
compared to field performance, according to a paper by the Florida 
Solar Energy Center (FSEC).\32\ For these reasons, DOE reviewed the 
choice of heating load line for HSPF ratings and proposes to modify it.
---------------------------------------------------------------------------

    \31\ Francisco, Paul W., Larry Palmiter, and David Baylon, 2004. 
``Understanding Heating Seasonal Performance Factors for Heat 
Pumps'', 2004 Proceedings of the ACEEE Summer Study on Energy 
Efficiency in Buildings.
    \32\ Fairey, Philip, Danny S. Parker, Bruce Wilcox, and Matthew 
Lombardi, 2004. ``Climatic Impacts on Seasonal Heating Performance 
Factor (HSPF) and Seasonal Energy Efficiency Ratio (SEER) for Air-
Source Heat Pumps'', ASHRAE Transactions, Volume 110, Part 2.

---------------------------------------------------------------------------

[[Page 69321]]

    As part of this review, ORNL conducted building load analysis using 
the EnergyPlus simulation tool on a prototype residential house based 
on the 2006 IECC code and summarized the study in a report to DOE.\33\ 
In general, the studies indicate that a heating load level closer to 
the maximum load line and with a lower zero load ambient temperature is 
more representative than the minimum load line presently used for HSPF 
rating values.
---------------------------------------------------------------------------

    \33\ ORNL, Rice, C. Keith, Bo Shen, and Som S. Shrestha, 2015. 
An Analysis of Representative Heating Load Lines for Residential 
HSPF Ratings, ORNL/TM-2015/281, July. (Docket No. EERE-2009-BT-TP-
0004-0046).
---------------------------------------------------------------------------

    Based on the results from the ORNL studies, DOE proposes the new 
heating load line equation to be used for calculation of HSPF as:

Where

[GRAPHIC] [TIFF OMITTED] TP09NO15.002

Tj = the outdoor bin temperature, [deg]F
TOD = the outdoor design temperature, [deg]F
DHR = the design heating requirement, Btu/h
Tzl = the zero load temperature, [deg]F

    The proposed equation includes the following changes from the 
current heating load line used for calculation of HSPF: \34\
---------------------------------------------------------------------------

    \34\ Most commonly used heating load equation based on minimum 
design heating requirement and region IV: Qh(47) * 
0.77*(65-Tj)/60.
---------------------------------------------------------------------------

     The equation form does not differ by region;
     The zero load temperature varies by climate region, as 
shown in Table III.6, and for Region IV is at 55 [deg]F, which is 
closer to what occurs in the field;
     The design heating requirement is a function of the 
adjustment factor, or the slope of the heating load line, and is 1.3 
rather than 0.77; and
     The heating load is tied with the nominal heat pump 
cooling capacity used for unit sizing rather than the heating capacity 
(except for heating-only heat pumps).
    Revised heating load hours were determined for the new zero load 
temperatures of each climate region. The revised heating load hours are 
given below in Table III.9.

                             Table III.9--Generalized Climatic Regional Information
----------------------------------------------------------------------------------------------------------------
                        Region No.                             I        II      III       IV       V        VI
----------------------------------------------------------------------------------------------------------------
Heating Load Hours........................................      562      909    1,363    1,701    2,202  * 1,974
Zero Load Temperature, TZL................................       60       58       57       55       55       58
----------------------------------------------------------------------------------------------------------------
* Pacific Coast Region.

    The proposed heating load line simulates the actual building load 
in different climate regions, so the maximum and minimum heating load 
lines of the current test procedure are not needed. The ORNL building 
simulation results show that the same equation matching the building 
load applies well to all regions. DOE therefore proposes eliminating 
maximum and minimum DHR definitions.
    DOE believes that it is more appropriate to base the heating load 
line on nominal cooling capacity rather than nominal heating capacity, 
because heat pumps are generally sized based on a residence's cooling 
load. For the special case of heating-only heat pumps, which clearly 
would be sized based on heating capacity rather than cooling capacity, 
DOE proposes that the nominal heating capacity at 47 [deg]F would 
replace the cooling capacity in the proposed load line equation. This 
is consistent with the building heating load analysis.
    The proposed altered heating load line would alter the measurement 
of HSPF. DOE estimates that HSPF would be reduced on average about 16 
percent for single speed heat pumps and two capacity heat pumps. The 
impact on the measurement for variable-speed heat pumps is discussed in 
section III.H.5. Consistent with the requirements of 42 U.S.C. 6293(e), 
DOE will account for these changes in any proposed energy conservation 
standard, and this test procedure proposal would not become effective 
until the compliance date of any new energy conservation standard.
    In response to the November 2014 ECS RFI, University of Alabama 
commented that the current test procedure for central air conditioners 
and heat pumps include cooling bin data at 67 [deg]F and heating bin 
data at 62 [deg]F. This results in a dead band of 5 [deg]F. Because the 
current test procedure prescribes the indoor temperature set point to 
be 70 [deg]F for heating, and 80 [deg]F for cooling, the temperature 
difference of 10 [deg]F is inconsistent with the dead band of 5 [deg]F 
from the temperature bin. University of Alabama also suggested adopting 
62 [deg]F and 52 [deg]F as the zero load points for cooling and heating 
modes, respectively. (University of Alabama, No. 6 at p. 1-2)
    The indoor dry bulb set temperature of 70 [deg]F for heating and 80 
[deg]F for cooling represent field set temperature for central air 
conditioners and heat pumps in a typical residential household. These 
two temperatures are also used in other product or equipment classes 
such as the commercial unitary air conditioners and heat pumps.\35\
---------------------------------------------------------------------------

    \35\ See ANSI/AHRI Standard 340/360-2007 with Addenda 1 and 2, 
Performance rating of commercial and industry unitary air-
conditioning and heat pump equipment.
---------------------------------------------------------------------------

    In this notice, DOE proposes to revise the heating load line which 
shifts the heating balance point and zero load point to lower ambient 
temperatures. These amendments reflect more representative unit field 
operations and energy use characteristics. The revised heating load 
line lowers the zero load point for heating in region IV to 55 [deg]F. 
Given the cooling-mode zero load point of 65 [deg]F, the proposed 
change would increase the temperature difference between the heating 
and cooling zero load points to 10 [deg]F, which equals the temperature 
difference between cooling and heating modes thermostat set points. The 
proposal would hence make these values more consistent with each other, 
whether or not this consistency is necessary for accuracy of the test 
procedure.
    As a result of this proposed heating load line change, DOE also 
proposes that cyclic testing for variable speed heat pumps be run at 47 
[deg]F instead of 62 [deg]F, as required by the current test procedure 
(see Appendix M, section 3.6.4 Table 11). The test would still be

[[Page 69322]]

conducted using minimum compressor speed. With the modified heating 
load line there would be no heat pump operation at 62 [deg]F, so cyclic 
testing at 47 [deg]F would be more appropriate. DOE seeks comment on 
this proposal.
    DOE proposes to make the changes to the test procedure as mentioned 
in this subsection only in Appendix M1 of 10 CFR part 430 Subpart B, 
and is not making such changes to Appendix M of the same Part and 
Subpart.
5. Revised Heating Mode Test Procedure for Products Equipped With 
Variable-Speed Compressors
    A recent Bonneville Power Administration (BPA) commissioned study 
done by Ecotope, Inc., and an Oak Ridge National Lab (ORNL)/Tennessee 
Valley Authority (TVA) field test found the heating performance of a 
variable speed heat pump, based on field data, is much lower than the 
rated HSPF.\36\ Therefore, DOE revisited the heating season ratings 
procedure for variable speed heat pumps, is are found in section 4.2.4 
of Appendix M of 10 CFR part 430 Subpart B.
---------------------------------------------------------------------------

    \36\ Larson, Ben, Bob Davis, Jeffrey Uslan, and Lucinda Gilman, 
2013. Variable Capacity Heat Pump Field Study, Final Report, 
Ecotope, Inc., Bonneville Power Administration, August.
    Munk, J.D., Halford, C., and Jackson, R.K., 2013. Component and 
System Level Research of Variable Capacity Heat Pumps, ORNL/TM-2013/
36, August.
---------------------------------------------------------------------------

    The HSPF is calculated by evaluating the energy usage of both the 
heat pump unit (reverse refrigeration cycle) and the resistive heat 
component when matching the dwelling heating load at each outdoor bin 
temperature. Currently, both the minimum and the maximum capacities are 
calculated at each outdoor bin temperature to determine whether the 
variable speed heat pump capacity can or cannot meet the building 
heating load. At an outdoor bin temperature where the heat pump minimum 
capacity is higher than the building heating load, the heat pump cycles 
at minimum speed. The energy usage at such outdoor bin temperature is 
determined by the energy usage of the heat pump at minimum speed and 
the unit cyclic loss. At an outdoor bin temperature where the heat pump 
maximum capacity is lower than the building heating load, the heat pump 
operates at maximum speed. The energy usage at such outdoor bin 
temperature is determined by the energy usage of the heat pump at 
maximum speed and of the additional resistive heat required to meet the 
building load.
    In the current test procedure, the capacity and the corresponding 
energy usage at minimum speeds are determined by the two minimum speed 
tests at 47 [deg]F and 62 [deg]F (outdoor temperature \37\), assuming 
the capacity and energy usage is linear to the outdoor temperature and 
the compressor speed does not change with the outdoor temperature. The 
capacity and the corresponding energy usage at maximum speeds are 
determined by the two maximum speed tests at 47 [deg]F and at 
17[emsp14][deg]F, assuming the compressor speed does not change with 
the outdoor temperature. Both the minimum and the maximum capacities 
and energy usages are also used to estimate the heat pump operating 
capacity and energy usage when the heat pump operates at an 
intermediate speed to match the building heating load.
---------------------------------------------------------------------------

    \37\ All temperatures in section III.H.5, if not noted 
otherwise, mean outdoor temperature.
---------------------------------------------------------------------------

    In reviewing these calculations, DOE compared the efficiencies 
(capacity divided by energy usage; at maximum speed, intermediate 
speed, and minimum speed at ambient temperatures representing the 
heating season) calculated using the method in current test procedure 
to the efficiencies tested in the lab at each of the 5 [deg]F bin 
temperatures representing the heating season, and found two 
discrepancies where the efficiencies are not predicted accurately by 
the test procedure.
    The first discrepancy occurs only for the variable speed heat pump 
that prevents minimum speed operation at outdoor temperatures below 47 
[deg]F. In the mid-range outdoor temperature range (17-47 [deg]F), the 
efficiencies are over-predicted. The cause of this over-prediction is 
that the unit's actual minimum capacity is higher than the calculated 
minimum capacity in the range of outdoor temperature 17-47 [deg]F. The 
calculated minimum capacity is based on the assumption that the unit 
can operate at the minimum speed in this range, which is not true with 
such units.
    DOE considered two alternative methods to provide more accurate 
efficiency predictions for mid-range outdoor temperatures. In the first 
method, the minimum capacity and the corresponding energy usage for 
outdoor temperatures lower than 47 [deg]F would be determined by the 
minimum speed tests at 47 [deg]F and the intermediate speed test at 35 
[deg]F, which are both required test points in current test procedure. 
The new calculation method results in the capacity and energy usage 
more representative of the unit operation performance in the 
temperature region 35-47 [deg]F. The HSPF calculated with this option 
agrees with the tested HSPF within 6%. This option does not require 
additional testing beyond what is required in the current test 
procedure.
    In the second method, the minimum capacity and the corresponding 
energy usage for outdoor temperature lower than 47 [deg]F would be 
determined by minimum speed tests at 47 [deg]F and at 35 [deg]F, where 
the test point of minimum speed at 35 [deg]F is an additional test 
point that is not required in the current test procedure. In addition, 
the intermediate capacity and the corresponding energy usage would be 
modified for more accurate efficiency prediction at the outdoor 
temperature range 17-35 [deg]F. This is done by defining the medium 
speed test as the average of the maximum and minimum speed and using 
the medium speed test at 17 [deg]F and the intermediate speed test at 
35 [deg]F to determine the intermediate capacity and the corresponding 
energy usage, where the test at the medium speed at 17 [deg]F is a test 
point not required in the current test procedure. With this method, the 
unit's calculated performance is well matched with the unit's actual 
operation in the outdoor temperature region 17-35 [deg]F. The HSPF 
calculated with this option aligns with the tested HSPF within 2%. 
However, this option requires two additional test points, medium speed 
at 17 [deg]F and minimum speed at 35 [deg]F, which adds test burden for 
manufacturers.
    After considering these two alternative methods with regard to the 
current test procedure, DOE further evaluated the impact of the 
proposed heating load line change (see section III.H.4) on the variable 
speed HSPF rating. DOE found that efficiencies calculated with the 
modified heating load line and with the current variable speed heat 
pump rating method match rather closely with those calculated from a 
more detailed set of test data at each outdoor bin temperature. The 
calculated HSPFs agree within 1 percent. Use of the proposed load line 
greatly reduces the error in the test procedure calculation from the 
speed limiting controls at ambient temperatures below 47 [deg]F. The 
net effect is that the ratings calculation approach using the proposed 
load line with the current test points gives results close to those 
with more detailed data sets. However, because this also removes an 
artificial HSPF benefit that such units were obtaining, the net 
reduction in rated HSPF for such units could be as much as 26%.\38\ DOE 
believes that this indicates that the modified heating load

[[Page 69323]]

line is sufficient to address the HSPF over-prediction issue for the 
variable speed heat pumps. Therefore, at this time, DOE does not 
propose changes specifically to the variable speed test points or 
heating calculations in the proposed Appendix M1. However, DOE notes 
that should stakeholder comments on this notice provide sufficient 
justification to retract the proposal to adopt the proposed modified 
heating load line, DOE would instead adopt, as part of Appendix M1, 
modifications to the variable speed heating calculations for units that 
prevent minimum speed operation. DOE requests comment on whether, in 
the case that the proposed heating load line is not adopted, DOE should 
modify the HSPF rating procedure for variable speed heat pumps using 
option 1, which is less accurate but has no additional test burden, or 
option 2, which is more accurate but with higher test burden.
---------------------------------------------------------------------------

    \38\ Rice et al. (2015) Review of Test Procedure for Determining 
HSPFs of Residential Variable-Speed Heat pumps. (Docket No. EERE-
2009-BT-TP-0004-0047).
---------------------------------------------------------------------------

    The second potential discrepancy between the efficiencies (capacity 
divided by energy usage) calculated using the method in the current 
test procedure with the efficiencies tested in the lab at each outdoor 
bin temperature occurs at temperatures lower than 17 [deg]F, where the 
test procedure assumes the heat pump operates at the maximum speed. The 
capacity and the corresponding energy usage at maximum speed at 
different outdoor bin temperatures are determined by the two maximum 
speed tests at 47 [deg]F and at 17 [deg]F, assuming the compressor 
speed does not change with the outdoor temperature. However, DOE found 
that some variable speed heat pumps do not allow maximum speed 
operation when the outdoor temperature is below 17 [deg]F. For such 
units, the assumption in the current test procedure is not appropriate. 
The impact of this discrepancy on the HSPF is not significantly changed 
by the proposed heating load line revision.
    DOE proposes as part of Appendix M1 that for the variable speed 
units that limit the maximum speed operation below 17 [deg]F and have a 
low cutoff temperature less than 12 [deg]F, the manufacturer could 
choose to calculate the maximum heating capacity and the corresponding 
energy usage through two maximum speed tests at: (1) 17 [deg]F outdoor 
temperature, and (2) 2 [deg]F outdoor temperature or at a low cutoff 
temperature, whichever is higher.\39\ With this proposed change, 
manufacturers could choose to conduct one additional steady state test, 
at maximum compressor speed and at a low temperature of 2 [deg]F or at 
a low cutoff temperature, whichever is higher.
---------------------------------------------------------------------------

    \39\ In the case that the low cutoff temperature is higher than 
12 [deg]F, the manufacturer would not be allowed to utilize this 
option for calculation of the maximum heating load capacity.
---------------------------------------------------------------------------

    The testing done by ORNL found that the unit efficiency at maximum 
speed below 17 [deg]F is slightly higher than the extrapolated values 
in the current test procedure, and this proposed option would provide a 
more accurate prediction of heat pump low ambient performance not only 
for those units that limit maximum speed operation below 17 [deg]F, but 
also for those that do not.\40\ DOE therefore proposes to revise 
Appendix M1 such that, for variable speed units that do not limit 
maximum speed operation below 17 [deg]F, manufacturers would also have 
the option to use this revised method if it is more representative of 
low ambient performance.
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    \40\ EERE-2009-BT-TP-0004-0047.
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    DOE believes that the proposed revision reflects field energy use 
more accurately. However, DOE acknowledges that the limited test 
results available show very small improvements in the accuracy of the 
rating method. Because the proposed revision adds an additional test 
burden (one new test), DOE has proposed to make it optional rather than 
mandatory. However, DOE would consider making this proposal mandatory 
for some or all variable speed units, given additional information. 
Specifically, DOE requests test results and other data that demonstrate 
whether HSPF results for other variable speed heat pumps would be more 
significantly impacted by this proposed option, as well as whether the 
additional test burden would offset the advantages of the proposed 
modification.
    DOE notes that the proposed revision also adds additional 
complexity to the test procedure in terms of which combinations of 
tests need to be conducted. In the current test procedure, to calculate 
the maximum speed performance in the temperature range 17-45 [deg]F, 
the maximum speed performance at 35 [deg]F is required. However, the 
maximum speed 35 [deg]F test is not required and performance at 35 
[deg]F may instead be calculated from the two maximum speed tests at 17 
[deg]F and 47 [deg]F. Therefore, even though manufacturers who choose 
to rate with the optional low ambient point would no longer need the 
maximum speed 47 [deg]F point to calculate energy use at maximum speed 
below 17 [deg]F, they would need either the maximum speed 47 [deg]F 
test point or 35 [deg]F test point to calculate the capacity and energy 
use at maximum speed at 35 [deg]F. They may also wish to conduct the 
maximum speed 47 [deg]F test point to rate heating capacity, although 
in the proposed Appendix M1, this is only required for heating-only 
heat pumps.
    In summary, with the proposed option for calculating maximum speed 
performance below 17 [deg]F, manufacturers would test at both maximum 
speed at 2 [deg]F (or low cutoff temperature) and maximum speed at 17 
[deg]F. For rating at 35 [deg]F, they would also test at either maximum 
speed at 35 [deg]F or maximum speed at 47 [deg]F. Finally, to rate 
heating capacity or nominal heating capacity (for units whose controls 
do not allow maximum speed operation at 47 [deg]F), they may also 
choose to test at either maximum speed at 47 [deg]F allowed by their 
standard controls or cooling capacity maximum speed at 47 [deg]F, 
respectively. Table III.10 lists the maximum speed test combination 
options for the variable speed heat pumps. The test combination option 
1 is the default in current test procedure.

                   Table III.10--Proposed Maximum Speed Heating Test Combination Options for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
 Test description (outdoor dry bulb    Current test procedure
            temperatures)                    (Option 1)            Option 2             Option 3                 Option 4                Option 5
--------------------------------------------------------------------------------------------------------------------------------------------------------
H1N (2 [deg]F)......................  optional if using        ...............  .......................  for nominal heating      for nominal heating
                                       nominal heating                                                    capacity.                capacity.
                                       capacity.
H12 (47 [deg]F).....................  X......................               X   for heating capacity     .......................  X.
                                                                                 only.
H22 (35 [deg]F).....................  .......................  ...............  X......................  X......................  ......................
H32 (17 [deg]F).....................  X......................               X   X......................  X......................  X.

[[Page 69324]]

 
H42 (2 [deg]F) *....................  .......................               X   X......................  X......................  X.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Or low cutoff temperature, whichever is higher.
Note: For units with a low cutoff temperature higher than 12 [deg]F, options 2 through 5 are not available.

    DOE additionally notes that all proposed changes in this subsection 
would change the efficiency ratings of units and are therefore proposed 
as part of Appendix M1 of 10 CFR 430 Subpart B. Such proposed changes 
would not appear in Appendix M of the same Part and Subpart.

I. Identified Test Procedure Issues DOE may Consider in Future 
Rulemakings

    Various comments from stakeholders during the public comment period 
following the publication of the November 2014 ECS RFI raised 
additional test procedure issues. The stakeholders requested that DOE 
consider these issues when amending its test procedures. After careful 
consideration of these issues, DOE believes that either they cannot be 
resolved or that they require additional action at this time, and 
therefore declines to address them in this SNOPR. Discussion of these 
test procedure issues follows in the subsequent subsections.
1. Controlling Variable Capacity Units to Field Conditions
    Central air conditioners and heat pumps can be divided into single-
speed, two-capacity, or variable capacity (or speed) units based on 
capacity modulation. System controls are typically more complex with 
the increasing modulating capability. The DOE test procedure prescribes 
different testing requirements for units depending on whether they are 
single-speed, two-capacity, or variable capacity (or speed) in order to 
characterize the efficiency ratings accurately.
    In response to the RFI, stakeholders submitted several comments 
that address the more complex operation of variable capacity central 
air conditioners and heat pumps. Stakeholders also submitted comments 
highlighting the need for improvement in the test procedure's ability 
to accurately predict energy use in the field, even for units that do 
not have variable capacity capability. PG&E urged DOE to revise the 
current test procedure to reflect the more nuanced operation of modern 
variable speed central air conditioners and heat pumps over the full 
range of outdoor conditions, given that variable speed units operate 
differently from the traditional single-speed or two-capacity units. 
(PG&E, No. 15 at p. 2)
    Edison Electric Institute commented that the current test procedure 
for central air conditions and heat pumps need to be updated to avoid 
``gaming'' of system controls to maximize rated SEER and EER, as there 
is an increase in using variable speed controls for motors, 
compressors, and variable refrigerant flow. (EEI, No. 18 at p. 3)
    NEEA & NPCC commented that the current test procedure does not 
appropriately test the operation of variable capacity systems. These 
systems operate much differently in the field than the forced operating 
conditions with which they are currently tested under waivers and 
artificially created laboratory conditions. As a result, the efficiency 
ratings and estimated energy use of these systems cannot be reliably 
determined. NEEA & NPCC also claimed that the field data shows that 
systems from different manufacturers with identical HSPF and SEER 
ratings and identical rated capacity will use significantly different 
amounts of energy under identical environmental conditions. (NEEA & 
NPCC, No. 19 at p. 2) NEEA & NPCC also showed the field energy use 
profiles for six units. They further commented that variable capacity 
systems behave in a nearly infinite variety of ways under similar 
outdoor and indoor temperature conditions, and much of this behavior 
occurs outside the bounds of the test procedure conditions. (NEEA & 
NPCC, No. 19 at p. 4) NEEA and NPCC commented that test procedure 
updates to variable capacity equipment will have an impact on the 
energy savings of these systems. They also commented that the test 
procedure more accurately representing the field energy use for heat 
pump systems could vary significantly by climate zone. (NEEA & NPCC, 
No. 19 at p. 10)
    ASAP, ASE, and NRDC commented that the current method for testing 
variable-capacity units used by manufacturers who have obtained test 
procedure waivers may not provide good representation of energy use in 
the field or reasonable relative rankings of product. Representative 
ratings of variable-capacity products will become more important in the 
future as variable-capacity units become more widely adopted. (ASAP & 
ASE & NRDC, No. 20 at p. 1)
    PG&E commented that central air conditioners and heat pumps should 
be tested at part load and cyclic testing under conditions that 
represent field operations. (PG&E, No. 15 at p. 3) However, PG&E did 
not provide further detail on what part load and cyclic conditions 
would be field representative.
    ACEEE commented that the current federal test procedure has been 
awkward for rating new technologies, notably ductless equipment, and 
probably some types of modulating equipment. (ACEEE, No. 21 at p. 2)
    As discussed in section III.H.5, DOE proposes to amend the testing 
requirements for units equipped with a variable speed compressor during 
heating mode operation. These proposed amendments would improve the 
field representativeness of variable speed units and better 
characterize the field energy use. However, DOE acknowledges that 
further improvements as suggested by the stakeholders could be possible 
if more detailed field testing data is available. DOE may consider in a 
future rulemaking additional amendments to improve the test procedure's 
representation of field energy use. In regards to ductless and 
modulating equipment, DOE's existing test procedure already covers 
testing and rating of these technologies.
2. Revised Ambient Test Conditions
    Central air conditioners and heat pumps operate in a wide range of 
weather conditions throughout the year. Further, both the range of 
temperature and humidity conditions associated with most of these 
products' energy use also varies from one climate region to another. 
The test procedure prescribes calculation of seasonal energy efficiency

[[Page 69325]]

metrics for cooling and heating based on a finite set of test 
conditions intended to represent the range of operating conditions 
while avoiding excess test burden.
    DOE decided in the June 2010 NOPR not to propose modifications to 
convert to wet-coil cyclic testing as data and information were not 
available to quantify subsequent impacts. 75 FR 31223, 31228 (June 2, 
2010). In response to the June 2010 NOPR, SCE, SCGC and SDGE submitted 
a joint comment recommending DOE require that manufacturers disclose 
performance data at a range of test conditions, as specified in the 
Consensus Agreement. The joint comment further explained that program 
designers need to know how equipment performs in a range of conditions 
in order for rebate and incentive programs to be effective. This could 
also make it possible for consumers to select products with performance 
characteristics that meet their needs. (Docket EERE-2009-BT-TP-0004, 
SCE, SCGC, and SDGE, No. 9, at p.3)
    In the current AHRI certified directory,\41\ manufacturers report 
the full load capacity and EER in addition to SEER for central air 
conditioners. Manufacturers also report heating capacities and EERs at 
both 47[emsp14][deg]F and 17[emsp14][deg]F ambient test conditions in 
addition to the seasonal efficiency metric HSPF for heat pumps. Cooling 
capacity and EER at full load are also reported in addition to SEER for 
heat pumps. DOE believes that this rating data provides sufficient 
information for determining rebate and incentive programs for program 
designers.
---------------------------------------------------------------------------

    \41\ https://www.ahridirectory.org/ahridirectory/pages/home.aspx.
---------------------------------------------------------------------------

    NREL commented that the existing DOE testing and certification 
requirements for central air conditioners and heat pumps do not provide 
sufficient data to compare different units. NREL also urged DOE to 
adopt different testing conditions for the hot dry and hot humid 
region. NREL further commented that measurement of water condensation 
must be reported with higher fidelity than the sensible heat ratio. 
Latent loads and moisture removal should be reported in each test 
condition. (EERE-2009-BT-TP-0004, NREL, No. 14 at p. 1)
    DOE does not intend to establish different test conditions for 
various regions of this country. DOE believes that it would add 
significant burden to manufacturers to report the latent loads and 
moisture removal in each test condition. In this SNOPR, DOE revises the 
certification requirement to include reporting the sensible heat ratio. 
See section III.I.5 for more details. DOE believes that the sensible 
heat ratio provides a good indication of the moisture removal 
capability for central air conditioners and heat pumps.
    Stakeholders submitted a number of comments on the revised ambient 
test condition in response to the RFI published on November 5, 2014. 79 
FR 65603. University of Alabama commented that the testing conditions 
prescribed in the federal test procedure for central air conditioners 
and heat pumps are not representative of actual operation in the field. 
The outdoor temperatures used for rating should be expanded from 2 to 3 
for constant speed units and from 5 to 6 for multi-capacity and 
variable speed units. The rating points can be used to determine more 
appropriate SEER and HSPF for climates outside of the current DOE zone 
4 conditions. Specifically, University of Alabama proposed the cooling 
indoor dry bulb and wet bulb temperatures to be 77 [deg]F and 64.4 
[deg]F, instead of the current requirement of 80 [deg]F and 67 [deg]F, 
respectively. Heating indoor dry bulb temperature should use 68 [deg]F 
instead of the current requirement of 70 [deg]F. For the outdoor 
conditions, testing at 113 [deg]F, 95 [deg]F, and 77 [deg]F have been 
proposed for the cooling mode, and 41 [deg]F, 23 [deg]F, and 5 [deg]F 
have been proposed for the heating mode, respectively. (University of 
Alabama, No. 6 at p. 1-2)
    PG&E commented that DOE should amend the test procedure to require 
testing at 76 [deg]F dry bulb with 50% relative humidity indoor 
conditions to represent the comfort desired in dwellings. (PG&E, No. 15 
at p. 3) However, PG&E did not provide further detail on why the 
revised test condition is more representative than the requirements in 
the current federal test procedure.
    PG&E also commented that the current cooling condition at 95 [deg]F 
does not fully capture the peak load experienced by consumers in the 
hottest summer weather. PG&E further urged DOE to revise the test 
procedure to account for ambient dry bulb conditions of 105 [deg]F or 
115 [deg]F experienced by consumers in the desert climates. (PG&E, No. 
15 at p. 3)
    Moreover, PG&E commented that DOE should adopt the testing at 
outdoor ambient temperatures that generate a performance map of the 
system for use in annual energy use simulation. (PG&E, No. 15 at p. 3) 
However, there is no further detail provided regarding this comment.
    EEI suggested that DOE revise the indoor air inlet dry bulb/wet 
bulb temperatures to be lowered from 80 [deg]F/67 [deg]F to 78 [deg]F/
61 [deg]F, respectively. Such a change would create more realistic 
indoor conditions that would require dehumidification to ensure 
properly managed indoor air quality. (EEI, No. 18 at p. 4) However, EEI 
did not provide further detailed justifications why such a change would 
create more realistic indoor conditions than the current federal 
testing requirements.
    NEEA and NPCC commented that the current federal test procedure 
does not capture performance under the full range of operating 
conditions for which many of these systems are designed. Some air 
conditioners perform significantly better at temperatures above 100 
[deg]F than others, but based on the current test procedure, there is 
no testing requirement for temperatures above 95 [deg]F. For heat 
pumps, systems may perform differently above 47 [deg]F and below 17 
[deg]F conditions. NEEA and NPCC commented that the test procedure and 
the resulting ratings should expose these differences and allow the 
market to properly select the systems that are most appropriate and 
most efficient for individual climate conditions. (NEEA & NPCC, No. 19 
at p. 2)
    ASAP, ASE, and NRDC commented that the test conditions defined in 
the current test procedure do not reflect field conditions. Adding a 
test point for SEER ratings at an outdoor temperature above 95 [deg]F 
and adding a test point for HSPF ratings at an outdoor temperature 
below 17 [deg]F would incentivize manufacturers to provide good 
efficiency performance at these temperatures. In addition, requiring 
reporting of performance at each of the outdoor temperature test points 
would allow efficiency program administrators to incentivize equipment 
that will perform well in their region. (ASAP & ASE & NRDC, No. 20 at 
p. 2)
    DOE appreciates that there may be value in providing more 
performance data, and that the range of operating conditions in the 
field may be more extensive than that represented by the current test. 
However, the extensive study and test work that would have to be 
conducted to properly assess and choose a better range of test 
conditions has not been completed. Hence, although DOE has proposed 
some changes to the test conditions required for testing of variable-
speed heat pumps in heating mode, DOE has not proposed changes as 
extensive as the comments suggest. DOE may consider additional changes 
addressing these issues in future test procedure rulemakings.

[[Page 69326]]

3. Performance Reporting at Certain Air Volume Flow Rates
    Central air conditioners and heat pumps condition the indoor air to 
satisfy cooling and heating requirements of a house. For ducted central 
air conditioners and heat pumps, indoor air is driven by the blower of 
the air handling unit or the furnace. Air volume rate affects the heat 
transferred between the air conditioning device and indoor air, and 
also affects the performance ratings of an air conditioner or heat 
pump.
    University of Alabama recommended that all performance results for 
central air conditioners and heat pumps be reported within the air 
volume rate range of 375 to 425 cfm per ton, and that the air volume 
rates be included in the reporting requirements. Higher air volume 
rates will result in reduced dehumidification capability and cause 
thermal comfort issue. (University of Alabama, No. 9 at p. 1)
    The current DOE test procedure requires that full load air volume 
rate be no more than 37.5 standard cfm (scfm) per 1,000 Btu/h of 
cooling capacity (see 10 CFR part 430, subpart B, Appendix M, Section 
3.1.4.1.1), but the test procedure does not have a minimum air volume 
rate requirement. DOE has proposed in this notice to require reporting 
of the cooling full load air volume rate as part of certification 
reporting. See section III.I.5 for more details. The air volume rate is 
also reported in the AHRI certification database.\42\ DOE believes that 
these requirements will ensure that air volume rates used for rating 
central air conditioners and heat pumps are in an appropriate range.
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    \42\ AHRI Directory of Certified Product Performance: https://www.ahridirectory.org/ahridirectory/pages/home.aspx.
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4. Cyclic Test With a Wet Coil
    The DOE test procedure for central air conditioners and heat pumps 
prescribe specific test conditions under which units are to be tested. 
These test conditions include both steady-state and cyclic tests. A dry 
coil test refers to the test conditions that do not result in moisture 
condensing on the indoor coil, and a wet coil test refers to the test 
conditions that result in moisture condensing on the indoor coil. DOE 
proposed in the June 2010 NOPR not to amend the existing cyclic testing 
requirement from dry coil test to wet coil test. DOE concluded that 
there was no sufficient data to show a greater benefit to using wet 
coil cyclic test versus the dry coil cyclic test. 75 FR 31223, 31227 
(June 2, 2010).
    In response to the RFI regarding central air conditioners and heat 
pumps (79 FR 65603, November 5, 2014), ASAP & ASE & NRDC commented that 
the cyclic test in the current test procedure is conducted using a dry 
coil, which is not representative of field conditions. Using the same 
indoor conditions (i.e., 80 [deg]F dry bulb and 67 [deg]F wet bulb) for 
the cyclic tests as used for the steady-state test would better reflect 
the cyclic performance of central air conditioners and heat pumps. 
(ASAP & ASE & NRDC, No. 20 at p. 2) DOE believes this approach may have 
merit, but has not sufficiently studied it to have proposed its 
inclusion in the test procedure at this time. DOE may consider adopting 
the approach in a future rulemaking.
5. Inclusion of the Calculation for Sensible Heating Ratio
    Air conditioning reduces air temperature and also reduces humidity. 
Cooling associated with air temperature reduction is called sensible 
capacity, while cooling associated with dehumidification is called 
latent capacity. The balance of these capacities for a given air 
conditioner operating in a given set of operating conditions is 
represented as sensible heat ratio (SHR), which is equal to sensible 
cooling divided by total cooling. Air conditioners can be designed to 
operate with high or low SHR depending on the air conditioning needs. 
Similarly, an air conditioner can be optimized to maximize efficiency 
depending on the indoor humidity level.
    In the June 2010 NOPR, DOE proposed including the calculation for 
(SHR at the B, B1, or B2 test condition (82 
[deg]F dry bulb, 65 [deg]F wet bulb, outside air) in the test 
procedure. 75 FR 31223, 31229 (June 2, 2010). DOE received comments 
regarding the inclusion of calculations for SHR in the subsequent 
public comment period. AHRI supported adoption of the SHR, provided 
that it is based off the total net capacity and is a reported value 
only. (AHRI, No. 6 at p. 4) Ingersoll Rand agreed with AHRI. (Ingersoll 
Rand, No. 10 at pp. 2-3) Lennox likewise agreed with AHRI regarding 
adding calculations for SHR and further requested that DOE provide 
calculations for SHR at outdoor ambient conditions of 82 [deg]F. 
(Lennox, No. 11 at p. 1) Building Science Corporation stated that the 
calculation of the SHR was a favorable step towards inclusion of a 
dehumidification performance rating, but requested determining SHR at 
multiple outdoor and indoor conditions and reporting a metric for 
moisture removal efficacy. (Building Science Corporation, No. 16 at p. 
1) NEEA concurred with DOE's proposal in the NOPR to add calculations 
of sensible heat ratio (SHR) to the test procedure requirements. (NEEA, 
No. 7 at p. 6) The People's Republic of China World Trade Organization 
Technical Barriers to Trade National Notification and Enquiry Center 
(China WTO) suggested that SHR be calculated at the same SEER test 
conditions. (China WTO, No. 18 at p. 4).
    DOE does not believe that measurements at multiple indoor or 
outdoor conditions are necessary to obtain a SHR value that represents 
unit operation during an average use cycle or period. (42 U.S.C. 
6293(b)(3)) Therefore, DOE is maintaining its position in the NOPR to 
include calculation for sensible heat ratio at only the condition at 
which products are rated (82 [deg]F dry bulb, 65 [emsp14][deg]F wet 
bulb, outside air), and proposes to include this change to the revised 
Appendix M test procedure in this notice. DOE notes that the addition 
of these calculations does not add significant test burden because the 
existing measurement instruments, used for determining the inputs for 
SEER, can also determine the inputs for SHR.
    The June 2010 NOPR highlighted a Joint Utilities recommendation 
that DOE should require all units be certified and rated for sensible 
heat ratio (SHR) at 82 [deg]F ambient dry bulb temperature. 75 FR 
31223, 31229 (June 2, 2010). DOE believes that the existing 
certification test procedures and ratings are sufficient to determine 
product efficiency; efforts to establish dehumidification performance 
for central air conditioner and heat pumps are not currently necessary 
given that the primary function of the subject products is not 
dehumidification, nor would doing so be helpful in improving the 
accuracy of product efficiency.
    In response to the RFI regarding central air conditioners and heat 
pumps (79 FR 65603, November 5, 2014), stakeholders submitted several 
comments on the reporting requirements related to the SHR. PG&E 
commented that the test procedure should adopt testing that 
characterizes the sensible heat ratios for high (western dry climates, 
approximately 500 cfm/ton) and low (eastern humid climates, 
approximately 350 cfm/ton) evaporator coil air volume rate. (Docket No. 
EERE-2014-BT-STD-0048, PG&E, No. 15 at p. 3) Edison Electric Institute 
commented that the test procedure should take into account a 
dehumidification requirement as homes are getting tighter with fewer 
air changes. (Id.; EEI, No. 18 at p. 3) ASAP & ASE & NRDC requested DOE 
require reporting sensible heat ratio for central air conditioners and 
heat pumps. Sensible heat ratio would provide more

[[Page 69327]]

information to consumers and contractors about appropriate units for 
their region and also allow efficiency program administrators to better 
target efficiency programs for central air conditioners and heat pumps. 
(Id.; ASAP & ASE & NRDC, No. 20 at p. 2)
    In response to the stakeholder comments, DOE understands that air 
volume rate can be controlled properly to suit the dehumidification 
purposes. However, manufacturers can design their products to meet the 
needs of consumers in different climate regions. Therefore, DOE does 
not intend at this time to develop a test procedure that requires 
different air volume rates based on the climate region. DOE does, 
however, realize the merit of reporting SHR for consumer choices. As 
such, DOE proposes to simply require the reporting of the SHR value 
calculated based on full-load cooling test conditions at the outdoor 
ambient conditions proposed earlier in this section: 82 [deg]F dry bulb 
and 65 [deg]F wet bulb.

J. Compliance With Other Energy Policy and Conservation Act 
Requirements

1. Test Burden
    EPCA requires that any test procedures prescribed or amended shall 
be reasonably designed to produce test results which measure energy 
efficiency, energy use, or estimated annual operating cost of a covered 
product during a representative average use cycle or period of use, and 
shall not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) For 
the reasons that follow, DOE has tentatively concluded that revising 
the DOE test procedure, per the proposals in this SNOPR, to measure the 
energy consumption of central air conditioners and heat pumps in active 
mode and off mode would produce the required test results and would not 
result in any undue burdens.
    As discussed in section IV.B of this SNOPR, the proposed test 
procedures to determine the active-mode and standby-mode energy use 
would require use of the same testing equipment and facilities that 
manufacturers are currently using for testing to determine CAC and CHP 
ratings for certifying performance to DOE. While this notice proposes 
clarifications to the test procedures, and proposes adopting into 
regulation the test procedures associated with a number of test 
procedure waivers, most of the proposals would not affect test time or 
the equipment and facilities required to conduct testing. Possible 
changes in test burden associated with the proposals of this notice 
apply to off mode testing and requirements for testing of basic models 
by ICMs.
    The proposals include additional testing to determine off mode 
energy use, as required by EPCA. (42 U.S.C. 6295(gg)(2)(A)) This 
additional testing may require investment in additional temperature-
controlled facilities. However, DOE's proposal does not require that 
every individual combination be tested for off mode, allowing 
sufficient use of AEDMs in order to reduce test burden.
    The proposals also call for testing to determine performance for 
ICMs. Specifically, the proposals call for testing of one split system 
combination for each model of indoor unit sold by an ICM. While this 
change would increase test burden for these manufacturers, DOE believes 
it is the appropriate minimum test burden to validate ratings for these 
systems, as it is consistent with current requirements for OUMs, for 
which testing is required for every model of outdoor unit. DOE requests 
comment on this issue.
    DOE allows manufacturers to pursue an alternative efficiency 
determination method process to certify products without the need of 
testing. In this notice, DOE revises and clarifies such requirements, 
as detailed in section III.B, to continue to enable manufacturers who 
wish to reduce testing burden to utilize this method.
    As detailed in section III.C, manufacturers of certain products 
covered by test procedures waivers, have already utilized the 
alternative test procedures provided to them for certification testing. 
Thus, the inclusion of said alternative test procedures into the test 
procedure, as revised in this notice, does not add additional test 
burden.
    In addition, DOE carefully considered the testing burden on 
manufacturers in proposing a modified off mode test procedure that is 
less burdensome than the proposals it made in the April 2011 SNOPR and 
October 2011 SNOPR and that addresses stakeholder comment regarding the 
test burden of such prior proposals. Further discussion regarding test 
burden associated with the proposals set forth in this notice for 
determining off mode power consumption can be found in section III.D.
    DOE set forth proposals to improve test repeatability, improve the 
readability and clarity of the test procedure, and utilize industry 
procedures that manufacturers may be aware of in an effort to reduce 
the test burden. Sections III.E, III.F, and III.G presents additional 
detail regarding such proposals.
    Although DOE proposes to change the current test procedure in a 
manner that would impact measured energy efficiency, amend existing 
requirements, and increase the testing time for such tests, DOE 
carefully considered the impact on testing burden and made efforts to 
balance accuracy, repeatability, and test burden during the course of 
the development of such proposals. Further discussion is found in 
section III.H.
    Therefore, DOE determined that the proposed revisions to the 
central air conditioner and heat pump test procedure would produce test 
results that measure energy consumption during a period of 
representative use, and that the test procedure would not be unduly 
burdensome to conduct.
2. Potential Incorporation of International Electrotechnical Commission 
Standard 62301 and International Electrotechnical Commission Standard 
62087
    Under 42 U.S.C. 6295(gg)(2)(B), EPCA directs DOE to consider IEC 
Standard 62301 and IEC Standard 62087 when amending test procedures for 
covered products to include standby mode and off mode power 
measurements.
    DOE reviewed IEC Standard 62301, ``Household electrical 
appliances--Measurement of standby power'' (Edition 2.0 2011-01),\43\ 
and determined that the procedures contained therein for preparation of 
the unit under test and for conducting the test are already set forth 
in the amended test procedure, as proposed in this notice, for 
determining off mode power consumption and for determining the 
components (cyclic degradation coefficient) that make up standby power 
for central air conditioners and heat pumps. Therefore, DOE determined 
that referencing IEC Standard 62301 is not necessary for the proposed 
test procedure that is the subject of this rulemaking.
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    \43\ IEC Standard 62301 covers measurement of power consumption 
for standby mode and low power modes, as defined therein.
---------------------------------------------------------------------------

    DOE reviewed IEC Standard 62087, ``Methods of measurement for the 
power consumption of audio, video, and related equipment'' (Edition 3.0 
2011-04), and determined that it would not be applicable to measuring 
power consumption of HVAC products such as central air conditioners and 
heat pumps. Therefore, DOE determined that referencing IEC Standard 
62087 is not necessary for the proposed test procedure that is the 
subject of this rulemaking.

[[Page 69328]]

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, Regulatory 
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in the Office of 
Management and Budget.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IFRA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: https://energy.gov/gc/office-general-counsel.
    DOE reviewed this proposed rule, which would amend the test 
procedure for central air conditioners and heat pumps, under the 
provisions of the Regulatory Flexibility Act and the procedures and 
policies published on February 19, 2003. DOE tentatively concludes and 
certifies that the proposed rule, if adopted, would not result in a 
significant impact on a substantial number of small entities. The 
factual basis for this certification is set forth below.
    For the purpose of the regulatory flexibility analysis for this 
rule, the DOE adopts the Small Business Administration (SBA) definition 
of a small entity within this industry as a manufacturing enterprise 
with 750 employees or fewer. DOE used the small business size standards 
published on January 31, 1996, as amended, by the SBA to determine 
whether any small entities would be required to comply with the rule. 
61 FR 3280, 3286, as amended at 67 FR 3041, 3045 (Jan. 23, 2002) and at 
69 FR 29192, 29203 (May 21, 2004); see also 65 FR 30836, 30850 (May 15, 
2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000). The size 
standards are codified at 13 CFR part 121. The standards are listed by 
North American Industry Classification System (NAICS) code and industry 
description and are available at www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.pdf.
    Central air conditioner and heat pump manufacturing is classified 
under NAICS 333415, ``Air-Conditioning and Warm Air Heating Equipment 
and Commercial and Industrial Refrigeration Equipment Manufacturing.'' 
70 FR 12395 (March 11, 2005). DOE reviewed AHRI's listing of central 
air conditioner and heat pump product manufacturer members and surveyed 
the industry to develop a list of domestic manufacturers. As a result 
of this review, DOE identified 22 manufacturers of central air 
conditioners and heat pumps, of which 15 would be considered small 
manufacturers with a total of approximately 3 percent of the market 
sales. DOE seeks comment on its estimate of the number of small 
entities that may be impacted by the proposed test procedure.
    Potential impacts of the proposed test procedure on all 
manufacturers, including small businesses, come from impacts associated 
with the cost of proposed additional testing. In the June 2010 NOPR, 
DOE estimated the incremental cost of the proposed additional tests 
described in 10 CFR part 430, subpart B, Appendix M (proposed section 
3.13) to be an increase of $1,000 to $1,500 per unit tested, indicating 
that the largest additional cost would be associated with conducting 
steady-state cooling mode tests and the dry climate tests for the SEER-
HD rating). 75 FR at 31243 (June 2, 2010). DOE has eliminated tests 
associated with the SEER-HD rating from the proposals in this notice. 
DOE conservatively estimates that off mode testing might cost $1,000 
(roughly one-fifth of the $5000 cost of active mode testing--see 75 FR 
at 31243 (June 2, 2010)). Assuming two off mode tests per tested model, 
this is an average test cost of $2,000 per model.
    The proposals of this notice also require that ICMs test one 
combination of every basic model (i.e., model of indoor unit). Based on 
a test cost estimate of $5000 and two tests per model, the costs for 
this proposal are $10,000 for each basic model.
    Because the incremental cost of running the extra off mode tests is 
the same for all manufacturers, DOE believes that all manufacturers 
would incur comparable costs for testing to certify off mode power use 
for basic models as a result of the proposed test procedure. DOE 
expects that small manufacturers will incur less testing expense 
compared with larger manufacturers as a result of the proposed testing 
requirements because they have fewer basic models and thus require 
proportionally less testing when compared with large manufacturers that 
have many basic models. DOE recognizes, however, that smaller 
manufacturers may have less capital available over which to spread the 
increased costs of testing.
    With respect to the provisions addressing AEDMs, the proposals 
contained herein would not increase the testing or reporting burden of 
outdoor unit manufacturers who currently use, or are eligible to use, 
an AEDM to certify their products. The proposal would eliminate the ARM 
nomenclature and treat these methods as AEDMs, eliminate the pre-
approval requirement for product AEDMs, revise the requirements for 
validation of an AEDM in a way that would not require more testing than 
that required by the AEDM provisions included in the March 7, 2011 
Certification, Compliance and Enforcement Final Rule (76 FR 12422) 
(``March 2011 Final Rule''), and amend the process that DOE promulgated 
in the March 2011 Final Rule for validating AEDMs and verifying 
certifications based on the use of AEDMs. Because these AEDM-related 
proposals would either have no effect on test burden or decrease burden 
related to testing (e.g., elimination of ARM pre-approval), DOE has 
determined these proposals would result in no significant change in 
testing or reporting burden. The proposals contained herein would not 
increase the testing or reporting burden of outdoor unit or independent 
coil manufacturers besides the revision to the requirements for 
validation of an AEDM, of which burden is outweighed by the benefit of 
providing more accurate ratings for models of indoor units sold by 
ICMs, as discussed in section III.A.3.d.
    To evaluate the potential cost impact of the other test-related 
proposals, DOE compared the cost of the testing to the total value 
added by the manufacturers to determine whether the impact of the 
proposed test procedure amendments is significant. The value added 
represents the net economic value that a business creates when it takes 
manufacturing inputs (e.g., materials) and turns them into 
manufacturing outputs (e.g., manufactured goods). Specifically, as 
defined by the U.S. Census, the value added statistic is calculated as 
the total value of shipments (products

[[Page 69329]]

manufactured plus receipts for services rendered) minus the cost of 
materials, supplies, containers, fuel, purchased electricity, and 
contract work expenses.
    DOE analyzed the impact on the smallest manufacturers of central 
air conditioners and heat pumps because these manufacturers would 
likely be the most vulnerable to cost increases. DOE calculated the 
additional testing expense as a percentage of the average value added 
statistic for the five individual firms in the 25 to 49 employee size 
category in NAICS 333415 as reported by the U.S. Census (U.S. Bureau of 
the Census, American Factfinder, 2002 Economic Census, Manufacturing, 
Industry Series, Industry Statistics by Employment Size, https://factfinder.census.gov/servlet/EconSectorServlet?_lang=en&ds_name=EC0200A1&_SectorId=31&_ts=288639767147). The average annual value for manufacturers in this size range from 
the census data was $1.26 million in 2001$, per the 2002 Economic 
Census, or approximately $1.52 million per year in 2009$ after 
adjusting for inflation using the implicit price deflator for gross 
domestic product (U.S. Department of Commerce Bureau of Economic 
Analysis, www.bea.gov/national/nipaweb/SelectTable.asp).
    DOE also examined the average value added statistic provided by 
census for all manufacturers with fewer than 500 employees in this 
NAICS classification as the most representative value from the 2002 
Economic Census data of the central air conditioner manufacturers with 
fewer than 750 employees that are considered small businesses by the 
SBA (15 manufacturers). The average annual value added statistic for 
all small manufacturers with fewer than 500 employees was $7.88 million 
(2009$).
    Given this data, and assuming the range of estimates of additional 
costs, $2,000 for OUMs and $10,000 for ICMs for the additional testing 
costs, DOE concluded that the additional costs for testing of a single 
basic model product under the proposed requirements would be up to 
approximately 0.7 percent of annual value added for the 5 smallest 
firms, and approximately 0.13 percent of the average annual value added 
for all small central air conditioner or heat pump manufacturers (15 
firms). DOE estimates that testing of basic models may not have to be 
updated more than once every 5 years, and therefore the average 
incremental burden of testing one basic model may be one fifth of these 
values when the cost is spread over several years.
    DOE requires that only the highest sales volume split-system 
combinations be laboratory tested. 10 CFR 430.24(m). The majority of 
central air conditioners and heat pumps offered by a manufacturer are 
typically split-systems that are not required to be laboratory tested 
but can be certified using an alternative rating method that does not 
require DOE testing of these units. DOE reviewed the available data for 
five of the smallest manufacturers to estimate the incremental testing 
cost burden for those small firms that might experience the greatest 
relative burden from the revised test procedure. These manufacturers 
had an average of 10 models requiring testing (AHRI Directory of 
Certified Product Performance, www.ahridirectory.org/ahridirectory/pages/home.aspx), while large manufacturers will have well over 100 
such models. The additional testing cost for final certification for 10 
models was estimated at $4,000 to $100,000. Meanwhile, these 
certifications would be expected to last the product life, estimated to 
be at least 5 years based on the time frame established in EPCA for DOE 
review of central air conditioner efficiency standards. This test 
burden is therefore estimated to be approximately 1.3 percent of the 
estimated 5-year value added for the smallest five manufacturers. DOE 
believes that these costs are not significant given other, much more 
significant costs that the small manufacturers of central air 
conditioners and heat pumps incur in the course of doing business. DOE 
seeks comment on its estimate of the impact of the proposed test 
procedure amendments on small entities and its conclusion that this 
impact is not significant.
    Accordingly, as stated above, DOE tentatively concludes and 
certifies that this proposed rule would not have a significant economic 
impact on a substantial number of small entities. Accordingly, DOE has 
not prepared an initial regulatory flexibility analysis (IRFA) for this 
rulemaking. DOE will provide its certification and supporting statement 
of factual basis to the Chief Counsel for Advocacy of the SBA for 
review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of central air conditioners and heat pumps must 
certify to DOE that their products comply with any applicable energy 
conservation standards. In certifying compliance, manufacturers must 
test their products according to the DOE test procedures for central 
air conditioners and heat pumps, including any amendments adopted for 
those test procedures. DOE has established regulations for the 
certification and recordkeeping requirements for all covered consumer 
products and commercial equipment, including central air conditioners 
and heat pumps. 76 FR 12422 (March 7, 2011); 80 FR 5099 (Jan. 30, 
2015). The collection-of-information requirement for the certification 
and recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (PRA). This requirement has been approved by 
OMB under OMB control number 1910-1400. Public reporting burden for the 
certification is estimated to average 20 hours per response, including 
the time for reviewing instructions, searching existing data sources, 
gathering and maintaining the data needed, and completing and reviewing 
the collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this supplemental proposed rule, DOE proposes test procedure 
amendments that it expects will be used to develop and implement future 
energy conservation standards for central air conditioners and heat 
pumps. DOE has determined that this rule falls into a class of actions 
that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this 
proposed rule would amend the existing test procedures without 
affecting the amount, quality or distribution of energy usage, and, 
therefore, would not result in any environmental impacts. Thus, this 
rulemaking is covered by Categorical Exclusion A5 under 10 CFR part 
1021, subpart D, which applies to any rulemaking that interprets or 
amends an existing rule without changing the environmental effect of 
that rule. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.
    DOE's CX determination for this proposed rule is available at 
https://energy.gov/nepa/categorical-exclusion-cx-determinations-cx

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies

[[Page 69330]]

or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of this proposed rule. States can 
petition DOE for exemption from such preemption to the extent, and 
based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further 
action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation: (1) Clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at https://energy.gov/gc/office-general-counsel. DOE examined this 
proposed rule according to UMRA and its statement of policy and 
determined that the rule contains neither an intergovernmental mandate, 
nor a mandate that may result in the expenditure of $100 million or 
more in any year, so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1) Is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of central air conditioners and heat 
pumps is not a significant regulatory action under Executive Order 
12866. Moreover, it

[[Page 69331]]

would not have a significant adverse effect on the supply, 
distribution, or use of energy, nor has it been designated as a 
significant energy action by the Administrator of OIRA. Therefore, it 
is not a significant energy action, and, accordingly, DOE has not 
prepared a Statement of Energy Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    The proposed rule incorporates testing methods contained in the 
following commercial standards: AHRI 210/240-2008 with Addendum 1 and 
2, Performance Rating of Unitary Air-Conditioning & Air-Source Heat 
Pump Equipment; and ANSI/AHRI 1230-2010 with Addendum 2, Performance 
Rating of Variable Refrigerant Flow Multi-Split Air-Conditioning and 
Heat Pump Equipment. While the proposed test procedure is not 
exclusively based on AHRI 210/240-2008 or ANSI/AHRI 1230-2010, one 
component of the test procedure, namely test setup requirements, adopts 
language from AHRI 210/240-2008 without amendment; and another 
component of the test procedure, namely test setup and test performance 
requirements for multi-split-systems, adopts language from ANSI/AHRI 
1230-2010 without amendment. The Department has evaluated these 
standards and is unable to conclude whether they fully comply with the 
requirements of section 32(b) of the FEAA, (i.e., that they were 
developed in a manner that fully provides for public participation, 
comment, and review). DOE will consult with the Attorney General and 
the Chairman of the FTC concerning the impact of these test procedures 
on competition, prior to prescribing a final rule.

M. Description of Materials Incorporated by Reference

    In this SNOPR, DOE proposes to incorporate by reference (IBR) the 
following two test standards published by AHRI: ANSI/AHRI 210/240-2008 
with Addenda 1 and 2, titled ``Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment;'' and ANSI/AHRI 1230-
2010 with Addendum 2, titled ``Performance Rating of Variable 
Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump 
Equipment.'' DOE also proposes to IBR a draft version of ASHRAE 210/240 
which has not yet been published. DOE also proposes to update its IBR 
to the most recent version of the following standards published by 
ASHRAE: ASHRAE 23.1-2010 titled ``Methods of Testing for Rating the 
Performance of Positive Displacement Refrigerant Compressors and 
Condensing Units that Operate at Subcritical Temperatures of the 
Refrigerant'', ASHRAE Standard 37-2009, Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, 
ASHRAE 41.1-2013 titled ``Standard Method for Temperature 
Measurement'', ASHRAE 41.6-2014 titled ``Standard Method for Humidity 
Measurement'', and ASHRAE 41.9-2011titled ``Standard Methods for 
Volatile-Refrigerant Mass Flow Measurements Using Calorimeters''. 
Finally, DOE proposes to updates its IBR to the most recent version of 
the following test procedure from ASHRAE and AMCA: ASHRAE/AMCA 51-07/
210-07, Laboratory Methods of Testing Fans for Certified Aerodynamic 
Performance Rating.
    ANSI/AHRI 210/240-2008 is an industry accepted test procedure that 
measures the cooling and heating performance of central air 
conditioners and heat pumps and is applicable to products sold in North 
America. The test procedure proposed in this SNOPR references various 
sections of ANSI/AHRI 210/240-2008 that address test setup, test 
conditions, and rating requirements. ANSI/AHRI 210/240-2008 is readily 
available on AHRI's Web site at https://www.ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards. AHRI Standard 210/
240-Draft is a draft version of AHRI 210/240 that AHRI provided to DOE 
in 2015. AHRI Standard 210/240-Draft will supersede the 2008 version 
once it is published. The draft version is available on the rulemaking 
Web page (Docket EERE-2009-BT-TP-0004-0045).
    ANSI/AHRI 1230-2010 is an industry accepted test procedure that 
measures the cooling and heating performance of variable refrigerant 
flow (VRF) multi-split air conditioners and heat pumps and is 
applicable to products sold in North America. The test procedure 
proposed in this SNOPR for VRF multi-split systems references various 
sections of ANSI/AHRI 1230-2010 that address test setup, test 
conditions, and rating requirements. ANSI/AHRI 1230-2010 is readily 
available on AHRI's Web site at https://www.ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards.
    ASHRAE 23.1-2010 is an industry accepted test procedure for rating 
the thermodynamic performance of positive displacement refrigerant 
compressors and condensing units that operate at subcritical 
temperatures. The test procedure proposed in this SNOPR references 
sections of ASHRAE 23.1-2010 that address requirements, instruments, 
methods of testing, and testing procedure specific to compressor 
calibration. ASHRAE 23.1-2010 can be purchased from ASHRAE's Web site 
at https://www.ashrae.org/resources-publications.
    ASHRAE Standard 37-2009 is an industry accepted standard that 
provides test methods for determining the cooling capacity of unitary 
air-conditioning equipment and the cooling or heating capacities, or 
both, of unitary heat pump equipment. The test procedure proposed in 
this SNOPR references various sections of ASHRAE Standard 37-2009 that 
address test conditions and test procedures. The current DOE test 
procedure references a previous version of this standard, ASHRAE 37-
2005. ASHRAE Standard 37-2009 can be purchased from ASHRAE's Web site 
at https://www.ashrae.org/resources-publications.
    ASHRAE 41.1-2013 is an industry accepted method for measuring 
temperature in testing heating, refrigerating, and air-conditioning 
equipment. The test procedure proposed in this SNOPR references 
sections of ASHRAE 41.1-2013 that address requirements, instruments, 
and methods for measuring temperature. ASHRAE 41.1-2013 can be 
purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE 41.6-2014 is an industry accepted test method for measuring 
humidity of moist air. The test procedure proposed in this SNOPR 
references sections of ASHRAE 41.6-2014 that address requirements, 
instruments, and methods for measuring humidity. ASHRAE 41.6-2014 can 
be purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.

[[Page 69332]]

    ASHRAE 41.9-2011 is an industry accepted standard that provides 
recommended practices for measuring the mass flow rate of volatile 
refrigerants using calorimeters. The test procedure proposed in this 
SNOPR references sections of ASHRAE 41.9-2011 that address 
requirements, instruments, and methods for measuring refrigerant flow 
during compressor calibration. ASHRAE 41.9-2011 can be purchased from 
ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE/AMCA 51-07/210-07 is an industry accepted standard that 
establishes uniform test methods for a laboratory test of a fan or 
other air moving device to determine its aerodynamic performance in 
terms of air flow rate, pressure developed, power consumption, air 
density, speed of rotation, and efficiency for rating or guarantee 
purposes. The test procedure in this SNOPR references various sections 
of ASHRAE/AMCA 51-07/210-07 that address test conditions. The current 
DOE test procedure references a previous version of this standard, 
ASHRAE/AMCA 51-99/210-99. ASHRAE/AMCA 51-07/210-07 can be purchased 
from AMCA's Web site at https://www.amca.org/store/index.php.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this notice.
    Submitting comments via regulations.gov. The regulations.gov Web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: One copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

B. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. The details characterizing the same model of indoor unit, same 
model of outdoor unit, and same single-package model;
    2. Its proposed changes to the determination of certified ratings 
for single-split-system air conditioners, specifically in its proposed 
phased approach where in the first phase

[[Page 69333]]

manufacturers must certify all models of outdoor units with the model 
of coil-only indoor unit that is likely to have the largest volume of 
retail sales with the particular model of outdoor unit but may use the 
model of blower coil indoor unit likely to have the highest sales if 
the model of outdoor unit is sold only with models of blower coil 
indoor units, and may use testing or AEDMs to rate other combinations; 
and in the second phase manufacturers must certify all models of 
outdoor units with the model of blower coil indoor unit that is likely 
to have the largest volume of retail sales with that model of outdoor 
unit but must rate other blower coil or coil-only combinations through 
testing or AEDMs;
    3. Its proposed definitions for blower coil and coil-only indoor 
units;
    4. Whether additional testing and rating requirements are necessary 
for multi-split systems paired with models of conventional ducted 
indoor units rather than short-duct units;
    5. Whether manufacturers or other stakeholders support ratings for 
mix-match multi-split systems including models of both SDHV and non-
ducted or short-ducted indoor units, and if so, how they should be 
rated (i.e., by by taking the mean of a sample of tested non-ducted 
units and a sample of tested SDHV units or by testing a combination on 
non-ducted and SDHV units), and whether the SDHV or split-system 
standard would be most appropriate;
    6. Whether manufacturers support having the ability to test mix-
match systems using the test procedure rather than rating them using an 
average of the other tested systems;
    7. Whether manufacturers support the rating of mix-match systems 
using other than a straight mean, such as a weighting by the number of 
non-ducted or short-ducted units;
    8. Whether the definition of ``tested combination'' is appropriate 
for rating specific individual combinations, or whether manufacturers 
want more flexibility such as testing with more than 5 indoor units;
    9. Information and data on manufacturing and testing variability 
associated with multi-split systems that would allow it to understand 
how a single unit may be representative of the population and what 
tolerances would need to be applied to ratings based on a single unit 
sample in order to account for variability;
    10. The basic model definition in section III.A.1;
    11. Its proposal for ICMs to test each model of indoor unit with 
the lowest-SEER model of outdoor unit that is certified as a part of a 
basic model by an OUM as well as any test burden associated with this 
proposal;
    12. The likelihood of multiple individual models of single-package 
units meeting the requirements proposed in the basic model definition 
to be assigned to the same basic model;
    13. Whether, if manufacturers are able to assign multiple 
individual single-package models to a single basic model, whether 
manufacturers would want to use an AEDM to rate other individual models 
within the same basic model other than the lowest SEER individual 
model;
    14. Whether manufacturers would want to employ an AEDM to rate the 
off-mode power consumption for other variations of off-mode associated 
with the single-package basic model other than the variation tested;
    15. The reporting burden associated with the proposed certification 
reporting requirements proposed in this notice;
    16. The additions to the represented value requirements for cooling 
capacity, heating capacity, and SHR, as well as the proposed rounding 
requirements;
    17. The proposal to not require additional testing to validate an 
AEDM beyond the testing required under 429.16(a)(2)(ii) for split-
system air conditioners and heat pumps where manufacturers must test 
each basic model, being each model of outdoor unit, with at least one 
model of indoor unit;
    18. The proposal that ICMs must use the combinations they would be 
required to test, under 429.16, to validate an AEDM that is intended to 
be used for other individual combinations within each basic model;
    19. Whether the approach to not penalize manufacturers for applying 
conservative ratings to their products is reasonable to identify an 
individual combination's failure to meet its certified rating;
    20. Whether manufacturers would typically apply more than one AEDM, 
and if they would, the differences between such AEDMs;
    21. Its proposal for multi-circuit products to adopt the same 
common duct testing approach used for testing multi-split products; and 
whether this method will yield accurate results that are representative 
of the true performance of these systems;
    22. Its proposals for multi-blower products, including whether 
individual adjustments of each blower are appropriate and whether 
external static pressures measured for individual tests may be 
different;
    23. Its proposal to require a test for off mode power consumption 
at 722 [deg]F, a second test at the temperature below a 
turn-on temperature specified by the manufacturer, a tolerance on the 
temperature, and the proposal that manufacturers include in 
certification reports the temperatures at which the crankcase heater is 
designed to turn on and turn off for the heating season, if applicable;
    24. The proposal to replace the off mode test at 57 [deg]F with a 
test at a temperature which is 52 [deg]F below a 
manufacturer-specified turn-on temperature to maintain the intent of 
the off mode power consumption rating as a rating that measures the off 
mode power consumption for the heating season, and allay the 
stakeholders' concerns of a loophole at the 57 [deg]F test point;
    25. The proposal to use a per-compressor off mode power consumption 
metric so as to not penalize manufacturers of products with multiple 
compressor systems, which are highly efficient and require larger 
crankcase heaters for safe and reliable operation;
    26. The proposal on the multiplier of 1.5 for determining the 
shoulder season and heating season per-compressor off mode power so as 
to not penalize manufacturers of products with modulated compressors, 
which require a larger crankcase heater to ensure safe and reliable 
operation;
    27. The proposal to more accurately reflect the off mode power 
consumption for coil-only and blower coil split-system units by 
excluding the low-voltage power from the indoor unit when measuring off 
mode power consumption for coil-only split-system air conditioners and 
including the low-voltage power from the indoor unit when measuring off 
mode power consumption for blower coil split-system air conditioning 
and heat pumps;
    28. The proposal to incent manufacturers of products with time 
delays by adopting a credit to shoulder season energy consumption that 
is proportional to the duration of the delay or a default of 25% 
savings in shoulder season off mode energy consumption and the 
possibility of a verification test for length of time delay;
    29. The proposal to add optional informational equations to 
determine the actual off mode energy consumption, based on the hours of 
off mode operation and off mode power for the shoulder and heating 
seasons;
    30. Whether regulating crankcase heater energy consumption has a 
negative impact on product reliability in light of the test method 
proposed in this rule;

[[Page 69334]]

    31. The proposal to improve repeatability of testing central air 
conditioner and heat pump products by requiring the lowest fan speed 
setting that meets minimum static pressure and maximum air volume rate 
requirements for blower coil systems and requiring the lowest fan speed 
settings that meets the maximum static pressure and maximum air volume 
rate requirements for coil-only indoor units;
    32. The proposal to mirror how insulation is installed in the field 
by requiring test laboratories either install the insulation shipped 
with the unit or use insulation as specified in the manufacturer's 
installation manuals included with the unit;
    33. The proposal to clarify liquid refrigerant line insulation 
requirements by requiring such insulation only if the product is a 
heating-only heat pump;
    34. The proposal to prevent thermal losses from the refrigerant 
mass flow meter to the floor by requiring a thermal barrier if the 
meter is not mounted on a pedestal or is not elevated;
    35. The proposal to require either an air sampling device used on 
all outdoor unit air-inlet surfaces or demonstration of air temperature 
uniformity for the outdoor unit vis-a-vis 1.5 [deg]F maximum spread of 
temperatures measured by thermocouples distributed one thermocouple per 
square feet of air-inlet surface of the outdoor unit;
    36. The proposal to require that the dry bulb temperature and 
humidity measurements used to verify that the required outdoor air 
conditions have been maintained be measured for the air collected by 
the air sampling device (e.g., rather than being measured by 
temperature sensors located in the air stream approaching the air 
inlets);
    37. The proposal to limit thermal losses by preventing the air 
sampling device from nearing the test chamber floor, insulating air 
sampling device surfaces, and requiring dry bulb and humidity 
measurements be made at the same location in the air sampling device;
    38. The proposal to fix maximum compressor speed when testing at 
each of the outdoor temperature for those control systems that vary 
maximum compressor speed with outdoor temperature;
    39. The proposal to prevent improper refrigerant charging 
techniques by requiring charging of near-azeotropic and zeotropic 
refrigerant blends in the liquid state only;
    40. The proposal to require, for air conditioners and cooling-and-
heating heat pumps refrigerant charging at the A or A2 test 
condition, and for heating-only heat pumps refrigerant charging at the 
H1 or H12 test condition, to meet a 12  2 [deg]F superheat temperature requirement for units equipped 
with fixed orifice type metering devices and a 10  2 [deg]F 
subcooling temperature requirement for units equipped with thermostatic 
expansion valve or electronic expansion valve type metering devices, if 
no manufacturer installation instructions provide guidance on charging 
procedures;
    41. The proposal to verify functionality of heat pumps at the 
H1 or H12 test condition after charging at the A 
or A2 test condition, and if non-functional, the proposal to 
adjust refrigerant charge to the requirements of the proposed 
standardized charging procedure at the H1 or H12 
test condition;
    42. The proposal to require refrigerant charging based on the 
outdoor installation instructions for outdoor unit manufacturer 
products and refrigerant charging based on the indoor installation 
instructions for independent coil manufacturer products, where both the 
indoor and outdoor installation instructions are provided and advise 
differently, unless otherwise specified by either installation 
instructions;
    43. The proposal to require installation of pressure gauges and 
verification of refrigerant charge amount and, if charging instructions 
are not available adjust charge based on the proposed refrigerant 
charging procedure;
    44. All aspects of its proposals to amend the refrigerant charging 
procedures;
    45. The proposal to allow for cyclic tests of single-package ducted 
units an upturned duct as an alternative arrangement to replace the 
currently-required damper in the inlet portion of the indoor air 
ductwork;
    46. The proposal to further justify adequacy of the alternative 
arrangement in preventing thermal losses during the OFF portion of the 
cyclic test by proposing installing a dry bulb temperature sensor near 
the indoor inlet and requiring the maximum permissible range of the 
recorded temperatures during the OFF period be no greater than 1.0 
[deg]F;
    47. The proposed revisions to the cyclic test procedure for the 
determination of both the cooling and heating coefficient of 
degradation, including additional test data that would support the 
proposed specifications, or changes to, the number of warm-up cycles, 
the cycle time for variable speed units, the number of cycles averaged 
to obtain the value, and the stability criteria;
    48. The proposal to allay stakeholder concerns regarding compressor 
break-in period by allowing an optional break-in period of up to 20 
hours prior to testing;
    49. Its proposed limitation of incorporation by reference to 
industry standards to specific sections necessary for the test 
procedure, including any specific sections stakeholders feel should be 
referenced that are not;
    50. The proposed sampling interval for dry-bulb temperatures, wet 
bulb temperature, dew point temperature, and relative humidity;
    51. The appropriate use of the target value and maximum tolerances 
for refrigerant charging, as well as data to support the appropriate 
selection of tolerance;
    52. The proposal for damping pressure transducer signals including 
whether the proposed maximum time constant is appropriate;
    53. Setting a definition for short duct systems to mean ducted 
systems whose indoor units can deliver no more than 0.07 in. wc. ESP 
when delivering the full load air volume rate for cooling operation, 
and requiring such systems meet the minimum ESP levels as proposed in 
the NOPR: 0.03 in. wc. for units less than 28,800 Btu/h; 0.05 in. wc. 
for units between 29,000 Btu/h and 42,500 Btu/h; and 0.07 in. wc. for 
units greater than 43,000 Btu/h;
    54. The incorporation by reference of AHRI 1230-2010, and in 
particular the specific sections of Appendix M and AHRI 1230-2010 that 
DOE proposes to apply to testing VRF systems;
    55. The proposed change to the informative tables at the beginning 
of Section 2. Testing Conditions and/or whether additional 
modifications to the new table could be implemented to further improve 
clarity;
    56. Its proposal to delete the definition of mini-split air 
conditioners and heat pumps, and define (1) single-zone-multiple-coil 
split-system to represent a split-system that has one outdoor unit and 
that has two or more coil-only or blower coil indoor units connected 
with a single refrigeration circuit, where the indoor units operate in 
unison in response to a single indoor thermostat; and (2) single-split-
system to represent a split-system that has one outdoor unit and that 
has one coil-only or blower coil indoor unit connected to its other 
component(s) with a single refrigeration circuit;
    57. Its proposal to include in the ESP requirement a pressure drop 
contribution associated with average typical filter and indoor coil 
fouling levels and its use of residential-based indoor coil and filter 
fouling pressure drop data to estimate the appropriate

[[Page 69335]]

ESP contribution; DOE also requests data that would validate the 
proposed ESP contributions or suggest adjustments that should be made 
to improve representativeness of the values in this proposal;
    58. Its proposals to set higher minimum ESP requirements for 
systems other than multi-split systems and small-duct, high-velocity 
systems and report the external static pressure used during their 
certification tests;
    59. Its proposal to implement an allowance in ESP for air-
conditioning units tested in blower-coil (or single-package) 
configuration in which a condensing furnace is in the air flow path 
during the test. DOE seeks comment regarding the proposed 0.1 in. wc. 
ESP reduction for such tests, including test data to support 
suggestions regarding different reductions.
    60. Its proposal to revise the heating load line that shifts the 
heating balance point and zero load point to lower ambient temperatures 
that better reflect field operations and energy use characteristics, as 
well as its proposal to perform cyclic testing for variable speed heat 
pumps at 47 [deg]F instead of at 62 [deg]F;
    61. Whether, in the case that the proposed heating load line is not 
adopted, DOE should modify the HSPF rating procedure for variable speed 
heat pumps at mid-range outdoor temperatures using option 1: Which 
entails basing performance on minimum speed tests at 47 [deg]F and 
intermediate speed test at 35 [deg]F and is the less accurate option 
but has no additional test burden; or option 2: Which entails basing 
performance on minimum speed tests at 47 [deg]F and at 35 [deg]F and is 
more accurate but with higher test burden;
    62. Test results and other data regarding whether HSPF results for 
other variable speed heat pumps would be more significantly impacted by 
this change to the test procedure to test at maximum speed at 2 [deg]F 
outdoor temperature or at low cutoff temperature, whichever is higher 
(in conjunction with the test at maximum speed at 17 [deg]F outdoor 
temperature) as well as whether the additional test burden would offset 
the advantages of the proposed modification;
    63. The estimate of the number of small entities that may be 
impacted by the proposed test procedure and its conclusion that the 
impact is not significant.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this proposed 
rule.

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Reporting and recordkeeping 
requirements.

10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Energy conservation test procedures, 
Household appliances, Imports, Incorporation by reference, 
Intergovernmental relations, Small businesses.

    Issued in Washington, DC, on August 21, 2015.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons set forth in the preamble, DOE proposes to amend 
parts 429 and 430 of chapter II of Title 10, Subpart B, Code of Federal 
Regulations, to read as follows:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority: 42 U.S.C. 6291-6317.

0
2. Amend Sec.  429.12 by revising paragraphs (b)(8) and (12) to read as 
follows:


Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (b) * * *
    (8) The test sample size (i.e., number of units tested for the 
basic model, or in the case of single- split-system central air 
conditioners and central air conditioning heat pumps, for each 
individual combination). Enter ``0'' if an AEDM was used in lieu of 
testing;
* * * * *
    (12) If the test sample size is listed as ``0'' to indicate the 
certification is based upon the use of an alternate way of determining 
measures of energy conservation, identify the method used for 
determining measures of energy conservation (such as ``AEDM,'' or 
linear interpolation). Manufacturers of commercial packaged boilers, 
commercial water heating equipment, commercial refrigeration equipment, 
and commercial HVAC equipment must provide the manufacturer's 
designation (name or other identifier) of the AEDM used; and
* * * * *
0
3. Section 429.16 is revised to read as follows:


Sec.  429.16  Central air conditioners and central air conditioning 
heat pumps.

    (a) Determination of Certified Rating. Determine the certified 
rating for each basic model through testing pursuant to paragraph 
(a)(1)(ii) of this section. For single-split-systems, manufacturers 
must certify additional ratings for each individual combination within 
the same basic model either based on testing or by using an AEDM 
subject to the limitations of paragraph (a)(2) of this section. This 
includes blower coil and coil-only systems both before and after the 
compliance date of any amended energy conservation standards. For 
multi-split, multi-circuit, and single-zone-multiple-coil systems, each 
basic model must include a rating for a non-ducted combination and may 
also include ratings for a ducted combination and a mixed non-ducted/
short-ducted combination per the requirements specified in this 
section. If individual models of single-package systems or individual 
combinations of split-systems that are otherwise identical are offered 
with multiple options for off mode-related components, rate the 
individual model/combination with the crankcase heater and controls 
that are the most consumptive. A manufacturer may also certify less 
consumptive off mode options; however, the manufacturer must 
differentiate the individual model numbers in its certification report.
    (1) Units to be tested.
    (i) General. The general requirements of Sec.  429.11 apply to 
central air conditioners and heat pumps; and
    (ii) Model selection for testing. (A) Except for single-split-
system non-space-constrained air conditioners, determine represented 
values for each basic model through testing of the following, specific, 
individual model or combination pursuant to the table below.

----------------------------------------------------------------------------------------------------------------
              Category                   Equipment type          Must test each:                With:
----------------------------------------------------------------------------------------------------------------
Single-Package Unit................  Single-Package AC.....  Basic Model...........  Lowest SEER individual
                                                                                      model.

[[Page 69336]]

 
                                     Single-Package HP.....
                                     Space-Constrained
                                      Single-Package AC.
                                     Space-Constrained
                                      Single-Package HP.
Outdoor Unit and Indoor Unit (Rated  Single-Split-System HP  Model of Outdoor Unit.  The model of indoor unit
 by OUM).                                                                             that is likely to have the
                                                                                      largest volume of retail
                                                                                      sales with the particular
                                                                                      model of outdoor unit.
                                     Space-Constrained
                                      Split-System AC.
                                     Space-Constrained
                                      Split-System HP.
                                     Multi-Split, Multi-     Model of Outdoor Unit.  At a minimum, a ``tested
                                      Circuit, or Single-                             combination'' composed
                                      Zone-Multiple-Coil                              entirely of non-ducted
                                      Split System.                                   indoor units. For any
                                                                                      models of outdoor units
                                                                                      also sold with models of
                                                                                      short-ducted indoor units,
                                                                                      a second ``tested
                                                                                      combination'' composed
                                                                                      entirely of short-ducted
                                                                                      indoor units must be
                                                                                      tested (in addition to the
                                                                                      non-ducted combination).
                                                                                      For any models of outdoor
                                                                                      units also sold with
                                                                                      models of SDHV indoor
                                                                                      units, a second (or third)
                                                                                      ``tested combination''
                                                                                      composed entirely of SDHV
                                                                                      units must be tested (in
                                                                                      addition to the non-ducted
                                                                                      combination and, if
                                                                                      tested, the short-ducted
                                                                                      combination).
Indoor Unit Only (Rated by ICM)....  Single-Split-System...  Model of Indoor Unit..  Least efficient model of
                                                                                      outdoor unit with which it
                                                                                      will be paired, where the
                                                                                      least efficient model of
                                                                                      outdoor unit is the
                                                                                      outdoor unit in the lowest
                                                                                      SEER combination as
                                                                                      certified by the OUM). If
                                                                                      there are multiple models
                                                                                      of outdoor units with the
                                                                                      same lowest-SEER rating,
                                                                                      the ICM may select one for
                                                                                      testing purposes.
                                     Small-Duct, High
                                      Velocity Systems.
Outdoor Unit Only..................  Outdoor Unit Only.....  Model of Outdoor Unit.  Model of indoor unit
                                                                                      meeting the requirements
                                                                                      of section 2.2e of
                                                                                      Appendix M (or M1) to
                                                                                      Subpart B of 10 CFR Part
                                                                                      430.
----------------------------------------------------------------------------------------------------------------

    (B) For single-split-system, non-space-constrained air conditioners 
rated by OUMs, determine represented values for each basic model 
through testing of the following, specific, individual combination, 
with requirements depending on date and pursuant to the table below.

----------------------------------------------------------------------------------------------------------------
                Date                     Equipment type          Must test each:                With:
----------------------------------------------------------------------------------------------------------------
Before the compliance date of any    Split-System AC with    Model of Outdoor Unit.  The model of coil-only
 amended energy conservation          single capacity                                 indoor unit that is likely
 standards (with a compliance date    condensing unit.                                to have the largest volume
 after January 1, 2017).                                                              of retail sales with the
                                                                                      particular model of
                                                                                      outdoor unit.
                                     Split-System AC with    Model of Outdoor Unit.  The model of coil-only
                                      other than single                               indoor unit that is likely
                                      capacity condensing                             to have the largest volume
                                      unit.                                           of retail sales with the
                                                                                      particular model of
                                                                                      outdoor unit, unless the
                                                                                      model of outdoor unit is
                                                                                      only sold with model(s) of
                                                                                      blower coil indoor units,
                                                                                      in which case the model of
                                                                                      blower coil indoor unit
                                                                                      (with designated air mover
                                                                                      as applicable) that is
                                                                                      likely to have the largest
                                                                                      volume of retail sales
                                                                                      with the particular model
                                                                                      of outdoor unit.
On or after the compliance date of   Split-system AC.......  Model of Outdoor Unit.  The model of blower coil
 any amended energy conservation                                                      indoor unit that is likely
 standards with which compliance is                                                   to have the largest volume
 required on or after January 1,                                                      of retail sales with the
 2017.                                                                                particular model of
                                                                                      outdoor unit.
----------------------------------------------------------------------------------------------------------------

    (iii) Sampling plans and representative values. (A) Each basic 
model (for single-package systems) or individual combination (for 
split-systems) tested must have a sample of sufficient size tested in 
accordance with the applicable provisions of this subpart. The 
represented values for any basic model or individual combination must 
be assigned such that:
    (1) Any represented value of power consumption or other measure of 
energy consumption for which consumers would favor lower values must be 
greater than or equal to the higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP09NO15.003
    

and x is the sample mean; n is the number of samples; and 
xi is the ith sample; Or,


[[Page 69337]]


    (ii) The upper 90 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP09NO15.004


And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.90 is the t statistic for a 
90% one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix D).

    (2) Any represented value of the energy efficiency or other measure 
of energy consumption for which consumers would favor higher values 
shall be less than or equal to the lower of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP09NO15.005
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,

    (ii) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP09NO15.006


And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.90 is the t statistic for a 
90% one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix D).

    (3) The represented value of cooling capacity is the mean of the 
capacities measured for the sample, rounded:
    (i) To the nearest 100 Btu/h if cooling capacity is less than 
20,000 Btu/h,
    (ii) To the nearest 200 Btu/h if cooling capacity is greater than 
or equal to 20,000 Btu/h but less than 38,000 Btu/h, and
    (iii) To the nearest 500 Btu/h if cooling capacity is greater than 
or equal to 38,000 Btu/h and less than 65,000 Btu/h.
    (4) The represented value of heating capacity is the mean of the 
capacities measured for the sample, rounded:
    (i) To the nearest 100 Btu/h if heating capacity is less than 
20,000 Btu/h,
    (ii) To the nearest 200 Btu/h if heating capacity is greater than 
or equal to 20,000 Btu/h but less than 38,000 Btu/h, and
    (iii) To the nearest 500 Btu/h if heating capacity is greater than 
or equal to 38,000 Btu/h and less than 65,000 Btu/h.
    (5) The represented value of sensible heat ratio (SHR) is the mean 
of the SHR measured for the sample, rounded to the nearest percent (%).
    (B) For heat pumps (other than heating-only heat pumps), all units 
of the sample population must be tested in both the cooling and heating 
modes and the results used for determining all representations.
    (C) Determine the represented value of estimated annual operating 
cost for cooling-only units or the cooling portion of the estimated 
annual operating cost for air-source heat pumps that provide both 
heating and cooling by calculating the product of:
    (1) The quotient of the represented value of cooling capacity, in 
Btu's per hour as determined in paragraph (a)(1)(iii)(A)(3) of this 
section, divided by the represented value of SEER, in Btu's per watt-
hour, as determined in paragraph (a)(1)(iii)(A)(2) of this section;
    (2) The representative average use cycle for cooling of 1,000 hours 
per year;
    (3) A conversion factor of 0.001 kilowatt per watt; and
    (4) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (D) Determine the represented value of estimated annual operating 
cost for air-source heat pumps that provide only heating or for the 
heating portion of the estimated annual operating cost for air-source 
heat pumps that provide both heating and cooling, as follows:
    (1) When using appendix M to subpart B of part 430, the product of:
    (i) The quotient of the mean of the standardized design heating 
requirement for the sample, in Btu's per hour, nearest to the Region IV 
minimum design heating requirement, determined for each unit in the 
sample in section 4.2 of appendix M to subpart B of part 430, divided 
by the represented value of heating seasonal performance factor (HSPF), 
in Btu's per watt-hour, calculated for Region IV corresponding to the 
above-mentioned standardized design heating requirement, as determined 
in paragraph (a)(1)(iii)(A)(2) of this section;
    (ii) The representative average use cycle for heating of 2,080 
hours per year;
    (iii) The adjustment factor of 0.77, which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (iv) A conversion factor of 0.001 kilowatt per watt; and
    (v) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act; 
and
    (2) When using appendix M1 to subpart B of part 430, the product 
of:
    (i) The quotient of the represented value of cooling capacity (for 
air-source heat pumps that provide both cooling and heating) in Btu's 
per hour, as determined in paragraph (a)(1)(iii)(A)(3) of this section, 
or the represented value of heating capacity (for air-source heat pumps 
that provide only heating), as determined in paragraph 
(a)(1)(iii)(A)(4) of this section, divided by the represented value of 
heating seasonal performance factor (HSPF), in Btu's per watt-hour, 
calculated for Region IV, as determined in paragraph (a)(1)(iii)(A)(2) 
of this section;
    (ii) The representative average use cycle for heating of 1,572 
hours per year;
    (iii) The adjustment factor of 1.30, which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (iv) A conversion factor of 0.001 kilowatt per watt; and
    (v) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act;
    (E) Determine the represented value of estimated annual operating 
cost for air-source heat pumps that provide both heating and cooling by 
calculating the sum of the quantity determined in paragraph 
(a)(1)(iii)(C) of this section added to the quantity determined in 
paragraph (a)(1)(iii)(D) of this section.
    (F) Determine the represented value of estimated regional annual 
operating cost for cooling-only units or the cooling portion of the 
estimated regional annual operating cost for air-source heat pumps that 
provide both heating and cooling by calculating the product of:
    (1) The quotient of the represented value of cooling capacity, in 
Btu's per hour, determined in paragraph (a)(1)(iii)(A)(3) of this 
section divided by the represented value of SEER, in Btu's per watt-
hour, determined in paragraph (a)(1)(iii)(A)(2) of this section;
    (2) The estimated number of regional cooling load hours per year 
determined from Table 21 in section 4.3.2 of appendix M or Table 20 in 
section 4.3.2 of appendix M1, as applicable, to subpart B of part 430;
    (3) A conversion factor of 0.001 kilowatts per watt; and
    (4) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (G) Determine the represented value of estimated regional annual 
operating cost for air-source heat pumps that provide only heating or 
for the heating

[[Page 69338]]

portion of the estimated regional annual operating cost for air-source 
heat pumps that provide both heating and cooling as follows:
    (1) When using Appendix M to subpart B of Part 430, the product of:
    (i) The estimated number of regional heating load hours per year 
determined from Table 21 in section 4.3.2 of appendix M to subpart B of 
part 430;
    (ii) The quotient of the mean of the standardized design heating 
requirement for the sample, in Btu's per hour, for the appropriate 
generalized climatic region of interest (i.e., corresponding to the 
regional heating load hours from ``A'') and determined for each unit in 
the sample in section 4.2 of appendix M to subpart B of Part 430, 
divided by the represented value of HSPF, in Btu's per watt-hour, 
calculated for the appropriate generalized climatic region of interest 
and corresponding to the above-mentioned standardized design heating 
requirement, and determined in paragraph (a)(1)(iii)(A)(2);
    (iii) The adjustment factor of 0.77; which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (iv) A conversion factor of 0.001 kilowatts per watt; and
    (v) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act; 
and
    (2) When using Appendix M1 to subpart B of Part 430, the product 
of:
    (i) The estimated number of regional heating load hours per year 
determined from Table 20 in section 4.2 of appendix M1 to subpart B of 
Part 430;
    (ii) The quotient of the represented value of cooling capacity (for 
air-source heat pumps that provide both cooling and heating) in Btu's 
per hour, as determined in section (a)(1)(iii)(A)(3), or the 
represented value of heating capacity (for air-source heat pumps that 
provide only heating), as determined in section (a)(1)(iii)(A)(4), 
divided by the represented value of HSPF, in Btu's per watt-hour, 
calculated for the appropriate generalized climatic region of interest, 
and determined in (a)(1)(iii)(A)(2);
    (iii) The adjustment factor of 1.30, which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (iv) A conversion factor of 0.001 kilowatts per watt; and
    (v) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (H) For air-source heat pumps that provide both heating and 
cooling, the estimated regional annual operating cost is the sum of the 
quantity determined in paragraph (a)(1)(iii)(F) of this section added 
to the quantity determined in paragraph (a)(1)(iii)(G) of this section.
    (I) The cooling mode efficiency measure for cooling-only units and 
for air-source heat pumps that provide cooling is the represented value 
of the SEER, in Btu's per watt-hour, pursuant to paragraph 
(a)(1)(iii)(A)(2) of this section.
    (J) The heating mode efficiency measure for air-source heat pumps 
is the represented value of the HSPF, in Btu's per watt-hour for each 
applicable standardized design heating requirement within each climatic 
region, pursuant to paragraph (a)(1)(iii)(A)(2) of this section.
    (K) Round represented values of estimated annual operating cost to 
the nearest dollar per year. Round represented values of EER, SEER, 
HSPF, and APF to the nearest 0.05. Round represented values of off-mode 
power consumption, pursuant to paragraph (a)(1)(iii)(A)(1) to the 
nearest watt.
    (2) Units not required to be tested.
    (i) For basic models rated by ICMs and single-split-system air 
conditioners, split-system heat pumps, space-constrained split-system 
heat pumps, and space-constrained split-system air conditioners. For 
every individual combination within a basic model other than the 
individual combination required to be tested pursuant to paragraph 
(a)(1)(ii) of this section, either:
    (A) A sample of sufficient size, comprised of production units or 
representing production units, must be tested as complete systems with 
the resulting ratings for the combination obtained in accordance with 
paragraphs (a)(1)(i) and (iii) of this section; or
    (B) The representative values of the measures of energy efficiency 
must be assigned through the application of an AEDM in accordance with 
paragraph (a)(3) of this section and Sec.  429.70. An AEDM may only be 
used to rate individual combinations in a basic model other than the 
combination required for mandatory testing under paragraph (a)(1)(ii) 
of this section. No basic model may be rated with an AEDM.
    (ii) For multi-split systems, multi-circuit systems, and single-
zone-multiple-coil systems. The following applies:
    (A) For basic models composed of both non-ducted and short-ducted 
units, the represented value for the mixed non-ducted/short-ducted 
combination is the mean of the represented values for the non-ducted 
and short-ducted combinations as determined in accordance with 
paragraph (a)(1)(iii)(A) of this section.
    (B) All other individual combinations of models of indoor units for 
the same model of outdoor unit for which the manufacturer chooses to 
make representations must be rated as a different basic model, and the 
provisions of (a)(1)(i) through (a)(1)(iii) and (a)(2)(ii)(A) of this 
section apply.
    (3) Alternative efficiency determination methods. In lieu of 
testing, represented values of efficiency or consumption may be 
determined through the application of an AEDM pursuant to the 
requirements of Sec.  429.70 and the provisions of this section.
    (i) Power or energy consumption. Any represented value of the 
average off mode power consumption or other measure of energy 
consumption of an individual combination for which consumers would 
favor lower values must be greater than or equal to the output of the 
AEDM.
    (ii) Energy efficiency. Any represented value of the SEER, EER, 
HSPF or other measure of energy efficiency of an individual combination 
for which consumers would favor higher values must be less than or 
equal to the output of the AEDM.
    (b) Limitations. The following section explains the limitations for 
certification of models.
    (1) Regional. Any model of outdoor unit that is certified in a 
combination that does not meet all regional standards cannot also be 
certified in a combination that meets the regional standard(s). Outdoor 
unit model numbers cannot span regions unless the model of outdoor unit 
is compliant with all standards in all possible combinations. If a 
model of outdoor unit is certified below a regional standard, then it 
must have a unique individual model number for distribution in each 
region.
    (2) Multiple product classes. Models of outdoor units that are 
rated and distributed in combinations that span multiple product 
classes must be tested and certified pursuant to paragraph (a) as 
compliant with the applicable standard for each product class.
    (c) Certification reports. This paragraph specifies the information 
that must be included in a certification report.
    (1) General. The requirements of Sec.  429.12 apply to central air 
conditioners and heat pumps.
    (2) Public product-specific information. Pursuant to Sec.  
429.12(b)(13), for each basic model (for single-package systems) or 
individual combination (for split-systems), a certification report

[[Page 69339]]

must include the following public product-specific information: The 
seasonal energy efficiency ratio (SEER in British thermal units per 
Watt-hour (Btu/W-h)); the average off mode power consumption 
(PW,OFF in Watts); the cooling capacity in British thermal 
units per hour (Btu/h); the sensible heat ratio calculated based on 
full-load cooling conditions at the outdoor ambient conditions of 82 
[deg]F dry bulb and 65 [deg]F wet bulb; and
    (i) For heat pumps, the heating seasonal performance factor (HSPF 
in British thermal units per Watt-hour (Btu/W-h));
    (ii) For air conditioners (excluding space constrained), the energy 
efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-
h));
    (iii) For single-split-system equipment, whether the rating is for 
a coil-only or blower coil system; and
    (iv) For multi-split, multiple-circuit, and single-zone-multiple-
coil systems (including VRF), whether the rating is for a non-ducted, 
short-ducted, SDHV, or mixed non-ducted and short-ducted system.
    (3) Basic and individual model numbers. The basic model number and 
individual model number(s) required to be reported under Sec.  
429.12(b)(6) must consist of the following:

----------------------------------------------------------------------------------------------------------------
                                                                        Individual model No(s).
         Equipment type             Basic model No.  -----------------------------------------------------------
                                                               1                   2                   3
----------------------------------------------------------------------------------------------------------------
Single Package..................  Number unique to    Package...........  N/A...............  N/A.
                                   the basic model.
Split System (rated by OUM).....  Number unique to    Outdoor Unit......  Indoor Unit(s)....  Air Mover (or N/A
                                   the basic model.                                            if rating coil-
                                                                                               only system or
                                                                                               fan is part of
                                                                                               indoor unit model
                                                                                               number).
Outdoor Unit Only...............  Number unique to    Outdoor Unit......  N/A...............  N/A.
                                   the basic model.
Split-System or SDHV (rated by    Number unique to    Outdoor Unit......  Indoor Unit(s)....  N/A.
 ICM).                             the basic model.
----------------------------------------------------------------------------------------------------------------

    (4) Additional product-specific information. Pursuant to Sec.  
429.12(b)(13), for each individual model/combination, a certification 
report must include the following additional product-specific 
information: The cooling full load air volume rate for the system or 
for each indoor unit as applicable (in cubic feet per minute (cfm)); 
the air volume rates for other test conditions including minimum 
cooling air volume rate, intermediate cooling air volume rate, full 
load heating air volume rate, minimum heating air volume rate, 
intermediate heating air volume rate, and nominal heating air volume 
rate (cfm) for the system or for each indoor unit as applicable, if 
different from the cooling full load air volume rate; whether the 
individual model uses a fixed orifice, thermostatic expansion valve, 
electronic expansion valve, or other type of metering device; the 
duration of the compressor break-in period, if used; the Cc value used 
to represent cooling mode cycling losses; the temperatures at which the 
crankcase heater with controls is designed to turn on and designed to 
turn off for the heating season, if applicable; the duration of the 
crankcase heater time delay for the shoulder season and heating season, 
if such time delay is employed; the maximum time between defrosts as 
allowed by the controls (in hours); whether an inlet plenum was 
installed during testing; and
    (i) For heat pumps, the Ch value used;
    (ii) For multi-split, multiple-circuit, and single-zone-multiple-
coil systems, the number of indoor units tested with the outdoor unit; 
the nominal cooling capacity of each indoor unit and outdoor unit in 
the combination; and the indoor units that are not providing heating or 
cooling for part-load tests;
    (iii) For ducted systems having multiple indoor fans within a 
single indoor unit, the number of indoor fans; the nominal cooling 
capacity of the indoor unit and outdoor unit; which fan(s) are 
operating to attain the full-load air volume rate when controls limit 
the simultaneous operation of all fans within the single indoor unit; 
and the allocation of the full-load air volume rate to each operational 
fan when different capacity blowers are connected to the common duct;
    (iv) For models tested with an indoor blower installed, the 
airflow-control settings associated with full load cooling operation; 
and the airflow-control settings or alternative instructions for 
setting fan speed to the speed upon which the rating is based;
    (v) For models with time-adaptive defrost control, the frosting 
interval to be used during Frost Accumulation tests and the procedure 
for manually initiating the defrost at the specified time;
    (vi) For models of indoor units designed for both horizontal and 
vertical installation or for both up-flow and down-flow vertical 
installations, the orientation used for testing;
    (vii) For variable speed units, the compressor frequency set 
points, and the required dip switch/control settings for step or 
variable components; and
    (viii) For variable speed heat pumps, whether the unit controls 
restrict use of minimum compressor speed operation for some range of 
operating ambient conditions, whether the unit controls restrict use of 
maximum compressor speed operation for any ambient temperatures below 
17 [deg]F, and whether the optional H42 low temperature test 
was used to characterize performance at temperatures below 17 [deg]F.
    (d) Alternative efficiency determination methods. Alternative 
methods for determining efficiency or energy use for central air 
conditioners and heat pumps can be found in Sec.  429.70(e) of this 
subpart.
0
4. Amend Sec.  429.70 by revising paragraph (e) to read as follows:


Sec.  429.70  Alternative methods for determining energy efficiency or 
energy use.

* * * * *
    (e) Alternate Efficiency Determination Method (AEDM) for central 
air conditioners and heat pumps. This paragraph sets forth the 
requirements for a manufacturer to use an AEDM to rate central air 
conditioners and heat pumps
    (1) Criteria an AEDM must satisfy. A manufacturer may not apply an 
AEDM to an individual combination to determine its certified ratings 
(SEER, EER, HSPF, and/or PW,OFF) pursuant to this section 
unless authorized pursuant to Sec.  429.16(a)(2) and:
    (i) The AEDM is derived from a mathematical model that estimates 
the energy efficiency or energy

[[Page 69340]]

consumption characteristics of the individual combination (SEER, EER, 
HSPF, and/or PW,OFF) as measured by the applicable DOE test 
procedure; and
    (ii) The manufacturer has validated the AEDM in accordance with 
paragraph (e)(2) of this section and using individual combinations that 
meet the current Federal energy conservation standards.
    (2) Validation of an AEDM. Before using an AEDM, the manufacturer 
must validate the AEDM's accuracy and reliability as follows:
    (i) The manufacturer must complete testing of each basic model as 
required under Sec.  429.16(a)(1)(ii). Using the AEDM, calculate the 
energy use or efficiency for each of the tested individual combinations 
within each basic model. Compare the rating based on testing and the 
AEDM energy use or efficiency output according to paragraph (e)(2)(ii) 
of this section. The manufacturer is responsible for ensuring the 
accuracy and reliability of the AEDM.
    (ii) Individual combination tolerances. This paragraph provides the 
tolerances applicable to individual combinations rated using an AEDM.
    (A) For an energy-efficiency metric, the predicted efficiency for 
each individual combination calculated by applying the AEDM may not be 
more than three percent greater than the efficiency determined from the 
corresponding test of the combination.
    (B) For an energy-consumption metric, the predicted energy 
consumption for each individual combination, calculated by applying the 
AEDM, may not be more than three percent less than the energy 
consumption determined from the corresponding test of the combination.
    (C) The predicted energy efficiency or consumption for each 
individual combination calculated by applying the AEDM must meet or 
exceed the applicable federal energy conservation standard.
    (iii) Additional test unit requirements. Each test must have been 
performed in accordance with the DOE test procedure applicable at the 
time the individual combination being rated with the AEDM is 
distributed in commerce.
    (3) AEDM records retention requirements. If a manufacturer has used 
an AEDM to determine representative values pursuant to this section, 
the manufacturer must have available upon request for inspection by the 
Department records showing:
    (i) The AEDM, including the mathematical model, the engineering or 
statistical analysis, and/or computer simulation or modeling that is 
the basis of the AEDM;
    (ii) Product information, complete test data, AEDM calculations, 
and the statistical comparisons from the units tested that were used to 
validate the AEDM pursuant to paragraph (e)(2) of this section; and
    (iii) Product information and AEDM calculations for each individual 
combination certified using the AEDM.
    (4) Additional AEDM requirements. If requested by the Department 
and at DOE's discretion, the manufacturer must perform at least one of 
the following:
    (i) Conduct simulations before representatives of the Department to 
predict the performance of particular individual combinations; or
    (ii) Provide analyses of previous simulations conducted by the 
manufacturer; or
    (iii) Conduct certification testing of individual combinations 
selected by the Department.
    (5) AEDM verification testing. DOE may use the test data for a 
given individual combination generated pursuant to Sec.  429.104 to 
verify the certified rating determined by an AEDM as long as the 
following process is followed:
    (i) Selection of units. DOE will obtain one or more units for test 
from retail, if available. If units cannot be obtained from retail, DOE 
will request that a unit be provided by the manufacturer;
    (ii) Lab requirements. DOE will conduct testing at an independent, 
third-party testing facility of its choosing. In cases where no third-
party laboratory is capable of testing the equipment, testing may be 
conducted at a manufacturer's facility upon DOE's request.
    (iii) Testing. At no time during verification testing may the lab 
and the manufacturer communicate without DOE authorization. If during 
test set-up or testing, the lab indicates to DOE that it needs 
additional information regarding a given individual combination in 
order to test in accordance with the applicable DOE test procedure, DOE 
may organize a meeting between DOE, the manufacturer and the lab to 
provide such information.
    (iv) Failure to meet certified rating. If an individual combination 
tests worse than its certified rating (i.e., lower than the certified 
efficiency rating or higher than the certified consumption rating) by 
more than 5%, or the test results in a different cooling capacity than 
its certified cooling capacity by more than 5%, DOE will notify the 
manufacturer. DOE will provide the manufacturer with all documentation 
related to the test set up, test conditions, and test results for the 
unit. Within the timeframe allotted by DOE, the manufacturer:
    (A) May present any and all claims regarding testing validity; and
    (B) If not on site for the initial test set-up, must test at least 
one additional unit of the same combination obtained from a retail 
source at its own expense, following the test requirements in Sec.  
429.110(a)(3). When testing at an independent lab, the manufacturer may 
choose to have DOE and the manufacturer present.
    (v) Tolerances. This subparagraph specifies the tolerances DOE will 
permit when conducting verification testing.
    (A) For consumption metrics, the result from a DOE verification 
test must be less than or equal to 1.05 multiplied by the certified 
rating.
    (B) For efficiency metrics, the result from a DOE verification test 
must be greater than or equal to 1.05 multiplied by the certified 
rating.
    (vi) Invalid rating. If, following discussions with the 
manufacturer and a retest where applicable, DOE determines that the 
verification testing was conducted appropriately in accordance with the 
DOE test procedure, DOE will issue a determination that the ratings for 
the basic model are invalid. The manufacturer must conduct additional 
testing and re-rate and re-certify the individual combinations within 
the basic model that were rated using the AEDM based on all test data 
collected, including DOE's test data.
    (vii) AEDM use. This subparagraph specifies when a manufacturer's 
use of an AEDM may be restricted due to prior invalid ratings.
    (A) If DOE has determined that a manufacturer made invalid ratings 
on individual combinations within two or more basic models rated using 
the manufacturer's AEDM within a 24 month period, the manufacturer must 
test the least efficient and most efficient combination within each 
basic model in addition to the combination specified in Sec.  
429.16(a)(1)(ii). The twenty-four month period begins with a DOE 
determination that a rating is invalid through the process outlined 
above.
    (B) If DOE has determined that a manufacturer made invalid ratings 
on more than four basic models rated using the manufacturer's AEDM 
within a 24-month period, the manufacturer may no longer use an AEDM.
    (C) If a manufacturer has lost the privilege of using an AEDM, the 
manufacturer may regain the ability to use an AEDM by:
    (1) Investigating and identifying cause(s) for failures;

[[Page 69341]]

    (2) Taking corrective action to address cause(s);
    (3) Performing six new tests per basic model, a minimum of two of 
which must be performed by an independent, third-party laboratory from 
units obtained from retail to validate the AEDM; and
    (4) Obtaining DOE authorization to resume use of an AEDM.
* * * * *
0
5. Amend Sec.  429.134 by adding paragraph (g) to read as follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (g) Central air conditioners and heat pumps.--(1) Verification of 
cooling capacity. The cooling capacity of each tested unit of the basic 
model (for single package systems) or individual combination (for 
split-systems) will be measured pursuant to the test requirements of 
Sec.  430.23(m). The results of the measurement(s) will be compared to 
the value of cooling capacity certified by the manufacturer.
    (i) If the measurement(s) (either the measured cooling capacity for 
a single unit sample or the average of the measured cooling capacities 
for a multiple unit sample) is less than or equal to 1.05 multiplied by 
the certified cooling capacity and greater than or equal to 0.95 
multiplied by the certified cooling capacity, the certified cooling 
capacity will be used as the basis for determining SEER.
    (ii) Otherwise, the measurement(s) (either the measured cooling 
capacity for a single unit sample or the average of the measured 
cooling capacities for a multiple unit sample, as applicable) will be 
used as the basis for determining SEER.
    (2) Verification of CD value--(i) For central air conditioners and 
heat pumps other than models of outdoor units with no match, the Cc 
and/or Ch value of the basic model (for single package systems) or 
individual combination (for split-systems), as applicable, will be 
measured pursuant to the test requirements of Sec.  430.23(m) for each 
unit tested. The results of the measurement(s) for each Cc or Ch value 
will be compared to the Cc or Ch value certified by the manufacturer.
    (A) If the results of the measurement(s) (either the measured value 
for a single unit sample or the average of the measured values for a 
multiple unit sample) is 0.02 or more greater than the certified Cc or 
Ch value, the average measured Cc or Ch value will serve as the basis 
for calculation of SEER or HSPF for the basic model/individual 
combination.
    (B) For all other cases, the certified Cc or Ch value will be used 
as the basis for calculation of SEER or HSPF for the basic model/
individual combination.
    (ii) For models of outdoor units with no match, or for tests in 
which the criteria for the cyclic test in 10 CFR part 430, subpart B, 
Appendix M or M1, as applicable, section 3.5e, cannot be achieved, DOE 
will use the default Cc and/or Ch value pursuant to 10 CFR part 430.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
6. The authority citation for part 430 continues to read as follows:

    Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.

0
7. Section 430.2 is amended by:
0
a. Removing the definitions of ``ARM/simulation adjustment factor,'' 
``coil family,'' ``condenser-evaporator coil combination'', 
``condensing unit,'' ``evaporator coil'', ``heat pump,'' ``indoor 
unit,'' ``outdoor unit,'' ``small duct, high velocity system,'' and 
``tested combination;'' and
0
b. Revising the definitions of ``basic model;'' and ``central air 
conditioner'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer; having the same 
primary energy source; and, which have essentially identical 
electrical, physical, and functional (or hydraulic) characteristics 
that affect energy consumption, energy efficiency, water consumption, 
or water efficiency; and
    (1) With respect to general service fluorescent lamps, general 
service incandescent lamps, and incandescent reflector lamps: Lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt (lm/W) and color rendering 
index (CRI).
    (2) With respect to faucets and showerheads: Have the identical 
flow control mechanism attached to or installed within the fixture 
fittings, or the identical water-passage design features that use the 
same path of water in the highest flow mode.
    (3) With respect to furnace fans: Are marketed and/or designed to 
be installed in the same type of installation; and
    (4) With respect to central air conditioners and central air 
conditioning heat pumps:
    (i) Essentially identical electrical, physical, and functional (or 
hydraulic) characteristics means:
    (A) For split-systems manufactured by independent coil 
manufacturers (ICMs) and for small-duct, high velocity systems: All 
individual combinations having the same model of indoor unit, which 
means the same or comparably performing indoor coil(s) [same face area; 
fin material, depth, style (e.g., wavy, louvered), and density (fins 
per inch); tube pattern, material, diameter, wall thickness, and 
internal enhancement], indoor blower(s) [same air flow with the same 
indoor coil and external static pressure, same power input], auxiliary 
refrigeration system components if present (e.g., expansion valve), and 
controls.
    (B) for split-systems manufactured by outdoor unit manufacturers 
(OUMs): All individual combinations having the same model of outdoor 
unit, which means the same or comparably performing compressor(s) [same 
displacement rate (volume per time) and same capacity and power input 
when tested under the same operating conditions], outdoor coil(s) [same 
face area; fin material, depth, style (e.g., wavy, louvered), and 
density (fins per inch); tube pattern, material, diameter, wall 
thickness, and internal enhancement], outdoor fan(s) [same air flow 
with the same outdoor coil, same power input], auxiliary refrigeration 
system components if present (e.g., suction accumulator, reversing 
valve, expansion valve), and controls.
    (C) for single-package models: All individual models having the 
same or comparably performing compressor(s) [same displacement rate 
(volume per time) and same capacity and power input when tested under 
the same operating conditions], outdoor coil(s) and indoor coil(s) 
[same face area; fin material, depth, style (e.g., wavy, louvered), and 
density (fins per inch); tube pattern, material, diameter, wall 
thickness, and internal enhancement], outdoor fan(s) [same air flow 
with the same outdoor coil, same power input], indoor blower(s) [same 
air flow with the same indoor coil and external static pressure, same 
power input], auxiliary refrigeration system components if present 
(e.g. suction accumulator, reversing valve, expansion valve), and 
controls.
    (ii) For single-split-system and single-package models, 
manufacturers may instead choose to make each individual combination or 
model its own basic model provided the testing and rating requirements 
in 10 CFR 429.16 are met.
    (iii) For multi-split, multi-circuit, and single-zone-multiple-coil 
models, a

[[Page 69342]]

basic model may not include both individual SDHV combinations and non-
SDHV combinations even when they include the same model of outdoor 
unit. The manufacturer may choose to identify specific individual 
combinations as additional basic models.
* * * * *
    Central air conditioner or central air conditioning heat pump means 
a product, other than a packaged terminal air conditioner or packaged 
terminal heat pump, which is powered by single phase electric current, 
air cooled, rated below 65,000 Btu per hour, not contained within the 
same cabinet as a furnace, the rated capacity of which is above 225,000 
Btu per hour, and is a heat pump or a cooling unit only. A central air 
conditioner or central air conditioning heat pump may consist of: A 
single-package unit; an outdoor unit and one or more indoor units; an 
indoor unit only; or an outdoor unit only. In the case of an indoor 
unit only or an outdoor unity only, the unit must be tested and rated 
as a system (combination of both an indoor and an outdoor unit). For 
all central air conditioner and central air conditioning heat pump-
related definitions, see appendices M or M1 of subpart B of this part.
0
8. Section 430.3 is amended by:
0
a. Revising paragraphs (c)(1) and (g)(2);
0
b. Adding paragraphs (c)(3) and (c)(4);
0
c. Removing paragraphs (g)(3);
0
d. Redesignating paragraphs (g)(4) through (g)(14) as (g)(3) through 
(g)(13); and
0
e. Revising newly redesignated (g)(3) through (g)(9).
    The revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (c) * * *
    (1) AHRI 210/240-2008 with Addendums 1 and 2 (formerly ARI Standard 
210/240), Performance Rating of Unitary Air-Conditioning & Air-Source 
Heat Pump Equipment, sections 6.1.3.2, 6.1.3.4, 6.1.3.5 and figures D1, 
D2, D4, approved by ANSI December, 2012, IBR approved for appendix M 
and M1 to subpart B.
* * * * *
    (3) ANSI/AHRI 1230-2010 with Addendum 2, Performance Rating of 
Variable Refrigerant Flow Multi-Split Air-Conditioning and Heat Pump 
Equipment, sections 3 (except 3.8, 3.9, 3.13, 3.14, 3.15, 3.16, 3.23, 
3.24, 3.26, 3.27, 3.28, 3.29, 3.30, and 3.31), 5.1.3, 5.1.4, 6.1.5 
(except Table 8), 6.1.6, and 6.2, approved August 2, 2010, Addendum 2 
dated June 2014, IBR approved for appendices M and M1 to subpart B.
    (4) AHRI 210/240-Draft, Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment, appendix E, section E4, 
Docket No. EERE-2009-BT-TP-0004 No. 45.
* * * * *
    (g) * * *
    (2) ASHRAE 23.1-2010, Methods of Testing for Rating the Performance 
of Positive Displacement Refrigerant Compressors and Condensing Units 
that Operate at Subcritical Temperatures of the Refrigerant, sections 
5, 6, 7, and 8 only, approved January 28, 2010, IBR approved for 
appendices M and M1 to subpart B.
    (3) ASHRAE 37-2009, Methods of Testing for Rating Electrically 
Driven Unitary Air-Conditioning and Heat Pump Equipment, approved June 
25, 2009, IBR approved for appendix AA subpart to B. Sections 5.1.1, 
5.2, 5.5.1, 6.1.1, 6.1.2, 6.1.4, 6.4, 6.5, 7.3, 7.4, 7.5, 7.7.2.1, 
7.7.2.2, 8.1.2, 8.1.3, 8.2, 8.6.2; figures 1, 2, 4, 7a, 7b, 7c, 8; and 
table 3 only IBR approved for appendices M and M1 to subpart B.
* * * * *
    (4) ASHRAE 41.1-1986 (Reaffirmed 2006), Standard Method for 
Temperature Measurement, approved February 18, 1987, IBR approved for 
appendices E and AA to subpart B.
    (5) ASHRAE 41.1-2013, Standard Method for Temperature Measurement, 
approved January 30, 2013, IBR approved for appendix X1 to subpart B. 
Sections 4, 5, 6, 7.2, and 7.3 only, IBR approved for appendices M and 
M1 to subpart B.
    (6) ASHRAE 41.2-1987 (Reaffirmed 1992), Standard Methods for 
Laboratory Airflow Measurement, section 5.2.2 and figure 14, approved 
October 1, 1987, IBR approved for appendices M and M1 to subpart B.
    (7) ASHRAE 41.6-2014, Standard Method for Humidity Measurement, 
sections 4, 5, 6, and 7.1, approved July 3, 2014, sections 4, 5, 6, and 
7 only IBR approved for appendices M and M1 to subpart B.
    (8) ASHRAE 41.9-2011, Standard Methods for Volatile-Refrigerant 
Mass Flow Measurements Using Calorimeters, approved February 3, 2011, 
sections 5, 6, 7, 8, 9, and 11 only IBR approved for appendices M and 
M1 to subpart B.
    (9) ASHRAE/AMCA 51-07/210-07, Laboratory Methods of Testing Fans 
for Certified Aerodynamic Performance Rating, figures 2A and 12, 
approved August 17, 2007, IBR approved for appendices M and M1 to 
subpart B.
* * * * *
0
9. Section 430.23 is amended by revising paragraph (m) to read as 
follows:


Sec.  430.23  Test procedures for the measurement of energy and water 
consumption.

* * * * *
    (m) Central air conditioners and heat pumps. See the note at the 
beginning of appendix M and M1 to determine the appropriate test 
method. All values discussed in this section must be determined using a 
single appendix.
    (1) Cooling capacity must be determined from the steady-state wet-
coil test (A or A2 Test), as described in section 3.2 of appendix M or 
M1 to this subpart, and rounded off to the nearest (i) to the nearest 
50 Btu/h if cooling capacity is less than 20,000 Btu/h, (ii) to the 
nearest 100 Btu/h if cooling capacity is greater than or equal to 
20,000 Btu/h but less than 38,000 Btu/h, and (iii) to the nearest 250 
Btu/h if cooling capacity is greater than or equal to 38,000 Btu/h and 
less than 65,000 Btu/h.
    (2) Seasonal energy efficiency ratio (SEER) must be determined from 
section 4.1 of appendix M or M1 to this subpart, and rounded off to the 
nearest 0.025 Btu/W-h.
    (3) When representations are made of energy efficiency ratio (EER), 
EER must be determined in section 4.7 of appendix M or M1 to this 
subpart, and rounded off to the nearest 0.025 Btu/W-h.
    (4) Heating seasonal performance factors (HSPF) must be determined 
in section 4.2 of appendix M or M1 to this subpart, and rounded off to 
the nearest 0.025 Btu/W-h.
    (5) Average off mode power consumption must be determined according 
to section 4.3 of appendix M or M1 to this subpart, and rounded off to 
the nearest 0.5 W.
    (6) Sensible heat ratio (SHR) must be determined according to 
section 4.6 of appendix M or M1 to this subpart, and rounded off to the 
nearest 0.5 percent (%).
    (7) All other measures of energy efficiency or consumption or other 
useful measures of performance must be determined using appendix M or 
M1 of this subpart.
* * * * *
0
10. Revise appendix M to subpart B of part 430 to read as follows:

[[Page 69343]]

APPENDIX M TO SUBPART B OF PART 430--UNIFORM TEST METHOD FOR MEASURING 
THE ENERGY CONSUMPTION OF CENTRAL AIR CONDITIONERS AND HEAT PUMPS

    Note: Prior to May 9, 2016, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of central air conditioners and central air 
conditioning heat pumps must be based on the results of testing 
pursuant to either this appendix or the procedures in Appendix M as 
it appeared at 10 CFR part 430, subpart B, Appendix M, in the 10 CFR 
parts 200 to 499 edition revised as of January 1, 2015. Any 
representations made with respect to the energy use or efficiency of 
such central air conditioners and central air conditioning heat 
pumps must be in accordance with whichever version is selected.

    On or after May 9, 2016 and prior to the compliance date for any 
amended energy conservation standards, any representations, including 
compliance certifications, made with respect to the energy use, power, 
or efficiency of central air conditioners and central air conditioning 
heat pumps must be based on the results of testing pursuant to this 
appendix.
    On or after the compliance date for any amended energy conservation 
standards, any representations, including compliance certifications, 
made with respect to the energy use, power, or efficiency of central 
air conditioners and central air conditioning heat pumps must be based 
on the results of testing pursuant to appendix M1 of this subpart.

1. Scope and Definitions

    1.1 Scope.
    This test procedure provides a method of determining SEER, EER, 
HSPF and PW,OFF for central air conditioners and central 
air conditioning heat pumps including the following categories:

    (a) Split-system air conditioners; and single-zone-multiple-
coil, multi-split (including VRF), and multi-circuit systems
    (b) Split-system heat pumps and single-zone-multiple-coil, 
multi-split (including VRF), and multi-circuit systems
    (c) Single-package air conditioners
    (d) Single-package heat pumps
    (e) Small-duct, high-velocity systems (including VRF)
    (f) Space-constrained products--air conditioners
    (g) Space-constrained products--heat pumps

    For purposes of this appendix, the Department of Energy 
incorporates by reference specific sections of several industry 
standards, as listed in Sec.  430.3. In cases where there is a 
conflict, the language of the test procedure in this appendix takes 
precedence over the incorporated standards.
    All section references refer to sections within this appendix 
unless otherwise stated.
    1.2 Definitions.
    Airflow-control settings are programmed or wired control system 
configurations that control a fan to achieve discrete, differing 
ranges of airflow--often designated for performing a specific 
function (e.g., cooling, heating, or constant circulation)--without 
manual adjustment other than interaction with a user-operable 
control (i.e., a thermostat) that meets the manufacturer 
specifications for installed-use. For the purposes of this appendix, 
manufacturer specifications for installed-use are those found in the 
product literature shipped with the unit.
    Airflow prevention device denotes a device(s) that prevents 
airflow via natural convection by mechanical means, such as an air 
damper box, or by means of changes in duct height, such as an 
upturned duct.
    Annual performance factor means the total heating and cooling 
done by a heat pump in a particular region in one year divided by 
the total electric energy used in one year.
    Blower coil indoor unit means the indoor unit of a split-system 
central air conditioner or heat pump that includes a refrigerant-to-
air heat exchanger coil, may include a cooling-mode expansion 
device, and includes either an indoor blower housed with the coil or 
a separate designated air mover such as a furnace or a modular 
blower (as defined in Appendix AA to the subpart). Blower coil 
system refers to a split-system that includes one or more blower 
coil indoor units.
    CFR means Code of Federal Regulations.
    Coefficient of Performance (COP) means the ratio of the average 
rate of space heating delivered to the average rate of electrical 
energy consumed by the heat pump. These rate quantities must be 
determined from a single test or, if derived via interpolation, must 
be determined at a single set of operating conditions. COP is a 
dimensionless quantity. When determined for a ducted unit tested 
without an indoor blower installed, COP must include the section 3.7 
and 3.9.1 default values for the heat output and power input of a 
fan motor.
    Coil-only indoor unit means the indoor unit of a split-system 
central air conditioner or heat pump that includes a refrigerant-to-
air heat exchanger coil and may include a cooling-mode expansion 
device, but does not include an indoor blower housed with the coil, 
and does not include a separate designated air mover such as a 
furnace or a modular blower (as defined in Appendix AA to this 
subpart. A coil-only indoor unit is designed to use a separately-
installed furnace or a modular blower for indoor air movement. Coil-
only system refers to a system that includes one or more coil-only 
indoor units.
    Condensing unit removes the heat absorbed by the refrigerant to 
transfer it to the outside environment, and which consists of an 
outdoor coil, compressor(s), and air moving device.
    Constant-air-volume-rate indoor blower means a fan that varies 
its operating speed to provide a fixed air-volume-rate from a ducted 
system.
    Continuously recorded, when referring to a dry bulb measurement, 
dry bulb temperature used for test room control, wet bulb 
temperature, dew point temperature, or relative humidity 
measurements, means that the specified value must be sampled at 
regular intervals that are equal to or less than 5 seconds
    Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating 
interval consisting of one ON period and one OFF period. The 
denominator is the total cooling that would be delivered, given the 
same ambient conditions, had the unit operated continuously at its 
steady-state, space-cooling capacity for the same total time (ON + 
OFF) interval.
    Crankcase heater means any electrically powered device or 
mechanism for intentionally generating heat within and/or around the 
compressor sump volume often done to minimize the dilution of the 
compressor's refrigerant oil by condensed refrigerant. Crankcase 
heater control may be achieved using a timer or may be based on a 
change in temperature or some other measurable parameter, such that 
the crankcase heater is not required to operate continuously. A 
crankcase heater without controls operates continuously when the 
compressor is not operating.
    Cyclic Test means a test where the unit's compressor is cycled 
on and off for specific time intervals. A cyclic test provides half 
the information needed to calculate a degradation coefficient.
    Damper box means a short section of duct having an air damper 
that meets the performance requirements of section 2.5.7.
    Degradation coefficient (CD) means a parameter used 
in calculating the part load factor. The degradation coefficient for 
cooling is denoted by CDc. The degradation 
coefficient for heating is denoted by CDh.
    Demand-defrost control system means a system that defrosts the 
heat pump outdoor coil only when measuring a predetermined 
degradation of performance. The heat pump's controls monitor one or 
more parameters that always vary with the amount of frost 
accumulated on the outdoor coil (e.g., coil to air differential 
temperature, coil differential air pressure, outdoor fan power or 
current, optical sensors) at least once for every ten minutes of 
compressor ON-time when space heating. One acceptable alternative to 
the criterion given in the prior sentence is a feedback system that 
measures the length of the defrost period and adjusts defrost 
frequency accordingly. In all cases, when the frost parameter(s) 
reaches a predetermined value, the system initiates a defrost. In a 
demand-defrost control system, defrosts are terminated based on 
monitoring a parameter(s) that indicates that frost has been 
eliminated from the coil. (Note: Systems that vary defrost intervals 
according to outdoor dry-bulb temperature are not demand-defrost 
systems.) A demand-defrost control system, which otherwise meets the 
above requirements, may allow time-initiated defrosts if, and only 
if, such defrosts occur after 6 hours of compressor operating time.
    Design heating requirement (DHR) predicts the space heating load 
of a residence when subjected to outdoor design conditions. 
Estimates for the minimum and maximum

[[Page 69344]]

DHR are provided for six generalized U.S. climatic regions in 
section 4.2.
    Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor coil is maintained low 
enough that no condensate forms on this coil.
    Ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and delivers 
conditioned air to the indoor space through a duct(s). The air 
conditioner or heat pump may be either a split-system or a single-
package unit.
    Energy efficiency ratio (EER) means the ratio of the average 
rate of space cooling delivered to the average rate of electrical 
energy consumed by the air conditioner or heat pump. These rate 
quantities must be determined from a single test or, if derived via 
interpolation, must be determined at a single set of operating 
conditions. EER is expressed in units of
[GRAPHIC] [TIFF OMITTED] TP09NO15.007

When determined for a ducted unit tested without an indoor blower 
installed, EER must include the section 3.3 and 3.5.1 default values 
for the heat output and power input of a fan motor.
    Evaporator coil absorbs heat from an enclosed space and 
transfers the heat to a refrigerant.
    Heat pump means a kind of central air conditioner, which 
consists of one or more assemblies, utilizing an indoor conditioning 
coil, compressor, and refrigerant-to-outdoor air heat exchanger to 
provide air heating, and may also provide air cooling, air 
dehumidifying, air humidifying, air circulating, and air cleaning.
    Heat pump having a heat comfort controller means equipment that 
regulates the operation of the electric resistance elements to 
assure that the air temperature leaving the indoor section does not 
fall below a specified temperature. This specified temperature is 
usually field adjustable. Heat pumps that actively regulate the rate 
of electric resistance heating when operating below the balance 
point (as the result of a second stage call from the thermostat) but 
do not operate to maintain a minimum delivery temperature are not 
considered as having a heat comfort controller.
    Heating load factor (HLF) means the ratio having as its 
numerator the total heating delivered during a cyclic operating 
interval consisting of one ON period and one OFF period. The 
denominator is the total heating that would be delivered, given the 
same ambient conditions, if the unit operated continuously at its 
steady-state space heating capacity for the same total time (ON plus 
OFF) interval.
    Heating season means the months of the year that require 
heating, e.g., typically, and roughly, October through April.
    Heating seasonal performance factor (HSPF) means the total space 
heating required during the space heating season, expressed in 
Btu's, divided by the total electrical energy consumed by the heat 
pump system during the same season, expressed in watt-hours. The 
HSPF used to evaluate compliance with the Energy Conservation 
Standards (see 10 CFR 430.32(c)) is based on Region IV, the minimum 
standardized design heating requirement, and the sampling plan 
stated in 10 CFR 429.16(a).
    Independent coil manufacturer (ICM) means a manufacturer that 
manufactures indoor units but does not manufacture single-package 
units or outdoor units.
    Indoor unit transfers heat between the refrigerant and the 
indoor air and consists of an indoor coil and casing and may include 
a cooling mode expansion device and/or an air moving device.
    Multiple-circuit (or multi-circuit) system means a split system 
that has one outdoor unit and that has two or more indoor units 
installed on two or more refrigeration circuits such that each 
refrigeration circuit serves a compressor and one and only one 
indoor unit, and refrigerant is not shared from circuit to circuit.
    Multiple-split (or multi-split) system means a split system that 
has one outdoor unit and two or more indoor coil-only or indoor 
blower coil units connected to its other component(s) with a single 
refrigerant circuit. The indoor units operate independently and can 
condition multiple zones in response to at least two indoor 
thermostats or temperature sensors. The outdoor unit operates in 
response to independent operation of the indoor units based on 
control input of multiple indoor thermostats or temperature sensors, 
and/or based on refrigeration circuit sensor input (e.g., suction 
pressure).
    Nominal capacity means the capacity that is claimed by the 
manufacturer in the product name plate. Nominal cooling capacity is 
approximate to the air conditioner cooling capacity tested at A or 
A2 condition. Nominal heating capacity is approximate to the heat 
pump heating capacity tested in H12 test (or the optional H1N test).
    Non-ducted system means a split-system central air conditioner 
or heat pump that is designed to be permanently installed and that 
directly heats or cools air within the conditioned space using one 
or more indoor units that are mounted on room walls and/or ceilings. 
The system may be of a modular design that allows for combining 
multiple outdoor coils and compressors to create one overall system.
    Normalized Gross Indoor Fin Surface (NGIFS) means the gross fin 
surface area of the indoor unit coil divided by the cooling capacity 
measured for the A or A2 Test whichever applies.
    Off-mode power consumption means the power consumption when the 
unit is connected to its main power source but is neither providing 
cooling nor heating to the building it serves.
    Off-mode season means, for central air conditioners, the 
shoulder season and the entire heating season; and for heat pumps, 
the shoulder season only.
    Outdoor unit transfers heat between the refrigerant and the 
outdoor air, and consists of an outdoor coil, compressor(s), an air 
moving device, and in addition for heat pumps, could include a 
heating mode expansion device, reversing valve, and defrost 
controls.
    Outdoor unit manufacturer (OUM) means a manufacturer of single-
package units, outdoor units, and/or both indoor units and outdoor 
units.
    Part-load factor (PLF) means the ratio of the cyclic energy 
efficiency ratio (coefficient of performance) to the steady-state 
energy efficiency ratio (coefficient of performance), where both 
energy efficiency ratios (coefficients of performance) are 
determined based on operation at the same ambient conditions.
    Seasonal energy efficiency ratio (SEER) means the total heat 
removed from the conditioned space during the annual cooling season, 
expressed in Btu's, divided by the total electrical energy consumed 
by the central air conditioner or heat pump during the same season, 
expressed in watt-hours.
    Short ducted system means a ducted split system whose one or 
more indoor sections produce greater than zero but no greater than 
0.1 inches (of water) of external static pressure when operated at 
the full-load air volume not exceeding 450 cfm per rated ton of 
cooling.
    Shoulder season means the months of the year in between those 
months that require cooling and those months that require heating, 
e.g., typically, and roughly, April through May, and September 
through October.
    Single-package unit means any central air conditioner or heat 
pump that has all major assemblies enclosed in one cabinet.
    Single-split-system means a split system that has one outdoor 
unit and that has one indoor coil-only or indoor blower coil unit 
connected to its other component(s) with a single refrigeration 
circuit.
    Single-zone-multiple-coil split system means a split system that 
has one outdoor unit and that has two or more indoor units connected 
with a single refrigeration circuit. The indoor units operate in 
unison in response to a single indoor thermostat.
    Small-duct, high-velocity system means a system that contains a 
blower and indoor coil combination that is designed for, and 
produces, at least 1.2 inches (of water) of external static pressure 
when operated at the full-load air volume rate of 220-350 cfm per 
rated ton of cooling. When applied in the field, uses high-velocity 
room outlets (i.e., generally greater than 1000 fpm) having less 
than 6.0 square inches of free area.
    Split system means any air conditioner or heat pump that has one 
or more of the major assemblies separated from the others. Split-
systems may be either blower coil systems or coil-only systems.
    Standard Air means dry air having a mass density of 0.075 lb/
ft\3\.
    Steady-state test means a test where the test conditions are 
regulated to remain as constant as possible while the unit operates 
continuously in the same mode.
    Temperature bin means the 5 [deg]F increments that are used to 
partition the outdoor dry-bulb temperature ranges of the cooling 
(>=65 [deg]F) and heating (<65 [deg]F) seasons.
    Test condition tolerance means the maximum permissible 
difference between the average value of the measured test parameter 
and the specified test condition.
    Test operating tolerance means the maximum permissible range 
that a measurement may vary over the specified test

[[Page 69345]]

interval. The difference between the maximum and minimum sampled 
values must be less than or equal to the specified test operating 
tolerance.
    Tested combination means a single-zone-multiple-coil, multi-
split, or multi-circuit system having the following features:
    (1) The system consists of one outdoor unit with one or more 
compressors matched with between two and five indoor units;
    (2) The indoor units shall:
    (i) Collectively, have a nominal cooling capacity greater than 
or equal to 95 percent and less than or equal to 105 percent of the 
nominal cooling capacity of the outdoor unit;
    (ii) Represent the highest sales volume model family that can 
meet the 95 percent nominal cooling capacity of the outdoor unit 
[Note: another indoor model family may be used if five indoor units 
from the highest sales volume model family do not provide sufficient 
capacity to meet the 95 percent threshold level].
    (iii) Individually not have a nominal cooling capacity greater 
than 50 percent of the nominal cooling capacity of the outdoor unit, 
unless the nominal cooling capacity of the outdoor unit is 24,000 
Btu/h or less;
    (iv) Operate at fan speeds consistent with manufacturer's 
specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement while able to produce the same external static pressure 
at the exit of each outlet plenum when connected in a manifold 
configuration as required by the test procedure.
    (vi) Where referenced, ``nominal cooling capacity'' is to be 
interpreted for indoor units as the highest cooling capacity listed 
in published product literature for 95 [deg]F outdoor dry bulb 
temperature and 80 [deg]F dry bulb, 67 [deg]F wet bulb indoor 
conditions, and for outdoor units as the lowest cooling capacity 
listed in published product literature for these conditions. If 
incomplete or no operating conditions are reported, the highest (for 
indoor units) or lowest (for outdoor units) such cooing capacity 
shall be used.
    Time-adaptive defrost control system is a demand-defrost control 
system that measures the length of the prior defrost period(s) and 
uses that information to automatically determine when to initiate 
the next defrost cycle.
    Time-temperature defrost control systems initiate or evaluate 
initiating a defrost cycle only when a predetermined cumulative 
compressor ON-time is obtained. This predetermined ON-time is 
generally a fixed value (e.g., 30, 45, 90 minutes) although it may 
vary based on the measured outdoor dry-bulb temperature. The ON-time 
counter accumulates if controller measurements (e.g., outdoor 
temperature, evaporator temperature) indicate that frost formation 
conditions are present, and it is reset/remains at zero at all other 
times. In one application of the control scheme, a defrost is 
initiated whenever the counter time equals the predetermined ON-
time. The counter is reset when the defrost cycle is completed.
    In a second application of the control scheme, one or more 
parameters are measured (e.g., air and/or refrigerant temperatures) 
at the predetermined, cumulative, compressor ON-time. A defrost is 
initiated only if the measured parameter(s) falls within a 
predetermined range. The ON-time counter is reset regardless of 
whether or not a defrost is initiated. If systems of this second 
type use cumulative ON-time intervals of 10 minutes or less, then 
the heat pump may qualify as having a demand defrost control system 
(see definition).
    Triple-capacity, northern heat pump means a heat pump that 
provides two stages of cooling and three stages of heating. The two 
common stages for both the cooling and heating modes are the low 
capacity stage and the high capacity stage. The additional heating 
mode stage is the booster capacity stage, which offers the highest 
heating capacity output for a given set of ambient operating 
conditions.
    Triple-split system means a central air conditioner or heat pump 
that is composed of three separate components: An outdoor fan coil 
section, an indoor blower coil section, and an indoor compressor 
section.
    Two-capacity (or two-stage) compressor system means a central 
air conditioner or heat pump that has a compressor or a group of 
compressors operating with only two stages of capacity. For such 
systems, low capacity means the compressor(s) operating at low 
stage, or at low load test conditions. The low compressor stage for 
heating mode tests may be the same or different from the cooling 
mode value.
    For such systems, high capacity means the compressor(s) 
operating at low stage, or at full load test conditions.
    Two-capacity, northern heat pump means a heat pump that has a 
factory or field-selectable lock-out feature to prevent space 
cooling at high-capacity. Two-capacity heat pumps having this 
feature will typically have two sets of ratings, one with the 
feature disabled and one with the feature enabled. The certified 
indoor coil model number should reflect whether the ratings pertain 
to the lockout enabled option via the inclusion of an extra 
identifier, such as ``+LO''. When testing as a two-capacity, 
northern heat pump, the lockout feature must remain enabled for all 
tests.
    Variable refrigerant flow (VRF) system means a multi-split 
system with at least three compressor capacity stages, distributing 
refrigerant through a piping network to multiple indoor blower coil 
units each capable of individual zone temperature control, through 
proprietary zone temperature control devices and a common 
communications network. Single-phase VRF systems less than 65,000 
Btu/h are a kind of central air conditioners and central air 
conditioning heat pumps.
    Variable-speed compressor system means a central air conditioner 
or heat pump that has a compressor that uses a variable-speed drive 
to vary the compressor speed to achieve variable capacities.
    For such a system, maximum speed means the maximum operating 
speed, measured by RPM or frequency (Hz), that the unit is designed 
to operate in cooling mode or heating mode. Maximum speed does not 
change with ambient temperature, and it can be different from 
cooling mode to heating mode. Maximum speed does not necessarily 
mean maximum capacity.
    For such systems, minimum speed means the minimum speed, 
measured by RPM or frequency (Hz), that the unit is designed to 
operate in cooling mode or heating mode. Minimum speed does not 
change with ambient temperature, and it can be different from 
cooling mode to heating mode. Minimum speed does not necessarily 
mean minimum capacity.
    Wet-coil test means a test conducted at test conditions that 
typically cause water vapor to condense on the test unit evaporator 
coil.

2. Testing Overview and Conditions

    (A) Test VRF systems using ANSI/AHRI Standard 1230-2010 sections 
3 (except 3.8, 3.9, 3.13, 3.14, 3.15, 3.16, 3.23, 3.24, 3.26, 3.27, 
3.28, 3.29, 3.30, and 3.31), 5.1.3, 5.1.4, 6.1.5 (except Table 8), 
6.1.6, and 6.2 (incorporated by reference, see Sec.  430.3) and 
Appendix M. Where ANSI/AHRI Standard 1230-2010 refers to the 
Appendix C therein substitute the provisions of this appendix. In 
cases where there is a conflict, the language of the test procedure 
in this appendix takes precedence over ANSI/AHRI Standard 1230-2010.
    For definitions use section 1 of Appendix M and section 3 of 
ANSI/AHRI Standard 1230-2010, excluding sections 3.8, 3.9, 3.13, 
3.14, 3.15, 3.16, 3.23, 3.24, 3.26, 3.27, 3.28, 3.29, 3.30, and 
3.31. For rounding requirements refer to Sec.  430.23 (m). For 
determination of certified rating requirements refer to Sec.  
429.16.
    For test room requirements, refer to section 2.1 from Appendix 
M. For test unit installation requirements refer to sections 2.2.a, 
2.2.b, 2.2.c, 2.2.1, 2.2.2, 2.2.3(a), 2.2.3(c), 2.2.4, 2.2.5, and 
2.4 to 2.12 from Appendix M, and sections 5.1.3 and 5.1.4 of ANSI/
AHRI Standard 1230-2010.
    For general requirements for the test procedure refer to section 
3.1 of Appendix M, except for sections 3.1.3 and 3.1.4, which are 
requirements for indoor air volume and outdoor air volume. For 
indoor air volume and outdoor air volume requirements, refer instead 
to section 6.1.5 (except Table 8) and 6.1.6 of ANSI/AHRI Standard 
1230-2010. For external static pressure requirements, refer to Table 
3 in Appendix M.
    For the test procedure, refer to sections 3.3 to 3.5 and 3.7 to 
3.13 in Appendix M. For cooling mode and heating mode test 
conditions, refer to section 6.2 of ANSI/AHRI Standard 1230-2010. 
For calculations of seasonal performance descriptors use section 4 
of Appendix M.
    (B) For systems other than VRF, only a subset of the sections 
listed in this test procedure apply when testing and rating a 
particular unit. Table 1 shows the sections of the test procedure 
that apply to each system. This table is meant to assist 
manufacturers in finding the appropriate sections of the test 
procedure; the appendix sections rather than the table provide the 
specific requirements for testing, and given the varied nature of 
available units, manufacturers are responsible for determining which 
sections apply to each unit tested. To use this table, first refer 
to the sections listed under ``all units''. Then refer to additional 
requirements based on: (1) System configuration(s), (2) the 
compressor staging or modulation capability, and (3) any special 
features.

[[Page 69346]]

    Testing requirements for space-constrained products do not 
differ from similar equipment that is not space-constrained and thus 
are not listed separately in this table. Air conditioners and heat 
pumps are not listed separately in this table, but heating 
procedures and calculations apply only to heat pumps.
BILLING CODE 6450-01-P

[[Page 69347]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.008


[[Page 69348]]


[GRAPHIC] [TIFF OMITTED] TP09NO15.009

BILLING CODE 6450-01-C
    * Does not apply to heating-only heat pumps.
    ** Applies only to heat pumps; not to air conditioners.

[[Page 69349]]

    [dagger] Use ANSI/AHRI Standard 1230-2010 with Addendum 2, with 
the sections referenced in section 2(A) of this Appendix, in 
conjunction with the sections set forth in the table to perform test 
setup, testing, and calculations for rating VRF multiple-split and 
VRF SDHV systems.
    Note: For all units, use section 3.13 for off mode testing 
procedures and section 4.3 for off mode calculations. For all units 
subject to an EER standard, use section 4.7 to determine the energy 
efficiency ratio.
    2.1 Test room requirements.
    a. Test using two side-by-side rooms, an indoor test room and an 
outdoor test room. For multiple-split, single-zone-multi-coil or 
multi-circuit air conditioners and heat pumps, however, use as many 
available indoor test rooms as needed to accommodate the total 
number of indoor units. These rooms must comply with the 
requirements specified in sections 8.1.2 and 8.1.3 of ASHRAE 
Standard 37-2009 (incorporated by reference, see Sec.  430.3).
    b. Inside these test rooms, use artificial loads during cyclic 
tests and Frost Accumulation tests, if needed, to produce stabilized 
room air temperatures. For one room, select an electric resistance 
heater(s) having a heating capacity that is approximately equal to 
the heating capacity of the test unit's condenser. For the second 
room, select a heater(s) having a capacity that is close to the 
sensible cooling capacity of the test unit's evaporator. When 
applied, cycle the heater located in the same room as the test unit 
evaporator coil ON and OFF when the test unit cycles ON and OFF. 
Cycle the heater located in the same room as the test unit 
condensing coil ON and OFF when the test unit cycles OFF and ON.
    2.2 Test unit installation requirements.
    a. Install the unit according to section 8.2 of ASHRAE Standard 
37-2009 (incorporated by reference, see Sec.  430.3), subject to the 
following additional requirements:
    (1) When testing split systems, follow the requirements given in 
section 6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see 
Sec.  430.3) with Addendum 1 and 2. For the vapor refrigerant 
line(s), use the insulation included with the unit; if no insulation 
is provided, refer to the specifications for the insulation in the 
installation instructions included with the unit by the 
manufacturer; if no insulation is included with the unit and the 
installation instructions do not contain provisions for insulating 
the line(s), fully insulate the vapor refrigerant line(s) with vapor 
proof insulation having an inside diameter that matches the 
refrigerant tubing and a nominal thickness of at least 0.5 inches. 
For the liquid refrigerant line(s), use the insulation included with 
the unit; if no insulation is provided, refer to the specifications 
for the insulation in the installation instructions included with 
the unit by the manufacturer; if no insulation is included with the 
unit and the installation instructions do not contain provisions for 
insulating the line(s), leave the liquid refrigerant line(s) exposed 
to the air for air conditioners and heat pumps that heat and cool; 
or, for heating-only heat pumps, insulate the liquid refrigerant 
line(s) with insulation having an inside diameter that matches the 
refrigerant tubing and a nominal thickness of at least 0.5 inches;
    (2) When testing split systems, if the indoor unit does not ship 
with a cooling mode expansion device, test the system using the 
device as specified in the installation instructions provided with 
the indoor unit. If none is specified, test the system using a 
thermostatic expansion valve with internal pressure equalization 
that the valve manufacturer's product literature indicates is 
appropriate for the system.
    (3) When testing triple-split systems (see section 1.2, 
Definitions), use the tubing length specified in section 6.1.3.5 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) with 
Addendum 1 and 2 to connect the outdoor coil, indoor compressor 
section, and indoor coil while still meeting the requirement of 
exposing 10 feet of the tubing to outside conditions; or
    (4) When testing split systems having multiple indoor coils, 
connect each indoor blower-coil to the outdoor unit using: (a) 25 
feet of tubing, or (b) tubing furnished by the manufacturer, 
whichever is longer.
    If they are needed to make a secondary measurement of capacity, 
install refrigerant pressure measuring instruments as described in 
section 8.2.5 of ASHRAE Standard 37-2009 (incorporated by reference, 
see Sec.  430.3). Refer to section 2.10 of this appendix to learn 
which secondary methods require refrigerant pressure measurements. 
At a minimum, insulate the low-pressure line(s) of a split system 
with insulation having an inside diameter that matches the 
refrigerant tubing and a nominal thickness of 0.5 inch.
    b. For units designed for both horizontal and vertical 
installation or for both up-flow and down-flow vertical 
installations, the manufacturer must use the orientation for testing 
specified in the certification report. Conduct testing with the 
following installed:
    (1) The most restrictive filter(s);
    (2) Supplementary heating coils; and
    (3) Other equipment specified as part of the unit, including all 
hardware used by a heat comfort controller if so equipped (see 
section 1, Definitions). For small-duct, high-velocity systems, 
configure all balance dampers or restrictor devices on or inside the 
unit to fully open or lowest restriction.
    c. Testing a ducted unit without having an indoor air filter 
installed is permissible as long as the minimum external static 
pressure requirement is adjusted as stated in Table 3, note 3 (see 
section 3.1.4). Except as noted in section 3.1.10, prevent the 
indoor air supplementary heating coils from operating during all 
tests. For coil-only indoor units that are supplied without an 
enclosure, create an enclosure using 1 inch fiberglass ductboard 
having a nominal density of 6 pounds per cubic foot. Or 
alternatively, use some other insulating material having a thermal 
resistance (``R'' value) between 4 and 6 hr[middot]ft\2\[middot] 
[deg]F/Btu. For units where the coil is housed within an enclosure 
or cabinet, no extra insulating or sealing is allowed.
    d. When testing coil-only central air conditioners and heat 
pumps, install a toroidal-type transformer to power the system's 
low-voltage components, complying with any additional requirements 
for this transformer mentioned in the installation manuals included 
with the unit by the manufacturer. If the installation manuals do 
not provide specifications for the transformer, use a transformer 
having the following features: (1) A nominal volt-amp rating that 
results in the transformer being loaded at a level that is between 
25 and 90 percent based on the highest power value expected and then 
confirmed during the off mode test; (2) designed to operate with a 
primary input of 230 V, single phase, 60 Hz; and (3) that provides 
an output voltage that is within the specified range for each low-
voltage component. The power consumption of the components connected 
to the transformer must be included as part of the total system 
power consumption during the off mode tests, less if included the 
power consumed by the transformer when no load is connected to it.
    e. An outdoor unit with no match (i.e., that is not sold with 
indoor units) shall be tested without an indoor blower installed, 
with a single cooling air volume rate, using an indoor unit whose 
coil has (1) round tubes of outer diameter no less than 0.375 
inches, and (2) a normalized gross indoor fin surface (NGIFS) no 
greater than 1.15 square inches per British thermal unit per hour 
(sq. in./Btu/hr). NGIFS is calculated as follows:

NGIFS = 2 x Lf x Wf x Nf / Qc(95)

where,

Lf = Indoor coil fin length in inches, also height of the 
coil transverse to the tubes.
Wf = Indoor coil fin width in inches, also depth of the 
coil.
Nf = Number of fins.
Qc(95) = the measured space cooling capacity of the tested outdoor 
unit/indoor unit combination as determined from the A2 or A Test 
whichever applies, Btu/h.
    2.2.1 Defrost control settings.
    Set heat pump defrost controls at the normal settings which most 
typify those encountered in generalized climatic region IV. (Refer 
to Figure 1 and Table 19 of section 4.2 for information on region 
IV.) For heat pumps that use a time-adaptive defrost control system 
(see section 1.2, Definitions), the manufacturer must specify the 
frosting interval to be used during Frost Accumulation tests and 
provide the procedure for manually initiating the defrost at the 
specified time. To ease testing of any unit, the manufacturer should 
provide information and any necessary hardware to manually initiate 
a defrost cycle.
    2.2.2 Special requirements for units having a multiple-speed 
outdoor fan.
    Configure the multiple-speed outdoor fan according to the 
installation manual included with the unit by the manufacturer, and 
thereafter, leave it unchanged for all tests. The controls of the 
unit must regulate the operation of the outdoor fan during all lab 
tests except dry coil cooling mode tests. For dry coil cooling mode 
tests, the outdoor fan must operate at the same speed used during 
the required wet coil test conducted at the same outdoor test 
conditions.
    2.2.3 Special requirements for multi-split air conditioners and 
heat pumps, systems composed of multiple single-zone-multiple-coil 
split-system units (having multiple outdoor units located side-by-
side), and ducted systems using a single indoor section

[[Page 69350]]

containing multiple blowers that would normally operate using two or 
more indoor thermostats.
    Because these systems will have more than one indoor blower and 
possibly multiple outdoor fans and compressor systems, references in 
this test procedure to a singular indoor blower, outdoor fan, and 
compressor means all indoor blowers, all outdoor fans, and all 
compressor systems that are energized during the test.
    a. Additional requirements for multi-split air conditioners and 
heat pumps and systems composed of multiple single-zone-multiple-
coil split-system units. For any test where the system is operated 
at part load (i.e., one or more compressors ``off'', operating at 
the intermediate or minimum compressor speed, or at low compressor 
capacity), the manufacturer shall designate the indoor coil(s) that 
are not providing heating or cooling during the test such that the 
sum of the nominal heating or cooling capacity of the operational 
indoor units is within 5 percent of the intended part load heating 
or cooling capacity. For variable-speed systems, the manufacturer 
must designate at least one indoor unit that is not providing 
heating or cooling for all tests conducted at minimum compressor 
speed. For all other part-load tests, the manufacturer shall choose 
to turn off zero, one, two, or more indoor units. The chosen 
configuration shall remain unchanged for all tests conducted at the 
same compressor speed/capacity. For any indoor coil that is not 
providing heating or cooling during a test, cease forced airflow 
through this indoor coil and block its outlet duct.
    b. Additional requirements for ducted systems with a single 
indoor section containing multiple blowers where the blowers are 
designed to cycle on and off independently of one another and are 
not controlled such that all blowers are modulated to always operate 
at the same air volume rate or speed. This Appendix covers systems 
with a single-speed compressor or systems offering two fixed stages 
of compressor capacity (e.g., a two-speed compressor, two single-
speed compressors). For any test where the system is operated at its 
lowest capacity--i.e., the lowest total air volume rate allowed when 
operating the single-speed compressor or when operating at low 
compressor capacity--blowers accounting for at least one-third of 
the full-load air volume rate must be turned off unless prevented by 
the controls of the unit. In such cases, turn off as many blowers as 
permitted by the unit's controls. Where more than one option exists 
for meeting this ``off'' blower requirement, the manufacturer shall 
include in its installation manuals included with the unit which 
blower(s) are turned off. The chosen configuration shall remain 
unchanged for all tests conducted at the same lowest capacity 
configuration. For any indoor coil turned off during a test, cease 
forced airflow through any outlet duct connected to an ``off'' 
blower.
    c. For test setups where it is physically impossible for the 
laboratory to use the required line length listed in Table 3 of 
ANSI/AHRI Standard 1230-2010 (incorporated by reference, see Sec.  
430.3) with Addendum 2, then the actual refrigerant line length used 
by the laboratory may exceed the required length and the refrigerant 
line length correction factors in Table 4 of ANSI/AHRI Standard 
1230-2010 with Addendum 2 are applied.
    2.2.4 Wet-bulb temperature requirements for the air entering the 
indoor and outdoor coils.
    2.2.4.1 Cooling mode tests. For wet-coil cooling mode tests, 
regulate the water vapor content of the air entering the indoor unit 
to the applicable wet-bulb temperature listed in Tables 4 to 7. As 
noted in these same tables, achieve a wet-bulb temperature during 
dry-coil cooling mode tests that results in no condensate forming on 
the indoor coil. Controlling the water vapor content of the air 
entering the outdoor side of the unit is not required for cooling 
mode tests except when testing:
    (1) Units that reject condensate to the outdoor coil during wet 
coil tests. Tables 4-7 list the applicable wet-bulb temperatures.
    (2) Single-package units where all or part of the indoor section 
is located in the outdoor test room. The average dew point 
temperature of the air entering the outdoor coil during wet coil 
tests must be within 3.0 [deg]F of the average dew point 
temperature of the air entering the indoor coil over the 30-minute 
data collection interval described in section 3.3. For dry coil 
tests on such units, it may be necessary to limit the moisture 
content of the air entering the outdoor side of the unit to meet the 
requirements of section 3.4.
    2.2.4.2 Heating mode tests.
    For heating mode tests, regulate the water vapor content of the 
air entering the outdoor unit to the applicable wet-bulb temperature 
listed in Tables 11 to 14. The wet-bulb temperature entering the 
indoor side of the heat pump must not exceed 60 [deg]F. 
Additionally, if the Outdoor Air Enthalpy test method is used while 
testing a single-package heat pump where all or part of the outdoor 
section is located in the indoor test room, adjust the wet-bulb 
temperature for the air entering the indoor side to yield an indoor-
side dew point temperature that is as close as reasonably possible 
to the dew point temperature of the outdoor-side entering air.
    2.2.5 Additional refrigerant charging requirements.
    2.2.5.1 The ``manufacturer's published instructions,'' as stated 
in section 8.2 of ASHRAE Standard 37-2009 (incorporated by 
reference, see Sec.  430.3) and ``manufacturer's installation 
instructions'' discussed in this Appendix mean the manufacturer's 
installation instructions that come packaged with or appear in the 
labels applied to the unit. This does not include online manuals. 
Installation instructions that are shipped with the unit shall take 
precedence over installation instructions that appear in the labels 
applied to the unit.
    2.2.5.2 Instructions to Use for Charging.
    a. Where the manufacturer's installation instructions contain 
two sets of refrigerant charging criteria, one for field 
installations and one for lab testing, use the field installation 
criteria.
    b. For systems consisting of an outdoor unit manufacturer's 
outdoor section and indoor section with differing charging 
procedures the refrigerant charge shall be adjusted per the outdoor 
installation instructions.
    c. For systems consisting of an outdoor unit manufacturer's 
outdoor section and an independent coil manufacturer's indoor 
section with differing charging procedures the refrigerant charge 
shall be adjusted per the indoor installation instructions.
    2.2.5.3 Test(s) to Use for Charging.
    a. Use the tests or operating conditions specified in the 
manufacturer's installation instructions for charging.
    b. If the manufacturer's installation instructions do not 
specify a test or operating conditions for charging or there are no 
manufacturer's instructions, use the following test(s):
    (1) For air conditioners or cooling and heating heat pumps, use 
the A or A2 test.
    (2) For cooling and heating heat pumps that do not function in 
the H1 or H12 test with the charge set for the A or 
A2 test and for heating-only heat pumps, use the H1 or 
H12 test.
    2.2.5.4 Parameters to Set and Their Target Values.
    a. Consult the manufacturer's installation instructions 
regarding which parameters to set and their target values. If the 
instructions provide ranges of values, select target values equal to 
the midpoints of the provided ranges.
    b. In the event of conflicting information between charging 
instructions (defined as multiple conditions given for charge 
adjustment where all conditions specified cannot be met), follow the 
following hierarchy.

(1) For fixed orifice systems:
    (i) Superheat
    (ii) High side pressure or corresponding saturation or dew-point 
temperature
    (iii) Low side pressure or corresponding saturation or dew-point 
temperature
    (iv) Low side temperature
    (iii) High side temperature
    (iv) Charge weight
(2) For expansion valve systems:
    (i) Subcooling
    (ii) High side pressure or corresponding saturation or dew-point 
temperature
    (iii) Low side pressure or corresponding saturation or dew-point 
temperature
    (iv) Approach temperature (difference between temperature of 
liquid leaving condenser and condenser average inlet air 
temperature)
    (v) Charge weight

    c. If there are no installation instructions and/or they do not 
provide parameters and target values, set superheat to a target 
value of 12 [deg]F for fixed orifice systems or set subcooling to a 
target value of 10 [deg]F for expansion valve systems.
    2.2.5.5 Charging Tolerances.
    a. If the manufacturer's installation instructions specify 
tolerances on target values for the charging parameters, set the 
values using these tolerances.
    b. Otherwise, use the following tolerances for the different 
charging parameters:

    1. Superheat: +/-2.0 [deg]F
    2. Subcooling: +/-0.6 [deg]F

[[Page 69351]]

    3. High side pressure or corresponding saturation or dew point 
temperature: +/-4.0 psi or +/-1.0 [deg]F
    4. Low side pressure or corresponding saturation or dew point 
temperature: +/-2.0 psi or +/-0.8 [deg]F
    5. High side temperature: +/-2.0 [deg]F
    6. Low side temperature: +/-2.0 [deg]F
    7. Approach temperature: +/-1.0 [deg]F
    8. Charge weight: +/-2.0 ounce

    2.2.5.6 Special Charging Instructions.

a. Cooling and Heating Heat Pumps

    If, using the initial charge set in the A or A2 test, 
the conditions are not within the range specified in manufacturer's 
instructions for the H1 or H12 test, make as small as 
possible an adjustment to obtain conditions for this test in the 
specified range. After this adjustment, recheck conditions in the A 
or A2 test to confirm that they are still within the 
specified range for this test.

b. Single-Package Systems

    Unless otherwise directed by the manufacturer's installation 
instructions, install one or more refrigerant line pressure gauges 
during the setup of the unit if setting of refrigerant charge is 
based on certain operating parameters:
    (1) Install a pressure gauge on the liquid line if charging is 
on the basis of subcooling, or high side pressure or corresponding 
saturation or dew point temperature;
    (2) Install a pressure gauge on the suction line if charging is 
on the basis of superheat, or low side pressure or corresponding 
saturation or dew point temperature. If manufacturer's installation 
instructions indicate that pressure gauges are not to be installed, 
setting of charge shall not be based on any of the parameters listed 
in b.(1) and (2) of this section.
    2.2.5.7 Near-azeotropic and zeotropic refrigerants.
    Charging of near-azeotropic and zeotropic refrigerants shall 
only be performed with refrigerant in the liquid state.
    2.2.5.8 Adjustment of charge between tests.
    After charging the system as described in this test procedure, 
use the set refrigerant charge for all tests used to determine 
performance. Do not adjust the refrigerant charge at any point 
during testing.
    2.3 Indoor air volume rates.
    If a unit's controls allow for overspeeding the indoor blower 
(usually on a temporary basis), take the necessary steps to prevent 
overspeeding during all tests.
    2.3.1 Cooling tests.
    a. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the installation 
instructions that are provided with the equipment while meeting the 
airflow requirements that are specified in section 3.1.4 of this 
appendix. If the manufacturer installation instructions do not 
provide guidance on the airflow-control settings for a system tested 
with the indoor blower installed, select the lowest speed that will 
satisfy the minimum external static pressure specified in section 
3.1.4.1.1 of this appendix with an air volume rate at or higher than 
the rated full-load cooling air volume rate while meeting the 
maximum air flow requirement.
    b. Express the Cooling Full-load Air Volume Rate, the Cooling 
Minimum Air Volume Rate, and the Cooling Intermediate Air Volume 
Rate in terms of standard air.
    2.3.2 Heating tests.
    a. If needed, set the indoor blower airflow-control settings 
(e.g., fan motor pin settings, fan motor speed) according to the 
installation instructions that are provided with the equipment. Do 
this set-up while meeting all applicable airflow requirements 
specified in sections 3.1.4 of this appendix. For a cooling and 
heating heat pump tested with an indoor blower installed, if the 
manufacturer installation instructions do not provide guidance on 
the fan airflow-control settings, use the same airflow-control 
settings used for the cooling test. If the manufacturer installation 
instructions do not provide guidance on the airflow-control settings 
for a heating-only heat pump tested with the indoor blower 
installed, select the lowest speed that will satisfy the minimum 
external static pressure specified in section 3.1.4.4.3 of this 
appendix with an air volume rate at or higher than the rated heating 
full-load air volume rate.
    b. Express the Heating Full-Load Air Volume Rate, the Heating 
Minimum Air Volume Rate, the Heating Intermediate Air Volume Rate, 
and the Heating Nominal Air Volume Rate in terms of standard air.
    2.4 Indoor coil inlet and outlet duct connections.
    Insulate and/or construct the outlet plenum described in section 
2.4.1 of this appendix and, if installed, the inlet plenum described 
in section 2.4.2 of this appendix with thermal insulation having a 
nominal overall resistance (R-value) of at least 19 
hr[middot]ft\2\[middot] [deg]F/Btu.
    2.4.1 Outlet plenum for the indoor unit.
    a. Attach a plenum to the outlet of the indoor coil. (NOTE: for 
some packaged systems, the indoor coil may be located in the outdoor 
test room.)
    b. For systems having multiple indoor coils, or multiple indoor 
blowers within a single indoor section, attach a plenum to each 
indoor coil or blower outlet. Connect two or more outlet plenums to 
a single common duct so that each indoor coil ultimately connects to 
an airflow measuring apparatus (section 2.6). If using more than one 
indoor test room, do likewise, creating one or more common ducts 
within each test room that contains multiple indoor coils. At the 
plane where each plenum enters a common duct, install an adjustable 
airflow damper and use it to equalize the static pressure in each 
plenum. Each outlet air temperature grid (section 2.5.4) and airflow 
measuring apparatus are located downstream of the inlet(s) to the 
common duct.
    c. For small-duct, high-velocity systems, install an outlet 
plenum that has a diameter that is equal to or less than the value 
listed below. The limit depends only on the Cooling Full-Load Air 
Volume Rate (see section 3.1.4.1.1 of this appendix) and is 
effective regardless of the flange dimensions on the outlet of the 
unit (or an air supply plenum adapter accessory, if installed in 
accordance with the manufacturer's installation instructions).
    d. Add a static pressure tap to each face of the (each) outlet 
plenum, if rectangular, or at four evenly distributed locations 
along the circumference of an oval or round plenum. Create a 
manifold that connects the four static pressure taps. Figures 7a, 
7b, 7c of ASHRAE Standard 37-2009 (incorporated by reference, see 
Sec.  430.3) shows two of the three options allowed for the manifold 
configuration; the third option is the broken-ring, four-to-one 
manifold configuration that is shown in Figure 7a of ASHRAE Standard 
37-2009. See Figures 7a, 7b, 7c, and 8 of ASHRAE Standard 37-2009 
for the cross-sectional dimensions and minimum length of the (each) 
plenum and the locations for adding the static pressure taps for 
units tested with and without an indoor blower installed.

                     Table 2--Size of Outlet Plenum
------------------------------------------------------------------------
                                                        Maximum diameter
       Cooling full-load air volume rate (scfm)            * of outlet
                                                         plenum (inches)
------------------------------------------------------------------------
<=500.................................................                 6
501 to 700............................................                 7
701 to 900............................................                 8
901 to 1100...........................................                 9
1101 to 1400..........................................                10
1401 to 1750..........................................                11
------------------------------------------------------------------------
* If the outlet plenum is rectangular, calculate its equivalent diameter
  using (4A/P,) where A is the cross-sectional area and P is the
  perimeter of the rectangular plenum, and compare it to the listed
  maximum diameter.

    2.4.2 Inlet plenum for the indoor unit.
    Install an inlet plenum when testing a coil-only indoor unit or 
a packaged system where the indoor coil is located in the outdoor 
test room. Add static pressure taps at the center of each face of 
this plenum, if rectangular, or at four evenly distributed locations 
along the circumference of an oval or round plenum. Make a manifold 
that connects the four static-pressure taps using one of the three 
configurations specified in section 2.4.1. See Figures 7b, 7c, and 
Figure 8 of ASHRAE Standard 37-2009 (incorporated by reference, see 
Sec.  430.3) for cross-sectional dimensions, the minimum length of 
the inlet plenum, and the locations of the static-pressure taps. 
When testing a ducted unit having an indoor blower (and the indoor 
coil is in the indoor test room), test with an inlet plenum 
installed unless physically prohibited by space limitations within 
the test room. If used, construct the inlet plenum and add the four 
static-pressure taps as shown in Figure 8 of ASHRAE Standard 37-
2009. If used, the inlet duct size shall equal the size of the inlet 
opening of the air-handling (blower coil) unit or furnace, with a 
minimum length of 6 inches. Manifold the four static-pressure taps 
using one of the three configurations specified in section 2.4.1.d. 
Never use an inlet plenum when testing a non-ducted system.
    2.5 Indoor coil air property measurements and air damper box 
applications.
    Follow instructions for indoor coil air property measurements as 
described in AHRI 210/240-Draft, appendix E, section E4, unless 
otherwise instructed in this section.

[[Page 69352]]

    a. Measure the dry-bulb temperature and water vapor content of 
the air entering and leaving the indoor coil. If needed, use an air 
sampling device to divert air to a sensor(s) that measures the water 
vapor content of the air. See Section 5.3 of ASHRAE Standard 41.1-
2013 (incorporated by reference, see Sec.  430.3) for guidance on 
constructing an air sampling device. No part of the air sampling 
device or the tubing transferring the sampled air to the sensor 
shall be within two inches of the test chamber floor, and the 
transfer tubing shall be insulated. The sampling device may also 
divert air to a remotely located sensor(s) that measures dry bulb 
temperature. The air sampling device and the remotely located 
temperature sensor(s) may be used to determine the entering air dry 
bulb temperature during any test. The air sampling device and the 
remotely located leaving air dry bulb temperature sensor(s) may be 
used for all tests except:
    (1) Cyclic tests; and
    (2) Frost accumulation tests.
    b. An acceptable alternative in all cases, including the two 
special cases noted above, is to install a grid of dry bulb 
temperature sensors within the outlet and inlet ducts. Use a 
temperature grid to get the average dry bulb temperature at one 
location, leaving or entering, or when two grids are applied as a 
thermopile, to directly obtain the temperature difference. A grid of 
temperature sensors (which may also be used for determining average 
leaving air dry bulb temperature) is required to measure the 
temperature distribution within a cross-section of the leaving 
airstream.
    c. Use an inlet and outlet air damper box, an inlet upturned 
duct, or any combination thereof when conducting one or both of the 
cyclic tests listed in sections 3.2 and 3.6 on ducted systems. 
Otherwise if not conducting one or both of said cyclic tests, 
install an outlet air damper box when testing ducted and non-ducted 
heat pumps that cycle off the indoor blower during defrost cycles if 
no other means is available for preventing natural or forced 
convection through the indoor unit when the indoor blower is off. 
Never use an inlet damper box or an inlet upturned duct when testing 
a non-ducted system. An inlet upturned duct is a length of ductwork 
so installed upstream from the inlet such that the indoor duct inlet 
opening, facing upwards, is sufficiently high to prevent natural 
convection transfer out of the duct. If an inlet upturned duct is 
used, install a dry bulb temperature sensor near the inlet opening 
of the indoor duct at a centerline location not higher than the 
lowest elevation of the duct edges at the inlet, and ensure that the 
variation of the dry bulb temperature at this location, measured at 
least every minute during the compressor OFF period of the cyclic 
test, does not exceed 1.0 [deg]F.
    2.5.1 Test set-up on the inlet side of the indoor coil: For 
cases where the inlet airflow prevention device is installed.
    a. Install an airflow prevention device as specified in section 
2.5.1.1 or 2.5.1.2 of this appendix, whichever applies.
    b. For an inlet damper box, locate the grid of entering air dry-
bulb temperature sensors, if used, and the air sampling device, or 
the sensor used to measure the water vapor content of the inlet air, 
at a location immediately upstream of the damper box inlet. For an 
inlet upturned duct, locate the grid of entering air dry-bulb 
temperature sensors, if used, and the air sampling device, or the 
sensor used to measure the water vapor content of the inlet air, at 
a location at least one foot downstream from the beginning of the 
insulated portion of the duct but before the static pressure 
measurement; install a dry-bulb temperature sensor at a centerline 
location not higher than the lowest elevation of the duct edges at 
the device inlet.
    2.5.1.1 If the section 2.4.2 inlet plenum is installed.
    Construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the inlet 
plenum. Install the airflow prevention device upstream of the inlet 
plenum and construct ductwork connecting it to the inlet plenum. If 
needed, use an adaptor plate or a transition duct section to connect 
the airflow prevention device with the inlet plenum. Insulate the 
ductwork and inlet plenum with thermal insulation that has a nominal 
overall resistance (R-value) of at least 19 hr [middot] ft\2\ 
[middot] [deg]F/Btu.
    2.5.1.2 If the section 2.4.2 inlet plenum is not installed.
    Construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the air inlet of 
the indoor unit. Install the airflow prevention device immediately 
upstream of the inlet of the indoor unit. If needed, use an adaptor 
plate or a short transition duct section to connect the airflow 
prevention device with the unit's air inlet. Add static pressure 
taps at the center of each face of a rectangular airflow prevention 
device, or at four evenly distributed locations along the 
circumference of an oval or round airflow prevention device. Locate 
the pressure taps between the airflow prevention device and the 
inlet of the indoor unit. Make a manifold that connects the four 
static pressure taps. Insulate the ductwork with thermal insulation 
that has a nominal overall resistance (R-value) of at least 19 hr 
[middot] ft\2\ [middot] [deg]F/Btu.
    2.5.2 Test set-up on the inlet side of the indoor unit: For 
cases where no airflow prevention device is installed.
    If using the section 2.4.2 inlet plenum and a grid of dry bulb 
temperature sensors, mount the grid at a location upstream of the 
static pressure taps described in section 2.4.2, preferably at the 
entrance plane of the inlet plenum. If the section 2.4.2 inlet 
plenum is not used, but a grid of dry bulb temperature sensors is 
used, locate the grid approximately 6 inches upstream from the inlet 
of the indoor coil. Or, in the case of non-ducted units having 
multiple indoor coils, locate a grid approximately 6 inches upstream 
from the inlet of each indoor coil. Position an air sampling device, 
or the sensor used to measure the water vapor content of the inlet 
air, immediately upstream of the (each) entering air dry-bulb 
temperature sensor grid. If a grid of sensors is not used, position 
the entering air sampling device (or the sensor used to measure the 
water vapor content of the inlet air) as if the grid were present.
    2.5.3 Indoor coil static pressure difference measurement.
    Section 6.5.2 of ASHRAE Standard 37-2009 (incorporated by 
reference, see Sec.  430.3) describes the method for fabricating 
static-pressure taps. Also refer to Figure 2A of ASHRAE Standard 51-
07/AMCA Standard 210-07 (incorporated by reference, see Sec.  
430.3). Use a differential pressure measuring instrument that is 
accurate to within 0.01 inches of water and has a 
resolution of at least 0.01 inches of water to measure the static 
pressure difference between the indoor coil air inlet and outlet. 
Connect one side of the differential pressure instrument to the 
manifolded pressure taps installed in the outlet plenum. Connect the 
other side of the instrument to the manifolded pressure taps located 
in either the inlet plenum or incorporated within the airflow 
prevention device. If an inlet plenum or inlet airflow prevention 
device is not used, leave the inlet side of the differential 
pressure instrument open to the surrounding atmosphere. For non-
ducted systems that are tested with multiple outlet plenums, measure 
the static pressure within each outlet plenum relative to the 
surrounding atmosphere.
    2.5.4 Test set-up on the outlet side of the indoor coil.
    a. Install an interconnecting duct between the outlet plenum 
described in section 2.4.1 of this appendix and the airflow 
measuring apparatus described below in section 2.6. The cross-
sectional flow area of the interconnecting duct must be equal to or 
greater than the flow area of the outlet plenum or the common duct 
used when testing non-ducted units having multiple indoor coils. If 
needed, use adaptor plates or transition duct sections to allow the 
connections. To minimize leakage, tape joints within the 
interconnecting duct (and the outlet plenum). Construct or insulate 
the entire flow section with thermal insulation having a nominal 
overall resistance (R-value) of at least 19 hr [middot] ft\2\ 
[middot] [deg]F/Btu.
    b. Install a grid(s) of dry-bulb temperature sensors inside the 
interconnecting duct. Also, install an air sampling device, or the 
sensor(s) used to measure the water vapor content of the outlet air, 
inside the interconnecting duct. Locate the dry-bulb temperature 
grid(s) upstream of the air sampling device (or the in-duct 
sensor(s) used to measure the water vapor content of the outlet 
air). Air that circulates through an air sampling device and past a 
remote water-vapor-content sensor(s) must be returned to the 
interconnecting duct at a location:
    (1) Downstream of the air sampling device;
    (2) Upstream of the outlet air damper box, if installed; and
    (3) Upstream of the section 2.6 airflow measuring apparatus.
    2.5.4.1 Outlet air damper box placement and requirements.
    If using an outlet air damper box (see section 2.5), install it 
within the interconnecting duct at a location downstream of the 
location where air from the sampling device is reintroduced or 
downstream of the in-duct sensor that measures water vapor content 
of the outlet air. The leakage rate from the combination of the 
outlet plenum, the closed damper, and the duct section that connects 
these two components must not exceed 20 cubic feet

[[Page 69353]]

per minute when a negative pressure of 1 inch of water column is 
maintained at the plenum's inlet.
    2.5.4.2 Procedures to minimize temperature maldistribution.
    Use these procedures if necessary to correct temperature 
maldistributions. Install a mixing device(s) upstream of the outlet 
air, dry-bulb temperature grid (but downstream of the outlet plenum 
static pressure taps). Use a perforated screen located between the 
mixing device and the dry-bulb temperature grid, with a maximum open 
area of 40 percent. One or both items should help to meet the 
maximum outlet air temperature distribution specified in section 
3.1.8. Mixing devices are described in sections 5.3.2 and 5.3.3 of 
ASHRAE Standard 41.1-2013 and section 5.2.2 of ASHRAE Standard 41.2-
87 (RA 92) (incorporated by reference, see Sec.  430.3).
    2.5.4.3 Minimizing air leakage.
    For small-duct, high-velocity systems, install an air damper 
near the end of the interconnecting duct, just prior to the 
transition to the airflow measuring apparatus of section 2.6. To 
minimize air leakage, adjust this damper such that the pressure in 
the receiving chamber of the airflow measuring apparatus is no more 
than 0.5 inch of water higher than the surrounding test room 
ambient. If applicable, in lieu of installing a separate damper, use 
the outlet air damper box of sections 2.5 and 2.5.4.1 of this 
appendix if it allows variable positioning. Also apply these steps 
to any conventional indoor blower unit that creates a static 
pressure within the receiving chamber of the airflow measuring 
apparatus that exceeds the test room ambient pressure by more than 
0.5 inches of water column.
    2.5.5 Dry bulb temperature measurement.
    a. Measure dry bulb temperatures as specified in sections 4, 
5.3, 6, 7.2, and 7.3 of ASHRAE Standard 41.1-2013 (incorporated by 
reference, see Sec.  430.3).
    b. Distribute the sensors of a dry-bulb temperature grid over 
the entire flow area. The required minimum is 9 sensors per grid.
    2.5.6 Water vapor content measurement.
    Determine water vapor content by measuring dry-bulb temperature 
combined with the air wet-bulb temperature, dew point temperature, 
or relative humidity. If used, construct and apply wet-bulb 
temperature sensors as specified in sections 4, 5, 6, 7.2, 7.3, 7.4, 
and 7.5 of ASHRAE Standard 41.6-2014 (incorporated by reference, see 
Sec.  430.3). The temperature sensor (wick removed) must be accurate 
to within 0.2 [deg]F. If used, apply dew point 
hygrometers as specified in sections 4, 5, 6, and 7.1 of ASHRAE 
Standard 41.6-2014. The dew point hygrometers must be accurate to 
within 0.4 [deg]F when operated at conditions that 
result in the evaluation of dew points above 35 [deg]F. If used, a 
relative humidity (RH) meter must be accurate to within 0.7% RH. Other means to determine the psychrometric state of 
air may be used as long as the measurement accuracy is equivalent to 
or better than the accuracy achieved from using a wet-bulb 
temperature sensor that meets the above specifications.
    2.5.7 Air damper box performance requirements.
    If used (see section 2.5), the air damper box(es) must be 
capable of being completely opened or completely closed within 10 
seconds for each action.
    2.6 Airflow measuring apparatus.
    a. Fabricate and operate an Air Flow Measuring Apparatus as 
specified in section 6.2 and 6.3 of ASHRAE Standard 37-2009 
(incorporated by reference, see Sec.  430.3). Refer to Figure 12 of 
ASHRAE Standard 51-07/AMCA Standard 210-07 or Figure 14 of ASHRAE 
Standard 41.2-87 (RA 92) (incorporated by reference, see Sec.  
430.3) for guidance on placing the static pressure taps and 
positioning the diffusion baffle (settling means) relative to the 
chamber inlet. When measuring the static pressure difference across 
nozzles and/or velocity pressure at nozzle throats using electronic 
pressure transducers and a data acquisition system, if high 
frequency fluctuations cause measurement variations to exceed the 
test tolerance limits specified in section 9.2 and Table 2 of ASHRAE 
Standard 37-2009, dampen the measurement system such that the time 
constant associated with response to a step change in measurement 
(time for the response to change 63% of the way from the initial 
output to the final output) is no longer than five seconds.
    b. Connect the airflow measuring apparatus to the 
interconnecting duct section described in section 2.5.4. See 
sections 6.1.1, 6.1.2, and 6.1.4, and Figures 1, 2, and 4 of ASHRAE 
Standard 37-2009; and Figures D1, D2, and D4 of AHRI 210/240-2008 
(incorporated by reference, see Sec.  430.3) with Addendum 1 and 2 
for illustrative examples of how the test apparatus may be applied 
within a complete laboratory set-up. Instead of following one of 
these examples, an alternative set-up may be used to handle the air 
leaving the airflow measuring apparatus and to supply properly 
conditioned air to the test unit's inlet. The alternative set-up, 
however, must not interfere with the prescribed means for measuring 
airflow rate, inlet and outlet air temperatures, inlet and outlet 
water vapor contents, and external static pressures, nor create 
abnormal conditions surrounding the test unit. (Note: Do not use an 
enclosure as described in section 6.1.3 of ASHRAE Standard 37-2009 
when testing triple-split units.)
    2.7 Electrical voltage supply.
    Perform all tests at the voltage specified in section 6.1.3.2 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) with 
Addendum 1 and 2 for ``Standard Rating Tests.'' If the voltage on 
the nameplate of indoor and outdoor units differs, the voltage 
supply on the outdoor unit shall be selected for testing. Measure 
the supply voltage at the terminals on the test unit using a volt 
meter that provides a reading that is accurate to within 1.0 percent of the measured quantity.
    2.8 Electrical power and energy measurements.
    a. Use an integrating power (watt-hour) measuring system to 
determine the electrical energy or average electrical power supplied 
to all components of the air conditioner or heat pump (including 
auxiliary components such as controls, transformers, crankcase 
heater, integral condensate pump on non-ducted indoor units, etc.). 
The watt-hour measuring system must give readings that are accurate 
to within 0.5 percent. For cyclic tests, this accuracy 
is required during both the ON and OFF cycles. Use either two 
different scales on the same watt-hour meter or two separate watt-
hour meters. Activate the scale or meter having the lower power 
rating within 15 seconds after beginning an OFF cycle. Activate the 
scale or meter having the higher power rating active within 15 
seconds prior to beginning an ON cycle. For ducted units tested with 
a fan installed, the ON cycle lasts from compressor ON to indoor 
blower OFF. For ducted units tested without an indoor blower 
installed, the ON cycle lasts from compressor ON to compressor OFF. 
For non-ducted units, the ON cycle lasts from indoor blower ON to 
indoor blower OFF. When testing air conditioners and heat pumps 
having a variable-speed compressor, avoid using an induction watt/
watt-hour meter.
    b. When performing section 3.5 and/or 3.8 cyclic tests on non-
ducted units, provide instrumentation to determine the average 
electrical power consumption of the indoor blower motor to within 
1.0 percent. If required according to sections 3.3, 3.4, 
3.7, 3.9.1 of this appendix, and/or 3.10, of this appendix this same 
instrumentation requirement applies when testing air conditioners 
and heat pumps having a variable-speed constant-air-volume-rate 
indoor blower or a variable-speed, variable-air-volume-rate indoor 
blower.
    2.9 Time measurements.
    Make elapsed time measurements using an instrument that yields 
readings accurate to within 0.2 percent.
    2.10 Test apparatus for the secondary space conditioning 
capacity measurement.
    For all tests, use the Indoor Air Enthalpy Method to measure the 
unit's capacity. This method uses the test set-up specified in 
sections 2.4 to 2.6 of this appendix. In addition, for all steady-
state tests, conduct a second, independent measurement of capacity 
as described in section 3.1.1. For split systems, use one of the 
following secondary measurement methods: Outdoor Air Enthalpy 
Method, Compressor Calibration Method, or Refrigerant Enthalpy 
Method. For single-package units, use either the Outdoor Air 
Enthalpy Method or the Compressor Calibration Method as the 
secondary measurement.
    2.10.1 Outdoor Air Enthalpy Method.
    a. To make a secondary measurement of indoor space conditioning 
capacity using the Outdoor Air Enthalpy Method, do the following:
    (1) Measure the electrical power consumption of the test unit;
    (2) Measure the air-side capacity at the outdoor coil; and
    (3) Apply a heat balance on the refrigerant cycle.
    b. The test apparatus required for the Outdoor Air Enthalpy 
Method is a subset of the apparatus used for the Indoor Air Enthalpy 
Method. Required apparatus includes the following:
    (1) On the outlet side, an outlet plenum containing static 
pressure taps (sections 2.4, 2.4.1, and 2.5.3),
    (2) An airflow measuring apparatus (section 2.6),
    (3) A duct section that connects these two components and itself 
contains the

[[Page 69354]]

instrumentation for measuring the dry-bulb temperature and water 
vapor content of the air leaving the outdoor coil (sections 2.5.4, 
2.5.5, and 2.5.6), and
    (4) On the inlet side, a sampling device and temperature grid 
(section 2.11b.).
    c. During the preliminary tests described in sections 3.11.1 and 
3.11.1.1, measure the evaporator and condenser temperatures or 
pressures. On both the outdoor coil and the indoor coil, solder a 
thermocouple onto a return bend located at or near the midpoint of 
each coil or at points not affected by vapor superheat or liquid 
subcooling. Alternatively, if the test unit is not sensitive to the 
refrigerant charge, install pressure gages to the access valves or 
to ports created from tapping into the suction and discharge lines 
according to sections 7.4.2 and 8.2.5 of ASHRAE Standard 37-2009. 
Use this alternative approach when testing a unit charged with a 
zeotropic refrigerant having a temperature glide in excess of 
1[emsp14][deg]F at the specified test conditions.
    2.10.2 Compressor Calibration Method.
    Measure refrigerant pressures and temperatures to determine the 
evaporator superheat and the enthalpy of the refrigerant that enters 
and exits the indoor coil. Determine refrigerant flow rate or, when 
the superheat of the refrigerant leaving the evaporator is less than 
5[emsp14][deg]F, total capacity from separate calibration tests 
conducted under identical operating conditions. When using this 
method, install instrumentation, measure refrigerant properties, and 
adjust the refrigerant charge according to section 7.4.2 and 8.2.5 
of ASHRAE Standard 37-2009 (incorporated by reference, see Sec.  
430.3). Use refrigerant temperature and pressure measuring 
instruments that meet the specifications given in sections 5.1.1 and 
5.2 of ASHRAE Standard 37-2009.
    2.10.3 Refrigerant Enthalpy Method.
    For this method, calculate space conditioning capacity by 
determining the refrigerant enthalpy change for the indoor coil and 
directly measuring the refrigerant flow rate. Use section 7.5.2 of 
ASHRAE Standard 37-2009 (incorporated by reference, see Sec.  430.3) 
for the requirements for this method, including the additional 
instrumentation requirements, and information on placing the flow 
meter and a sight glass. Use refrigerant temperature, pressure, and 
flow measuring instruments that meet the specifications given in 
sections 5.1.1, 5.2, and 5.5.1 of ASHRAE Standard 37-2009. 
Refrigerant flow measurement device(s), if used, must be elevated at 
least two feet from the test chamber floor or placed upon insulating 
material having a total thermal resistance of at least R-12 and 
extending at least one foot laterally beyond each side of the 
device(s)' exposed surfaces, unless the device(s) are elevated at 
least two feet from the floor.
    2.11 Measurement of test room ambient conditions.
    Follow instructions for measurement of test room ambient 
conditions as described in AHRI 210/240-Draft, appendix E, section 
E4, unless otherwise instructed in this section.
    a. If using a test set-up where air is ducted directly from the 
conditioning apparatus to the indoor coil inlet (see Figure 2, Loop 
Air-Enthalpy Test Method Arrangement, of ASHRAE Standard 37-2009), 
add instrumentation to permit measurement of the indoor test room 
dry-bulb temperature.
    b. For the outdoor side, install a grid of evenly-distributed 
sensors on every air-permitting face on the inlet of the outdoor 
unit, such that each measurement represents an air-inlet area of no 
more than one square foot. This grid must be constructed and applied 
as per section 5.3 of ASHRAE Standard 41.1-2013 (incorporated by 
reference, see Sec.  430.3). The maximum and minimum temperatures 
measured by these sensors may differ by no more than 1.5 [deg]F--
otherwise adjustments to the test room must be made to improve 
temperature uniformity. The outdoor conditions shall be verified 
with the air collected by air sampling device. Air collected by an 
air sampling device at the air inlet of the outdoor unit for 
transfer to sensors for measurement of temperature and/or humidity 
shall be protected from temperature change as follows: Any surface 
of the air conveying tubing in contact with surrounding air at a 
different temperature than the sampled air shall be insulated with 
thermal insulation with a nominal thermal resistance (R-value) of at 
least 19 hr [middot]ft \2\ [middot] [deg]F/Btu, no part of the air 
sampling device or the tubing conducting the sampled air to the 
sensors shall be within two inches of the test chamber floor, and 
pairs of measurements (e.g. dry bulb temperature and wet bulb 
temperature) used to determine water vapor content of sampled air 
shall be measured in the same location. Take steps (e.g., add or re-
position a lab circulating fan), as needed, to maximize temperature 
uniformity within the outdoor test room. However, ensure that any 
fan used for this purpose does not cause air velocities in the 
vicinity of the test unit to exceed 500 feet per minute.
    c. Measure dry bulb temperatures as specified in sections 4, 5, 
7.2, 6, and 7.3 of ASHRAE Standard 41.1-2013. Measure water vapor 
content as stated in section 2.5.6.
    2.12 Measurement of indoor blower speed.
    When required, measure fan speed using a revolution counter, 
tachometer, or stroboscope that gives readings accurate to within 
1.0 percent.
    2.13 Measurement of barometric pressure.
    Determine the average barometric pressure during each test. Use 
an instrument that meets the requirements specified in section 5.2 
of ASHRAE Standard 37-2009 (incorporated by reference, see Sec.  
430.3).

3. Testing Procedures

    3.1 General Requirements.
    If, during the testing process, an equipment set-up adjustment 
is made that would have altered the performance of the unit during 
any already completed test, then repeat all tests affected by the 
adjustment. For cyclic tests, instead of maintaining an air volume 
rate, for each airflow nozzle, maintain the static pressure 
difference or velocity pressure during an ON period at the same 
pressure difference or velocity pressure as measured during the 
steady-state test conducted at the same test conditions.
    Use the testing procedures in this section to collect the data 
used for calculating (1) performance metrics for central air 
conditioners and heat pumps during the cooling season; (2) 
performance metrics for heat pumps during the heating season; and 
(3) power consumption metric(s) for central air conditioners and 
heat pumps during the off mode season(s).
    3.1.1 Primary and secondary test methods.
    For all tests, use the Indoor Air Enthalpy Method test apparatus 
to determine the unit's space conditioning capacity. The procedure 
and data collected, however, differ slightly depending upon whether 
the test is a steady-state test, a cyclic test, or a Frost 
Accumulation test. The following sections described these 
differences. For all steady-state tests (i.e., the A, A2, 
A1, B, B2, B1, C, C1, 
EV, F1, G1, H01, H1, 
H12, H11, HIN, H3, 
H32, and H31 Tests), in addition, use one of 
the acceptable secondary methods specified in section 2.10 to 
determine indoor space conditioning capacity. Calculate this 
secondary check of capacity according to section 3.11. The two 
capacity measurements must agree to within 6 percent to constitute a 
valid test. For this capacity comparison, use the Indoor Air 
Enthalpy Method capacity that is calculated in section 7.3 of ASHRAE 
Standard 37-2009 (and, if testing a coil-only system, do not make 
the after-test fan heat adjustments described in section 3.3, 3.4, 
3.7, and 3.10 of this appendix). However, include the appropriate 
section 3.3 to 3.5 and 3.7 to 3.10 fan heat adjustments within the 
Indoor Air Enthalpy Method capacities used for the section 4 
seasonal calculations.
    3.1.2 Manufacturer-provided equipment overrides.
    Where needed, the manufacturer must provide a means for 
overriding the controls of the test unit so that the compressor(s) 
operates at the specified speed or capacity and the indoor blower 
operates at the specified speed or delivers the specified air volume 
rate.
    3.1.3 Airflow through the outdoor coil.
    For all tests, meet the requirements given in section 6.1.3.4 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) with 
Addendum 1 and 2 when obtaining the airflow through the outdoor 
coil.
    3.1.3.1 Double-ducted. For products intended to be installed 
with the outdoor airflow ducted, the unit shall be installed with 
outdoor coil ductwork installed per manufacturer installation 
instructions and shall operate between 0.10 and 0.15 in 
H2O external static pressure. External static pressure 
measurements shall be made in accordance with ASHRAE Standard 37-
2009 Section 6.4 and 6.5.
    3.1.4 Airflow through the indoor coil.
    Airflow setting(s) shall be determined before testing begins. 
Unless otherwise specified within this or its subsections, no 
changes shall be made to the airflow setting(s) after initiation of 
testing.
    3.1.4.1 Cooling Full-load Air Volume Rate.
    3.1.4.1.1 Cooling Full-Load Air Volume Rate for Ducted Units.
    The manufacturer must specify the cooling full-load air volume 
rate and the instructions for setting fan speed or controls. Adjust 
the cooling full-load air volume rate if needed to satisfy the 
additional requirements of this

[[Page 69355]]

section. First, when conducting the A or A2 Test 
(exclusively), the measured air volume rate, when divided by the 
measured indoor air-side total cooling capacity must not exceed 37.5 
cubic feet per minute of standard air (scfm) per 1000 Btu/h. If this 
ratio is exceeded, reduce the air volume rate until this ratio is 
equaled. Use this reduced air volume rate for all tests that call 
for using the Cooling Full-load Air Volume Rate. Pressure 
requirements are as follows:
    a. For all ducted units tested with an indoor blower installed, 
except those having a constant-air-volume-rate indoor blower:
    1. Achieve the Cooling Full-load Air Volume Rate, determined in 
accordance with the previous paragraph;
    2. Measure the external static pressure;
    3. If this pressure is equal to or greater than the applicable 
minimum external static pressure cited in Table 3, the pressure 
requirement is satisfied. Use the current air volume rate for all 
tests that require the Cooling Full-load Air Volume Rate.
    4. If the Table 3 minimum is not equaled or exceeded,
    4a. reduce the air volume rate and increase the external static 
pressure by adjusting the exhaust fan of the airflow measuring 
apparatus until the applicable Table 3 minimum is equaled or
    4b. until the measured air volume rate equals 90 percent of the 
air volume rate from step 1, whichever occurs first.
    5. If the conditions of step 4a occur first, the pressure 
requirement is satisfied. Use the step 4a reduced air volume rate 
for all tests that require the Cooling Full-load Air Volume Rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor blower (e.g., next highest fan 
motor pin setting, next highest fan motor speed) and repeat the 
evaluation process beginning at above step 1. If the indoor blower 
set-up cannot be further changed, reduce the air volume rate and 
increase the external static pressure by adjusting the exhaust fan 
of the airflow measuring apparatus until the applicable Table 3 
minimum is equaled. Use this reduced air volume rate for all tests 
that require the Cooling Full-load Air Volume Rate.
    b. For ducted units that are tested with a constant-air-volume-
rate indoor blower installed. For all tests that specify the Cooling 
Full-load Air Volume Rate, obtain an external static pressure as 
close to (but not less than) the applicable Table 3 value that does 
not cause automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined as follows, greater than 10 
percent.
[GRAPHIC] [TIFF OMITTED] TP09NO15.010

Where:

Qmax = maximum measured airflow value
Qmin = minimum measured airflow value
QVar = airflow variance, percent

    Additional test steps as described in section 3.3.(e) of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted units that are tested without an indoor fan 
installed. For the A or A2 Test, (exclusively), the 
pressure drop across the indoor coil assembly must not exceed 0.30 
inches of water. If this pressure drop is exceeded, reduce the air 
volume rate until the measured pressure drop equals the specified 
maximum. Use this reduced air volume rate for all tests that require 
the Cooling Full-load Air Volume Rate.

       Table 3--Minimum External Static Pressure for Ducted Systems Tested With an Indoor Blower Installed
----------------------------------------------------------------------------------------------------------------
                                                            Minimum external resistance \3\ (inches of water)
                                                        --------------------------------------------------------
  Rated cooling \1\ or  heating \2\ capacity  (Btu/h)                       Small-duct, high-
                                                            Short ducted     velocity systems  All other systems
                                                            systems \4\            4 5
----------------------------------------------------------------------------------------------------------------
Up Thru 28,800.........................................               0.03               1.10               0.10
29,000 to 42,500.......................................               0.05               1.15               0.15
43,000 and Above.......................................               0.07               1.20               0.20
----------------------------------------------------------------------------------------------------------------
\1\ For air conditioners and heat pumps, the value cited by the manufacturer in published literature for the
  unit's capacity when operated at the A or A2 Test conditions.
\2\ For heating-only heat pumps, the value the manufacturer cites in published literature for the unit's
  capacity when operated at the H1 or H12 Test conditions.
\3\ For ducted units tested without an air filter installed, increase the applicable tabular value by 0.08
  inches of water.
\4\ See section 1.2, Definitions, to determine if the equipment qualifies as a short-ducted or a small-duct,
  high-velocity system.
\5\ If a closed-loop, air-enthalpy test apparatus is used on the indoor side, limit the resistance to airflow on
  the inlet side of the indoor blower coil to a maximum value of 0.1 inch of water. Impose the balance of the
  airflow resistance on the outlet side of the indoor blower.

    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the full-load air volume rate with all 
blowers operating unless prevented by the controls of the unit. In 
such cases, turn on the maximum number of blowers permitted by the 
unit's controls. Where more than one option exists for meeting this 
``on'' blower requirement, which blower(s) are turned on must match 
that specified by the manufacturer in the installation manuals 
included with the unit. Conduct section 3.1.4.1.1 setup steps for 
each blower separately. If two or more indoor blowers are connected 
to a common duct as per section 2.4.1, either turn off the other 
indoor blowers connected to the same common duct or temporarily 
divert their air volume to the test room when confirming or 
adjusting the setup configuration of individual blowers. If the 
indoor blowers are all the same size or model, the target air volume 
rate for each blower plenum equals the full-load air volume rate 
divided by the number of ``on'' blowers. If different size blowers 
are used within the indoor section, the allocation of the system's 
full-load air volume rate assigned to each ``on'' blower must match 
that specified by the manufacturer in the installation manuals 
included with the unit.
    3.1.4.1.2 Cooling Full-load Air Volume Rate for Non-ducted 
Units.
    For non-ducted units, the Cooling Full-load Air Volume Rate is 
the air volume rate that results during each test when the unit is 
operated at an external static pressure of zero inches of water.
    3.1.4.2 Cooling Minimum Air Volume Rate.
    The manufacturer must specify the cooling minimum air volume 
rate and the instructions for setting fan speed or controls. The 
target external static pressure, [Delta]Pst_i, for any 
test ``i'' with a specified air volume rate not equal to the cooling 
full-load air volume rate is determined as follows.
[GRAPHIC] [TIFF OMITTED] TP09NO15.011

Where:

[Delta]Pst_i = target minimum external static pressure 
for test i;
[Delta]Pst_full = minimum external static pressure for 
test A or A2 (Table 3);
Qi = air volume rate for test i; and
Qfull = cooling full-load air volume rate as measured 
after setting and/or adjustment as described in section 3.1.4.1.1.

    a. For ducted units tested with an indoor blower installed that 
is not a constant-air-volume indoor blower, adjust for external 
static pressure as follows.
    1. Achieve the manufacturer-specified cooling minimum air volume 
rate;
    2. Measure the external static pressure;
    3. If this pressure is equal to or greater than the target 
minimum external static pressure calculated as described above, use 
the

[[Page 69356]]

current air volume rate for all tests that require the cooling 
minimum air volume rate.
    4. If the target minimum is not equaled or exceeded,
    4a. reduce the air volume rate and increase the external static 
pressure by adjusting the exhaust fan of the airflow measuring 
apparatus until the applicable target minimum is equaled or
    4b. until the measured air volume rate equals 90 percent of the 
air volume rate from step 1, whichever occurs first.
    5. If the conditions of step 4a occur first, use the step 4a 
reduced air volume rate for all tests that require the cooling 
minimum air volume rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor fan (e.g., next highest fan motor 
pin setting, next highest fan motor speed) and repeat the evaluation 
process beginning at above step 1. If the indoor fan set-up cannot 
be further changed, reduce the air volume rate and increase the 
external static pressure by adjusting the exhaust fan of the airflow 
measuring apparatus until the applicable target minimum is equaled. 
Use this reduced air volume rate for all tests that require the 
cooling minimum air volume rate.
    b. For ducted units with constant-air-volume indoor blowers, 
conduct all tests that specify the cooling minimum air volume rate--
(i.e., the A1, B1, C1, 
F1, and G1 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b, greater than 10 percent, while being as close 
to, but not less than the target minimum external static pressure. 
Additional test steps as described in section 3.3(e) of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted two-capacity units that are tested without an 
indoor blower installed, the Cooling Minimum Air Volume Rate is the 
higher of (1) the rate specified by the installation instructions 
included with the unit by the manufacturer or (2) 75 percent of the 
Cooling Full-load Air Volume Rate. During the laboratory tests on a 
coil-only (fanless) unit, obtain this Cooling Minimum Air Volume 
Rate regardless of the pressure drop across the indoor coil 
assembly.
    d. For non-ducted units, the Cooling Minimum Air Volume Rate is 
the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water and 
at the indoor fan setting used at low compressor capacity (two-
capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed variable-air-volume-rate indoor fan, use the lowest fan 
setting allowed for cooling.
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, operate the indoor blowers such that the 
lowest air volume rate allowed by the unit's controls is obtained 
when operating the lone single-speed compressor or when operating at 
low compressor capacity while meeting the requirements of section 
2.2.3.2 for the minimum number of blowers that must be turned off. 
Adjust for external static pressure and if necessary adjust air 
volume rates as described in section 3.1.4.2.a if the indoor fan is 
not a constant-air-volume indoor fan or as described in section 
3.1.4.2.b if the indoor fan is a constant-air-volume indoor fan. The 
sum of the individual ``on'' blowers' air volume rates is the 
cooling minimum air volume rate for the system.
    3.1.4.3 Cooling Intermediate Air Volume Rate.
    The manufacturer must specify the cooling intermediate air 
volume rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2.
    a. For ducted units tested with an indoor blower, installed that 
is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted units tested with constant-air-volume indoor 
blowers installed, conduct the EV Test at an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b, greater than 10 percent, while being as 
close to, but not less than the target minimum external static 
pressure. Additional test steps as described in section 3.3(e) of 
this appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For non-ducted units, the Cooling Intermediate Air Volume 
Rate is the air volume rate that results when the unit operates at 
an external static pressure of zero inches of water and at the fan 
speed selected by the controls of the unit for the EV 
Test conditions.
    3.1.4.4 Heating Full-load Air Volume Rate.
    3.1.4.4.1 Ducted heat pumps where the Heating and Cooling Full-
load Air Volume Rates are the same.
    a. Use the Cooling Full-load Air Volume Rate as the Heating 
Full-load Air Volume Rate for:
    1. Ducted heat pumps tested with an indoor blower installed that 
is not a constant-air-volume indoor blower that operates at the same 
airflow-control setting during both the A (or A2) and the 
H1 (or H12) Tests;
    2. Ducted heat pumps tested with constant-air-flow indoor 
blowers installed that provide the same air flow for the A (or 
A2) and the H1 (or H12) Tests; and
    3. Ducted heat pumps that are tested without an indoor blower 
installed (except two-capacity northern heat pumps that are tested 
only at low capacity cooling--see 3.1.4.4.2).
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. For heat pumps that meet the above 
criterion ``2,'' test at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than, the 
same Table 3 minimum external static pressure as was specified for 
the A (or A2) cooling mode test. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    3.1.4.4.2 Ducted heat pumps where the Heating and Cooling Full-
load Air Volume Rates are different due to indoor blower operation.
    The manufacturer must specify the heating full-load air volume 
rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2.
    a. For ducted heat pumps tested with an indoor blower installed 
that is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the heating full-
load air volume rate at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than the 
target minimum external static pressure. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    c. When testing ducted, two-capacity northern heat pumps (see 
section 1.2, Definitions), use the appropriate approach of the above 
two cases for units that are tested with an indoor blower installed. 
For coil-only northern heat pumps, the Heating Full-load Air Volume 
Rate is the lesser of the rate specified by the manufacturer in the 
installation instructions included with the unit or 133 percent of 
the Cooling Full-load Air Volume Rate. For this latter case, obtain 
the Heating Full-load Air Volume Rate regardless of the pressure 
drop across the indoor coil assembly.
    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the heating full-load air volume rate 
using the same ``on'' blowers as used for the cooling full-load air 
volume rate. For systems where individual blowers regulate the speed 
(as opposed to the cfm) of the indoor blower, use the first section 
3.1.4.2 equation for each blower individually. Sum the individual 
blower air volume rates to obtain the heating full-load air volume 
rate for the system.
    3.1.4.4.3 Ducted heating-only heat pumps.
    The manufacturer must specify the Heating Full-load Air Volume 
Rate.
    a. For all ducted heating-only heat pumps tested with an indoor 
blower installed, except those having a constant-air-volume-rate 
indoor blower. Conduct the following steps only during the first 
test, the H1 or H12 Test.
    1. Achieve the Heating Full-load Air Volume Rate.
    2. Measure the external static pressure.
    3. If this pressure is equal to or greater than the Table 3 
minimum external static pressure that applies given the heating-only 
heat pump's rated heating capacity, use the

[[Page 69357]]

current air volume rate for all tests that require the Heating Full-
load Air Volume Rate.
    4. If the Table 3 minimum is not equaled or exceeded,
    4a. reduce the air volume rate and increase the external static 
pressure by adjusting the exhaust fan of the airflow measuring 
apparatus until the applicable Table 3 minimum is equaled or
    4b. until the measured air volume rate equals 90 percent of the 
manufacturer-specified Full-load Air Volume Rate, whichever occurs 
first.
    5. If the conditions of step 4a occurs first, use the step 4a 
reduced air volume rate for all tests that require the Heating Full-
load Air Volume Rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor blower (e.g., next highest fan 
motor pin setting, next highest fan motor speed) and repeat the 
evaluation process beginning at above step 1. If the indoor blower 
set-up cannot be further changed, reduce the air volume rate until 
the applicable Table 3 minimum is equaled. Use this reduced air 
volume rate for all tests that require the Heating Full-load Air 
Volume Rate.
    b. For ducted heating-only heat pumps that are tested with a 
constant-air-volume-rate indoor blower installed. For all tests that 
specify the Heating Full-load Air Volume Rate, obtain an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b, greater than 10 percent, while being as 
close to, but not less than, the applicable Table 3 minimum. 
Additional test steps as described in section 3.9.1(c) of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted heating-only heat pumps that are tested without an 
indoor blower installed. For the H1 or H12 Test, 
(exclusively), the pressure drop across the indoor coil assembly 
must not exceed 0.30 inches of water. If this pressure drop is 
exceeded, reduce the air volume rate until the measured pressure 
drop equals the specified maximum. Use this reduced air volume rate 
for all tests that require the Heating Full-load Air Volume Rate.
    3.1.4.4.4 Non-ducted heat pumps, including non-ducted heating-
only heat pumps.
    For non-ducted heat pumps, the Heating Full-load Air Volume Rate 
is the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water.
    3.1.4.5 Heating Minimum Air Volume Rate.
    3.1.4.5.1 Ducted heat pumps where the Heating and Cooling 
Minimum Air Volume Rates are the same.
    a. Use the Cooling Minimum Air Volume Rate as the Heating 
Minimum Air Volume Rate for:
    1. Ducted heat pumps tested with an indoor blower installed that 
is not a constant-air-volume indoor blower that operates at the same 
airflow-control setting during both the A1 and the 
H11 tests;
    2. Ducted heat pumps tested with constant-air-flow indoor 
blowers installed that provide the same air flow for the 
A1 and the H11 Tests; and
    3. Ducted heat pumps that are tested without an indoor blower 
installed (except two-capacity northern heat pumps that are tested 
only at low capacity cooling--see 3.1.4.4.2).
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. For heat pumps that meet the above 
criterion ``2,'' test at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than, the 
same target minimum external static pressure as was specified for 
the A1 cooling mode test. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    3.1.4.5.2 Ducted heat pumps where the Heating and Cooling 
Minimum Air Volume Rates are different due to indoor blower 
operation.
    The manufacturer must specify the heating minimum volume rate 
and the instructions for setting fan speed or controls. Calculate 
target minimum external static pressure as described in section 
3.1.4.2.
    a. For ducted heat pumps tested with an indoor blower installed 
that is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the Heating 
Minimum Air Volume Rate--(i.e., the H01, H11, 
H21, and H31 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower while being as close to, but not less thanor air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than the 
target minimum external static pressure. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    c. For ducted two-capacity northern heat pumps that are tested 
with an indoor blower installed, use the appropriate approach of the 
above two cases.
    d. For ducted two-capacity heat pumps that are tested without an 
indoor blower installed, use the Cooling Minimum Air Volume Rate as 
the Heating Minimum Air Volume Rate. For ducted two-capacity 
northern heat pumps that are tested without an indoor blower 
installed, use the Cooling Full-load Air Volume Rate as the Heating 
Minimum Air Volume Rate. For ducted two-capacity heating-only heat 
pumps that are tested without an indoor blower installed, the 
Heating Minimum Air Volume Rate is the higher of the rate specified 
by the manufacturer in the test setup instructions included with the 
unit or 75 percent of the Heating Full-load Air Volume Rate. During 
the laboratory tests on a coil-only system, obtain the Heating 
Minimum Air Volume Rate without regard to the pressure drop across 
the indoor coil assembly.
    e. For non-ducted heat pumps, the Heating Minimum Air Volume 
Rate is the air volume rate that results during each test when the 
unit operates at an external static pressure of zero inches of water 
and at the indoor blower setting used at low compressor capacity 
(two-capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed, variable-air-volume-rate indoor blower, use the lowest fan 
setting allowed for heating.
    f. For ducted systems with multiple indoor blowers within a 
single indoor section, obtain the heating minimum air volume rate 
using the same ``on'' blowers as used for the cooling minimum air 
volume rate. For systems where individual blowers regulate the speed 
(as opposed to the cfm) of the indoor blower, use the first section 
3.1.4.5 equation for each blower individually. Sum the individual 
blower air volume rates to obtain the heating minimum air volume 
rate for the system.
    3.1.4.6 Heating Intermediate Air Volume Rate.
    The manufacturer must specify the heating intermediate air 
volume rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2.
    a. For ducted heat pumps tested with an indoor blower installed 
that is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct the H2V Test at an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b, greater than 10 percent, while being as 
close to, but not less than the target minimum external static 
pressure. Additional test steps as described in section 3.9.1(c) of 
this appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For non-ducted heat pumps, the Heating Intermediate Air 
Volume Rate is the air volume rate that results when the heat pump 
operates at an external static pressure of zero inches of water and 
at the fan speed selected by the controls of the unit for the 
H2V Test conditions.
    3.1.4.7 Heating Nominal Air Volume Rate.
    The manufacturer must specify the heating nominal air volume 
rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2. Make adjustments as described in section 3.14.6 for 
heating intermediate air volume rate so that the target minimum 
external static pressure is met or exceeded.
    3.1.5 Indoor test room requirement when the air surrounding the 
indoor unit is not

[[Page 69358]]

supplied from the same source as the air entering the indoor unit.
    If using a test set-up where air is ducted directly from the air 
reconditioning apparatus to the indoor coil inlet (see Figure 2, 
Loop Air-Enthalpy Test Method Arrangement, of ASHRAE Standard 37-
2009), maintain the dry bulb temperature within the test room within 
5.0[emsp14][deg]F of the applicable sections 3.2 and 3.6 
dry bulb temperature test condition for the air entering the indoor 
unit. Dew point shall be within 2[emsp14][deg]F of the required 
inlet conditions.
    3.1.6 Air volume rate calculations.
    For all steady-state tests and for Frost Accumulation (H2, 
H21, H22, H2V) tests, calculate the 
air volume rate through the indoor coil as specified in sections 
7.7.2.1 and 7.7.2.2 of ASHRAE Standard 37-2009 (incorporated by 
reference, see Sec.  430.3). When using the Outdoor Air Enthalpy 
Method, follow sections 7.7.2.1 and 7.7.2.2 to calculate the air 
volume rate through the outdoor coil. To express air volume rates in 
terms of standard air, use:
[GRAPHIC] [TIFF OMITTED] TP09NO15.012

Where,

Vis = air volume rate of standard (dry) air, (ft\3\/
min)da
Vimx = air volume rate of the air-water vapor mixture, 
(ft\3\/min)mx
vn' = specific volume of air-water vapor mixture at the 
nozzle, ft\3\ per lbm of the air-water vapor mixture
Wn = humidity ratio at the nozzle, lbm of water vapor per 
lbm of dry air
0.075 = the density associated with standard (dry) air, (lbm/ft\3\)
vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.
    (Note: In the first printing of ASHRAE Standard 37-2009, the 
second IP equation for Qmi should read,
[GRAPHIC] [TIFF OMITTED] TP09NO15.013

    3.1.7 Test sequence.
    Manufacturers may optionally operate the equipment under test 
for a ``break-in'' period, not to exceed 20 hours, prior to 
conducting the test method specified in this section. A manufacturer 
who elects to use this optional compressor break-in period in its 
certification testing should record this information (including the 
duration) in the test data underlying the certified ratings that are 
required to be maintained under 10 CFR 429.71. When testing a ducted 
unit (except if a heating-only heat pump), conduct the A or 
A2 Test first to establish the Cooling Full-load Air 
Volume Rate. For ducted heat pumps where the Heating and Cooling 
Full-load Air Volume Rates are different, make the first heating 
mode test one that requires the Heating Full-load Air Volume Rate. 
For ducted heating-only heat pumps, conduct the H1 or H12 
Test first to establish the Heating Full-load Air Volume Rate. When 
conducting an cyclic test, always conduct it immediately after the 
steady-state test that requires the same test conditions. For 
variable-speed systems, the first test using the Cooling Minimum Air 
Volume Rate should precede the EV Test, and the first 
test using the Heating Minimum Air Volume Rate must precede the 
H2V Test. The test laboratory makes all other decisions 
on the test sequence.
    3.1.8 Requirement for the air temperature distribution leaving 
the indoor coil.
    For at least the first cooling mode test and the first heating 
mode test, monitor the temperature distribution of the air leaving 
the indoor coil using the grid of individual sensors described in 
sections 2.5 and 2.5.4. For the 30-minute data collection interval 
used to determine capacity, the maximum spread among the outlet dry 
bulb temperatures from any data sampling must not exceed 
1.5[emsp14][deg]F. Install the mixing devices described in section 
2.5.4.2 to minimize the temperature spread.
    3.1.9 Requirement for the air temperature distribution entering 
the outdoor coil.
    Monitor the temperatures of the air entering the outdoor coil 
using the grid of temperature sensors described in section 2.11. For 
the 30-minute data collection interval used to determine capacity, 
the maximum difference between dry bulb temperatures measured at any 
of these locations must not exceed 1.5[emsp14][deg]F.
    3.1.10 Control of auxiliary resistive heating elements.
    Except as noted, disable heat pump resistance elements used for 
heating indoor air at all times, including during defrost cycles and 
if they are normally regulated by a heat comfort controller. For 
heat pumps equipped with a heat comfort controller, enable the heat 
pump resistance elements only during the below-described, short 
test. For single-speed heat pumps covered under section 3.6.1, the 
short test follows the H1 or, if conducted, the H1C Test. For two-
capacity heat pumps and heat pumps covered under section 3.6.2, the 
short test follows the H12 Test. Set the heat comfort 
controller to provide the maximum supply air temperature. With the 
heat pump operating and while maintaining the Heating Full-load Air 
Volume Rate, measure the temperature of the air leaving the indoor-
side beginning 5 minutes after activating the heat comfort 
controller. Sample the outlet dry-bulb temperature at regular 
intervals that span 5 minutes or less. Collect data for 10 minutes, 
obtaining at least 3 samples. Calculate the average outlet 
temperature over the 10-minute interval, TCC.
    3.2 Cooling mode tests for different types of air conditioners 
and heat pumps.
    3.2.1 Tests for a unit having a single-speed compressor, or a 
multi-circuit system, that is tested with a fixed-speed indoor 
blower installed, with a constant-air-volume-rate indoor blower 
installed, or with no indoor blower installed.
    Conduct two steady-state wet coil tests, the A and B Tests. Use 
the two dry-coil tests, the steady-state C Test and the cyclic D 
Test, to determine the cooling mode cyclic degradation coefficient, 
CD\c\. If testing outdoor units of central air 
conditioners or heat pumps that are not sold with indoor units, 
assign CD\c\ the default value of 0.2. Table 4 specifies 
test conditions for these four tests.

   Table 4--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor Blower, a Constant Air Volume Rate Indoor
                                                               Blower, or No Indoor Blower
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit        Air entering outdoor unit
                                             temperature ([deg]F)            temperature ([deg]F)
           Test description            ----------------------------------------------------------------              Cooling air volume rate
                                           Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A Test--required (steady, wet coil)...              80              67              95           \1\75  Cooling full-load.\2\
B Test--required (steady, wet coil)...              80              67              82           \1\65  Cooling full-load.\2\
C Test--required (steady, dry coil)...              80           (\3\)              82  ..............  Cooling full-load.\2\
D Test--required (cyclic, dry coil)...              80           (\3\)              82  ..............  (\4\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 57 [deg]F or less be used.)

[[Page 69359]]

 
\4\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the C Test.

    3.2.2 Tests for a unit having a single-speed compressor where 
the indoor section uses a single variable-speed variable-air-volume 
rate indoor blower or multiple blowers.
    3.2.2.1 Indoor blower capacity modulation that correlates with 
the outdoor dry bulb temperature or systems with a single indoor 
coil but multiple blowers.
    Conduct four steady-state wet coil tests: The A2, 
A1, B2, and B1 Tests. Use the two 
dry-coil tests, the steady-state C1 Test and the d 
D1 Test, to determine the cooling mode cyclic degradation 
coefficient, CD\c\.
    3.2.2.2 Indoor blower capacity modulation based on adjusting the 
sensible to total (S/T) cooling capacity ratio.
    The testing requirements are the same as specified in section 
3.2.1 and Table 4. Use a Cooling Full-load Air Volume Rate that 
represents a normal installation. If performed, conduct the steady-
state C Test and the cyclic D Test with the unit operating in the 
same S/T capacity control mode as used for the B Test.

          Table 5--Cooling Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.2.2.1 Indoor Unit Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit        Air entering outdoor unit
                                             temperature ([deg]F)            temperature ([deg]F)
           Test description            ----------------------------------------------------------------              Cooling air volume rate
                                           Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil)..              80              67              95          \1\ 75  Cooling full-load.\2\
A1 Test--required (steady, wet coil)..              80              67              95          \1\ 75  Cooling minimum.\3\
B2 Test--required (steady, wet coil)..              80              67              82          \1\ 65  Cooling full-load.\2\
B1 Test--required (steady, wet coil)..              80              67              82          \1\ 65  Cooling minimum.\3\
C1 Test \4\--required (steady, dry                  80           (\4\)              82  ..............  Cooling minimum.\3\
 coil).
D1 Test \4\--required (cyclic, dry                  80           (\4\)              82           (\5\)
 coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.2.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 57 [deg]F or less be used.)
\5\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the C1 Test.

    3.2.3 Tests for a unit having a two-capacity compressor. (see 
section 1.2, Definitions)
    a. Conduct four steady-state wet coil tests: The A2, 
B2, B1, and F1 Tests. Use the two 
dry-coil tests, the steady-state C1 Test and the cyclic 
D1 Test, to determine the cooling-mode cyclic-degradation 
coefficient, CD\c\. Table 6 specifies test conditions for 
these six tests.
    b. For units having a variable speed indoor blower that is 
modulated to adjust the sensible to total (S/T) cooling capacity 
ratio, use Cooling Full-load and Cooling Minimum Air Volume Rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the B1 Test.
    c. Test two-capacity, northern heat pumps (see section 1.2, 
Definitions) in the same way as a single speed heat pump with the 
unit operating exclusively at low compressor capacity (see section 
3.2.1 and Table 4).
    d. If a two-capacity air conditioner or heat pump locks out low-
capacity operation at higher outdoor temperatures, then use the two 
dry-coil tests, the steady-state C2 Test and the cyclic 
D2 Test, to determine the cooling-mode cyclic-degradation 
coefficient that only applies to on/off cycling from high capacity, 
CD\c\(k=2). The default CD\c\(k=2) is the same 
value as determined or assigned for the low-capacity cyclic-
degradation coefficient, CD\c\ [or equivalently, 
CD\c\(k=1)].

                                    Table 6--Cooling Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      Air entering indoor unit       Air entering outdoor unit temperature
                                        temperature ([deg]F)                        ([deg]F)                                         Cooling air volume
         Test description         ---------------------------------------------------------------------------  Compressor capacity          rate
                                      Dry bulb        Wet bulb        Dry bulb              Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet                 80              67              95  \1\ 75...................  High................  Cooling Full-
 coil).                                                                                                                              Load.\2\
B2 Test--required (steady, wet                 80              67              82  \1\ 65...................  High................  Cooling Full-Load.
 coil).                                                                                                                              \2\
B1 Test--required (steady, wet                 80              67              82  \1\ 65...................  Low.................  Cooling Minimum. \3\
 coil).
C2 Test--required (steady, dry-                80           (\4\)              82  High.....................  Cooling Full-Load\2\  ....................
 coil).
D2 Test--required (cyclic, dry-                80           (\4\)              82  High.....................  (\5\)...............  ....................
 coil).
C1 Test--required (steady, dry-                80           (\4\)              82  Low......................  Cooling Minimum\3\..  ....................
 coil).
D1 Test--required (cyclic, dry-                80           (\4\)              82  Low......................  (\6\)...............  ....................
 coil).
F1 Test--required (steady, wet                 80              67              67  \1\53.5..................  Low.................  Cooling Minimum.\3\
 coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.2.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet-bulb
  temperature of 57[emsp14][deg]F or less.

[[Page 69360]]

 
\5\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C2 Test.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C1 Test.

    3.2.4 Tests for a unit having a variable-speed compressor.
    a. Conduct five steady-state wet coil tests: The A2, 
EV, B2, B1, and F1 
Tests. Use the two dry-coil tests, the steady-state G1 
Test and the cyclic I1 Test, to determine the cooling 
mode cyclic degradation coefficient, CD\c\. Table 7 
specifies test conditions for these seven tests. Determine the 
intermediate compressor speed cited in Table 7 using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.014

where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed.

    b. For units that modulate the indoor blower speed to adjust the 
sensible to total (S/T) cooling capacity ratio, use Cooling Full-
load, Cooling Intermediate, and Cooling Minimum Air Volume Rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the F1 Test.
    c. For multiple-split air conditioners and heat pumps (except 
where noted), the following procedures supersede the above 
requirements: For all Table 7 tests specified for a minimum 
compressor speed, at least one indoor unit must be turned off. The 
manufacturer shall designate the particular indoor unit(s) that is 
turned off. The manufacturer must also specify the compressor speed 
used for the Table 7 EV Test, a cooling-mode intermediate 
compressor speed that falls within \1/4\ and \3/4\ of the difference 
between the maximum and minimum cooling-mode speeds. The 
manufacturer should prescribe an intermediate speed that is expected 
to yield the highest EER for the given EV Test conditions 
and bracketed compressor speed range. The manufacturer can designate 
that one or more indoor units are turned off for the EV 
Test.

                                    Table 7--Cooling Mode Test Condition for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      Air entering indoor unit       Air entering outdoor unit temperature
                                        temperature ([deg]F)                        ([deg]F)                                         Cooling air volume
         Test description         ---------------------------------------------------------------------------   Compressor speed            rate
                                      Dry bulb        Wet bulb        Dry bulb              Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet                 80              67              95  \1\ 75...................  Maximum.............  Cooling Full-
 coil).                                                                                                                              Load.\2\
B2 Test--required (steady, wet                 80              67              82  \1\ 65...................  Maximum.............  Cooling Full-
 coil).                                                                                                                              Load.\2\
EV Test--required (steady, wet                 80              67              87  \1\ 69...................  Intermediate........  Cooling
 coil).                                                                                                                              Intermediate.\3\
B1 Test--required (steady, wet                 80              67              82  \1\ 65...................  Minimum.............  Cooling Minimum.\4\
 coil).
F1 Test--required (steady, wet                 80              67              67  \1\ 53.5.................  Minimum.............  Cooling Minimum.\4\
 coil).
G1 Test \5\--required (steady,                 80           (\6\)              67  Minimum..................  Cooling Minimum \4\.
 dry-coil).
I1 Test \5\--required (cyclic,                 80           (\6\)              67  Minimum..................  (\6\)...............
 dry-coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.3.
\4\ Defined in section 3.1.4.2.
\5\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet bulb
  temperature of 57 [deg]F or less.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the G1 Test.

    3.2.5 Cooling mode tests for northern heat pumps with triple-
capacity compressors.
    Test triple-capacity, northern heat pumps for the cooling mode 
in the same way as specified in section 3.2.3 for units having a 
two-capacity compressor.
    3.2.6 Tests for an air conditioner or heat pump having a single 
indoor unit having multiple blowers and offering two stages of 
compressor modulation.
    Conduct the cooling mode tests specified in section 3.2.3.
    3.3 Test procedures for steady-state wet coil cooling mode tests 
(the A, A2, A1, B, B2, 
B1, EV, and F1 Tests).
    a. For the pretest interval, operate the test room 
reconditioning apparatus and the unit to be tested until maintaining 
equilibrium conditions for at least 30 minutes at the specified 
section 3.2 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the test 
unit to obtain and then maintain the indoor air volume rate and/or 
external static pressure specified for the particular test. 
Continuously record (see section 1.2, Definitions):
    (1) The dry-bulb temperature of the air entering the indoor 
coil,
    (2) The water vapor content of the air entering the indoor coil,
    (3) The dry-bulb temperature of the air entering the outdoor 
coil, and
    (4) For the section 2.2.4 cases where its control is required, 
the water vapor content of the air entering the outdoor coil.
    Refer to section 3.11 for additional requirements that depend on 
the selected secondary test method.
    b. After satisfying the pretest equilibrium requirements, make 
the measurements specified in Table 3 of ASHRAE Standard 37-2009 for 
the Indoor Air Enthalpy method and the user-selected secondary 
method. Make said Table 3 measurements at equal intervals that span 
5 minutes or less. Continue data sampling until reaching a 30-minute 
period (e.g., four consecutive 10-minute samples) where the test 
tolerances specified in Table 8 are satisfied. For those

[[Page 69361]]

continuously recorded parameters, use the entire data set from the 
30-minute interval to evaluate Table 8 compliance. Determine the 
average electrical power consumption of the air conditioner or heat 
pump over the same 30-minute interval.
    c. Calculate indoor-side total cooling capacity and sensible 
cooling capacity as specified in sections 7.3.3.1 and 7.3.3.3 of 
ASHRAE Standard 37-2009 (incorporated by reference, see Sec.  
430.3). Do not adjust the parameters used in calculating capacity 
for the permitted variations in test conditions. Evaluate air 
enthalpies based on the measured barometric pressure. Use the values 
of the specific heat of air given in section 7.3.3.1 for calculation 
of the sensible cooling capacities. Assign the average total space 
cooling capacity, average sensible cooling capacity, and electrical 
power consumption over the 30-minute data collection interval to the 
variables Qc\k\(T), Qsc\k\(T) and 
[Edot]c\k\(T), respectively. For these three variables, 
replace the ``T'' with the nominal outdoor temperature at which the 
test was conducted. The superscript k is used only when testing 
multi-capacity units. Use the superscript k=2 to denote a test with 
the unit operating at high capacity or maximum speed, k=1 to denote 
low capacity or minimum speed, and k=v to denote the intermediate 
speed.
    d. For units tested without an indoor blower installed, decrease 
Qc\k\(T) by
[GRAPHIC] [TIFF OMITTED] TP09NO15.015

where Vs is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm).

  Table 8--Test Operating and Test Condition Tolerances for Section 3.3
    Steady-State Wet Coil Cooling Mode Tests and Section 3.4 Dry Coil
                           Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F.................  ..............  ..............
    Entering temperature................             2.0             0.5
    Leaving temperature.................             2.0  ..............
Indoor wet-bulb, [deg]F.................  ..............  ..............
    Entering temperature................             1.0         \2\ 0.3
    Leaving temperature.................         \2\ 1.0  ..............
Outdoor dry-bulb, [deg]F................  ..............  ..............
    Entering temperature................             2.0             0.5
    Leaving temperature.................         \3\ 2.0  ..............
Outdoor wet-bulb, [deg]F................  ..............  ..............
    Entering temperature................             1.0         \4\ 0.3
    Leaving temperature.................         \3\ 1.0  ..............
External resistance to airflow, inches              0.12        \5\ 0.02
 of water...............................
Electrical voltage, % of rdg............             2.0             1.5
Nozzle pressure drop, % of rdg..........             8.0  ..............
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Only applies during wet coil tests; does not apply during steady-
  state, dry coil cooling mode tests.
\3\ Only applies when using the Outdoor Air Enthalpy Method.
\4\ Only applies during wet coil cooling mode tests where the unit
  rejects condensate to the outdoor coil.
\5\ Only applies when testing non-ducted units.

    e. For air conditioners and heat pumps having a constant-air-
volume-rate indoor blower, the five additional steps listed below 
are required if the average of the measured external static 
pressures exceeds the applicable sections 3.1.4 minimum (or target) 
external static pressure ([Delta]Pmin) by 0.03 inches of 
water or more.
    1. Measure the average power consumption of the indoor blower 
motor ([Edot]fan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the 30-minute interval used for determining capacity.
    2. After completing the 30-minute interval and while maintaining 
the same test conditions, adjust the exhaust fan of the airflow 
measuring apparatus until the external static pressure increases to 
approximately [Delta]P1 + ([Delta]P1 - 
[Delta]Pmin).
    3. After re-establishing steady readings of the fan motor power 
and external static pressure, determine average values for the 
indoor blower power ([Edot]fan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    4. Approximate the average power consumption of the indoor 
blower motor at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.016

    5. Increase the total space cooling capacity, 
Qc\k\(T), by the quantity ([Edot]fan,1 - 
[Edot]fan,min), when expressed on a Btu/h basis. Decrease 
the total electrical power, [Edot]c\k\(T), by the same 
fan power difference, now expressed in watts.
    3.4 Test procedures for the steady-state dry-coil cooling-mode 
tests (the C, C1, C2, and G1 
Tests).
    a. Except for the modifications noted in this section, conduct 
the steady-state dry coil cooling mode tests as specified in section 
3.3 for wet coil tests. Prior to recording data during the steady-
state dry coil test, operate the unit at least one hour after 
achieving dry coil conditions. Drain the drain pan and plug the 
drain opening. Thereafter, the drain pan should remain completely 
dry.
    b. Denote the resulting total space cooling capacity and 
electrical power derived from the test as Qss,dry and 
[Edot]ss,dry.With regard to a section 3.3 deviation, do 
not adjust Qss,dry for duct losses (i.e., do not apply 
section 7.3.3.3 of ASHRAE Standard 37-2009). In preparing for the 
section 3.5 cyclic tests, record the average indoor-side air volume 
rate, V, specific heat of the air, Cp,a (expressed on dry air 
basis), specific volume of the air at the nozzles, v'n, 
humidity ratio at the nozzles, Wn, and either pressure 
difference or velocity pressure for the flow nozzles. For units 
having a variable-speed indoor fan (that provides either a constant 
or variable air volume rate) that will or may be tested during the 
cyclic dry coil cooling mode test with the indoor fan turned off 
(see section

[[Page 69362]]

3.5), include the electrical power used by the indoor fan motor 
among the recorded parameters from the 30-minute test.
    c. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TP09NO15.017

    Each time a subsequent set of temperature differences is 
recorded (if sampling more frequently than every 5 minutes), 
calculate FCD using the most recent seven sets of values. 
Continue these calculations until the 30-minute period is completed 
or until a value for FCD is calculated that falls outside 
the allowable range of 0.94-1.06. If the latter occurs, immediately 
suspend the test and identify the cause for the disparity in the two 
temperature difference measurements. Recalibration of one or both 
sets of instrumentation may be required. If all the values for 
FCD are within the allowable range, save the final value 
of the ratio from the 30-minute test as FCD*. If the 
temperature sensors used to provide the primary measurement of the 
indoor-side dry bulb temperature difference during the steady-state 
dry-coil test and the subsequent cyclic dry-coil test are the same, 
set FCD*= 1.
    3.5 Test procedures for the cyclic dry-coil cooling-mode tests 
(the D, D1, D2, and I1 Tests).
    a. After completing the steady-state dry-coil test, remove the 
Outdoor Air Enthalpy method test apparatus, if connected, and begin 
manual OFF/ON cycling of the unit's compressor. The test set-up 
should otherwise be identical to the set-up used during the steady-
state dry coil test. When testing heat pumps, leave the reversing 
valve during the compressor OFF cycles in the same position as used 
for the compressor ON cycles, unless automatically changed by the 
controls of the unit. For units having a variable-speed indoor 
blower, the manufacturer has the option of electing at the outset 
whether to conduct the cyclic test with the indoor blower enabled or 
disabled. Always revert to testing with the indoor blower disabled 
if cyclic testing with the fan enabled is unsuccessful.
    b. For units having a single-speed or two-capacity compressor, 
cycle the compressor OFF for 24 minutes and then ON for 6 minutes 
([Delta][tau]cyc,dry = 0.5 hours). For units having a 
variable-speed compressor, cycle the compressor OFF for 48 minutes 
and then ON for 12 minutes ([Delta][tau]cyc,dry = 1.0 
hours). Repeat the OFF/ON compressor cycling pattern until the test 
is completed. Allow the controls of the unit to regulate cycling of 
the outdoor fan. If an upturned duct is used, measure the dry-bulb 
temperature at the inlet of the device at least once every minute 
and ensure that its test operating tolerance is within 
1.0[emsp14][deg]F for each compressor OFF period.
    c. Sections 3.5.1 and 3.5.2 specify airflow requirements through 
the indoor coil of ducted and non-ducted systems, respectively. In 
all cases, use the exhaust fan of the airflow measuring apparatus 
(covered under section 2.6) along with the indoor blower of the 
unit, if installed and operating, to approximate a step response in 
the indoor coil airflow. Regulate the exhaust fan to quickly obtain 
and then maintain the flow nozzle static pressure difference or 
velocity pressure at the same value as was measured during the 
steady-state dry coil test. The pressure difference or velocity 
pressure should be within 2 percent of the value from the steady-
state dry coil test within 15 seconds after airflow initiation. For 
units having a variable-speed indoor blower that ramps when cycling 
on and/or off, use the exhaust fan of the airflow measuring 
apparatus to impose a step response that begins at the initiation of 
ramp up and ends at the termination of ramp down.
    d. For units having a variable-speed indoor blower, conduct the 
cyclic dry coil test using the pull-thru approach described below if 
any of the following occur when testing with the fan operating:
    (1) The test unit automatically cycles off;
    (2) Its blower motor reverses; or
    (3) The unit operates for more than 30 seconds at an external 
static pressure that is 0.1 inches of water or more higher than the 
value measured during the prior steady-state test.
    For the pull-thru approach, disable the indoor blower and use 
the exhaust fan of the airflow measuring apparatus to generate the 
specified flow nozzles static pressure difference or velocity 
pressure. If the exhaust fan cannot deliver the required pressure 
difference because of resistance created by the unpowered blower, 
temporarily remove the blower.
    e. Conduct a minimum of six complete compressor OFF/ON cycles 
for a unit with a single-speed or two-speed compressor, and a 
minimum of five complete compressor OFF/ON cycles for a unit with a 
variable speed compressor. The first three cycles for a unit with a 
single-speed compressor or two-speed compressor and the first two 
cycles for a unit with a unit with a variable speed compressor are 
the warm-up period--the later cycles are called the active cycles. 
Calculate the degradation coefficient CD for each 
complete active cycle if the test tolerances given in Table 9 are 
satisfied. If the average CD for the first three active 
cycles is within 0.02 of the average CD for the first two 
active cycles, use the average CD of the three active 
cycles as the final result. If these averages differ by more than 
0.02, continue the test to get CD for the fourth cycle. 
If the average CD of the last three cycles is lower than 
or no more than 0.02 greater than the average CD of the 
first three cycles, use the average CD of all four active 
cycles as the final result. Otherwise, continue the test with a 
fifth cycle. If the average CD of the last three cycles 
is 0.02 higher than the average for the previous three cycles, use 
the default CD, otherwise use the average CD 
of all five active cycles. If the test tolerances given in Table 9 
are not satisfied, use default CD value. The default 
CD value for cooling is 0.2.
    f. With regard to the Table 9 parameters, continuously record 
the dry-bulb temperature of the air entering the indoor and outdoor 
coils during periods when air flows through the respective coils. 
Sample the water vapor content of the indoor coil inlet air at least 
every 2 minutes during periods when air flows through the coil. 
Record external static pressure and the air volume rate indicator 
(either nozzle pressure difference or velocity pressure) at least 
every minute during the interval that air flows through the indoor 
coil. (These regular measurements of the airflow rate indicator are 
in addition to the required measurement at 15 seconds after flow 
initiation.) Sample the electrical voltage at least every 2 minutes 
beginning 30 seconds after compressor start-up. Continue until the 
compressor, the outdoor fan, and the indoor blower (if it is 
installed and operating) cycle off.
    g. For ducted units, continuously record the dry-bulb 
temperature of the air entering (as noted above) and leaving the 
indoor coil. Or if using a thermopile, continuously record the 
difference between these two temperatures during the interval that 
air flows through the indoor coil. For non-ducted units, make the 
same dry-bulb temperature measurements beginning when the compressor 
cycles on and ending when indoor coil airflow ceases.
    h. Integrate the electrical power over complete cycles of length 
[Delta][tau]cyc,dry. For ducted units tested with an 
indoor blower installed and operating, integrate electrical power 
from indoor blower OFF to indoor blower OFF. For all other ducted 
units and for non-ducted units, integrate electrical power from 
compressor OFF to compressor OFF. (Some cyclic tests will use the 
same data collection intervals to determine the electrical energy

[[Page 69363]]

and the total space cooling. For other units, terminate data 
collection used to determine the electrical energy before 
terminating data collection used to determine total space cooling.)

  Table 9--Test Operating and Test Condition Tolerances for Cyclic Dry
                         Coil Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature                 2.0             0.5
 \2\, [deg]F............................
Indoor entering wet-bulb temperature,     ..............           (\3\)
 [deg]F.................................
Outdoor entering dry-bulb temperature                2.0             0.5
 \2\, [deg]F............................
External resistance to airflow \2\,                 0.12  ..............
 inches of water........................
Airflow nozzle pressure difference or                8.0          \4\2.0
 velocity pressure \2\, % of reading....
Electrical voltage \5\, % of rdg........             2.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow apply from 30
  seconds after achieving full speed until ramp down begins.
\3\ Shall at no time exceed a wet-bulb temperature that results in
  condensate forming on the indoor coil.
\4\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state dry coil test.
\5\ Applies during the interval when at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating except for the first 30 seconds after compressor start-up.

    i. If the Table 9 tolerances are satisfied over the complete 
cycle, record the measured electrical energy consumption as 
ecyc,dry and express it in units of watt-hours. Calculate 
the total space cooling delivered, qcyc,dry, in units of 
Btu using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.018

where vi, Cp,a, vn' (or vn), 
Wn, and FCD* are the values recorded during 
the section 3.4 dry coil steady-state test and
    Tal([tau]) = dry bulb temperature of the air entering 
the indoor coil at time [tau], [deg]F.
    Ta2([tau]) = dry bulb temperature of the air leaving 
the indoor coil at time [tau], [deg]F.
    [tau]1 = for ducted units, the elapsed time when 
airflow is initiated through the indoor coil; for non-ducted units, 
the elapsed time when the compressor is cycled on, hr.
    [tau]2 = the elapsed time when indoor coil airflow 
ceases, hr.
    3.5.1 Procedures when testing ducted systems.
    The automatic controls that are normally installed with the test 
unit must govern the OFF/ON cycling of the air moving equipment on 
the indoor side (exhaust fan of the airflow measuring apparatus and, 
if installed, the indoor blower of the test unit). For example, for 
ducted units tested without an indoor blower installed but rated 
based on using a fan time delay relay, control the indoor coil 
airflow according to the rated ON and/or OFF delays provided by the 
relay. For ducted units having a variable-speed indoor blower that 
has been disabled (and possibly removed), start and stop the indoor 
airflow at the same instances as if the fan were enabled. For all 
other ducted units tested without an indoor blower installed, cycle 
the indoor coil airflow in unison with the cycling of the 
compressor. If air damper boxes are used, close them on the inlet 
and outlet side during the OFF period. Airflow through the indoor 
coil should stop within 3 seconds after the automatic controls of 
the test unit (act to) de-energize the indoor blower. For ducted 
units tested without an indoor blower installed (excluding the 
special case where a variable-speed fan is temporarily removed), 
increase ecyc,dry by the quantity,
[GRAPHIC] [TIFF OMITTED] TP09NO15.019

where Vis is the average indoor air volume rate from the 
section 3.4 dry coil steady-state test and is expressed in units of 
cubic feet per minute of standard air (scfm). For units having a 
variable-speed indoor blower that is disabled during the cyclic 
test, increase ecyc,dry and decrease qcyc,dry 
based on:
    a. The product of [[tau]2 - [tau]1] and the indoor 
blower power measured during or following the dry coil steady-state 
test; or,
    b. The following algorithm if the indoor blower ramps its speed 
when cycling.
    1. Measure the electrical power consumed by the variable-speed 
indoor blower at a minimum of three operating conditions: At the 
speed/air volume rate/external static pressure that was measured 
during the steady-state test, at operating conditions associated 
with the midpoint of the ramp-up interval, and at conditions 
associated with the midpoint of the ramp-down interval. For these 
measurements, the tolerances on the airflow volume or the external 
static pressure are the same as required for the section 3.4 steady-
state test.
    2. For each case, determine the fan power from measurements made 
over a minimum of 5 minutes.
    3. Approximate the electrical energy consumption of the indoor 
blower if it had operated during the cyclic test using all three 
power measurements. Assume a linear profile during the ramp 
intervals. The manufacturer must provide the durations of the ramp-
up and ramp-down intervals. If the test setup instructions included 
with the unit by the manufacturer specifies a ramp interval that 
exceeds 45 seconds, use a 45-second ramp interval nonetheless when 
estimating the fan energy.
    3.5.2 Procedures when testing non-ducted systems.

[[Page 69364]]

    Do not use airflow prevention devices when conducting cyclic 
tests on non-ducted units. Until the last OFF/ON compressor cycle, 
airflow through the indoor coil must cycle off and on in unison with 
the compressor. For the last OFF/ON compressor cycle--the one used 
to determine ecyc,dry and qcyc,dry--use the 
exhaust fan of the airflow measuring apparatus and the indoor blower 
of the test unit to have indoor airflow start 3 minutes prior to 
compressor cut-on and end three minutes after compressor cutoff. 
Subtract the electrical energy used by the indoor blower during the 
3 minutes prior to compressor cut-on from the integrated electrical 
energy, ecyc,dry. Add the electrical energy used by the 
indoor blower during the 3 minutes after compressor cutoff to the 
integrated cooling capacity, qcyc,dry. For the case where 
the non-ducted unit uses a variable-speed indoor blower which is 
disabled during the cyclic test, correct ecyc,dry and 
qcyc,dry using the same approach as prescribed in section 
3.5.1 for ducted units having a disabled variable-speed indoor 
blower.
    3.5.3 Cooling-mode cyclic-degradation coefficient calculation.
    Use the two dry-coil tests to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. Append ``(k=2)'' to the 
coefficient if it corresponds to a two-capacity unit cycling at high 
capacity. The default value for two-capacity units cycling at high 
capacity, however, is the low-capacity coefficient, i.e., 
CD\c\(k=2) = CD\c\. Evaluate CD\c\ 
using the above results and those from the section 3.4 dry-coil 
steady-state test.
[GRAPHIC] [TIFF OMITTED] TP09NO15.020

the average energy efficiency ratio during the cyclic dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TP09NO15.021

the average energy efficiency ratio during the steady-state dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TP09NO15.022

the cooling load factor dimensionless
    Round the calculated value for CD\c\ to the nearest 
0.01. If CD\c\ is negative, then set it equal to zero.
    3.6 Heating mode tests for different types of heat pumps, 
including heating-only heat pumps.
    3.6.1 Tests for a heat pump having a single-speed compressor 
that is tested with a fixed speed indoor blower installed, with a 
constant-air-volume-rate indoor blower installed, or with no indoor 
blower installed. Conduct the High Temperature Cyclic (H1C) Test to 
determine the heating mode cyclic-degradation coefficient, 
CD\h\. Test conditions for the four tests are specified 
in Table 10.

   Table 10--Heating Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor
                      Blower, a Constant Air Volume Rate Indoor Blower, or No Indoor Blower
----------------------------------------------------------------------------------------------------------------
                                   Air entering indoor unit        Air entering outdoor unit
                                     temperature ([deg]F)            temperature ([deg]F)          Heating air
       Test description        ----------------------------------------------------------------    volume rate
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
----------------------------------------------------------------------------------------------------------------
H1 Test (required, steady)....              70       60\(max)\              47              43  Heating Full-
                                                                                                 load.\1\
H1C Test (required, cyclic)...              70       60\(max)\              47              43  (\2\).
H2 Test (required)............              70       60\(max)\              35              33  Heating Full-
                                                                                                 load.\1\
H3 Test (required, steady)....              70       60\(max)\              17              15  Heating Full-
                                                                                                 load.\1\
----------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4.
\2\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the H1 Test.

    3.6.2 Tests for a heat pump having a single-speed compressor and 
a single indoor unit having either (1) a variable speed, variable-
air-rate indoor blower whose capacity modulation correlates with 
outdoor dry bulb temperature or (2) multiple blowers. Conduct five 
tests: Two High Temperature Tests (H12 and 
H11), one Frost Accumulation Test (H22), and 
two Low Temperature Tests (H32 and H31). 
Conducting an additional Frost Accumulation Test (H21) is 
optional. Conduct the High Temperature Cyclic (H1C1) Test 
to determine the heating mode cyclic-degradation coefficient, 
CD\h\. Test conditions for the seven tests are specified 
in Table 11. If the optional H21 Test is not performed, 
use the following equations to approximate the capacity and 
electrical power of the heat pump at the H21 test 
conditions:
[GRAPHIC] [TIFF OMITTED] TP09NO15.023

where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.024


[[Page 69365]]


The quantities Qh\k=2\(47), [Edot]h\k=2\(47), 
Qh\k=1\(47), and [Edot]h\k=1\(47) are 
determined from the H12 and H11 Tests and 
evaluated as specified in section 3.7; the quantities 
Qh\k=2\(35) and [Edot]h\k=2\(35) are 
determined from the H22 Test and evaluated as specified 
in section 3.9; and the quantities Qh\k=2\(17), 
[Edot]h\k=2\(17), Qh\k=1\(17), and 
[Edot]h\k=1\(17), are determined from the H32 
and H31 Tests and evaluated as specified in section 3.10.

   Table 11--Heating Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.6.2
                                            Indoor Unit Requirements
----------------------------------------------------------------------------------------------------------------
                                   Air entering indoor unit        Air entering outdoor unit
                                     temperature ([deg]F)            temperature ([deg]F)          Heating air
       Test description        ----------------------------------------------------------------    volume rate
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
----------------------------------------------------------------------------------------------------------------
H12 Test (required, steady)...              70       60\(max)\              47              43  Heating Full-
                                                                                                 load.\1\
H11 Test (required, steady)...              70       60\(max)\              47              43  Heating
                                                                                                 Minimum.\2\
H1C1 Test (required, cyclic)..              70       60\(max)\              47              43  (\3\)
H22 Test (required)...........              70       60\(max)\              35              33  Heating Full-
                                                                                                 load.\1\
H21 Test (optional)...........              70       60\(max)\              35              33  Heating
                                                                                                 Minimum.\2\
H32 Test (required, steady)...              70       60\(max)\              17              15  Heating Full-
                                                                                                 load.\1\
H31 Test (required, steady)...              70       60\(max)\              17              15  Heating
                                                                                                 Minimum.\2\
----------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4.
\2\ Defined in section 3.1.4.5.
\3\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the H11 Test.

    3.6.3 Tests for a heat pump having a two-capacity compressor 
(see section 1.2, Definitions), including two-capacity, northern 
heat pumps (see section 1.2, Definitions).
    a. Conduct one Maximum Temperature Test (H01), two 
High Temperature Tests (H12and H11), one Frost 
Accumulation Test (H22), and one Low Temperature Test 
(H32). Conduct an additional Frost Accumulation Test 
(H21) and Low Temperature Test (H31) if both 
of the following conditions exist:
    1. Knowledge of the heat pump's capacity and electrical power at 
low compressor capacity for outdoor temperatures of 37 [deg]F and 
less is needed to complete the section 4.2.3 seasonal performance 
calculations; and
    2. The heat pump's controls allow low-capacity operation at 
outdoor temperatures of 37 [deg]F and less.
    If the above two conditions are met, an alternative to 
conducting the H21 Frost Accumulation is to use the 
following equations to approximate the capacity and electrical 
power:
[GRAPHIC] [TIFF OMITTED] TP09NO15.025

    Determine the quantities Qh\k=1\ (47) and 
[Edot]h\k=1\ (47) from the H11 Test and 
evaluate them according to Section 3.7. Determine the quantities 
Qh\k=1\ (17) and [Edot]h\k=1\ (17) from the 
H31 Test and evaluate them according to Section 3.10.
    b. Conduct the High Temperature Cyclic Test (H1C1) to 
determine the heating mode cyclic-degradation coefficient, 
CD\h\. If a two-capacity heat pump locks out low capacity 
operation at lower outdoor temperatures, conduct the High 
Temperature Cyclic Test (H1C2) to determine the high-
capacity heating mode cyclic-degradation coefficient, 
CD\h\ (k=2). The default CD\h\ (k=2) is the 
same value as determined or assigned for the low-capacity cyclic-
degradation coefficient, CD\h\ [or equivalently, 
CD\h\ (k=1)]. Table 12 specifies test conditions for 
these nine tests.

                                    Table 12--Heating Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor unit        Air entering outdoor unit
                                            temperature ([deg]F)            temperature ([deg]F)
           Test description           ----------------------------------------------------------------    Compressor capacity    Heating air volume rate
                                          Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..........              70      60 \(max)\              62            56.5  Low.....................  Heating Minimum.\1\
H12 Test (required, steady)..........              70      60 \(max)\              47              43  High....................  Heating Full-Load.\2\
H1C2 Test (required,\7\ cyclic)......              70      60 \(max)\              47              43  High....................  (\3\).
H11 Test (required)..................              70      60 \(max)\              47              43  Low.....................  Heating Minimum.\1\
H1C1 Test (required, cyclic).........              70      60 \(max)\              47              43  Low.....................  (\4\).
H22 Test (required)..................              70      60 \(max)\              35              33  High....................  Heating Full-Load.\2\
H21 Test 5 6 (required)..............              70      60 \(max)\              35              33  Low.....................  Heating Minimum.\1\
H32 Test (required, steady)..........              70      60 \(max)\              17              15  High....................  Heating Full-Load.\2\

[[Page 69366]]

 
H31 Test \5\ (required, steady)......              70      60 \(max)\              17              15  Low.....................  Heating Minimum.\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Defined in section 3.1.4.4.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 Test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 Test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.3 HSPF calculations.
\6\ If table note #5 applies, the section 3.6.3 equations for Qh\k=1\ (35) and [Edot]h\k=1\ (17) may be used in lieu of conducting the H21 Test.
\7\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures.

    3.6.4 Tests for a heat pump having a variable-speed compressor.
    a. Conduct one Maximum Temperature Test (H01), two 
High Temperature Tests (H12 and H11), one 
Frost Accumulation Test (H2V), and one Low Temperature 
Test (H32). Conducting one or both of the following tests 
is optional: An additional High Temperature Test (H1N) 
and an additional Frost Accumulation Test (H22). Conduct 
the Maximum Temperature Cyclic (H0C1) Test to determine 
the heating mode cyclic-degradation coefficient, CD\h\. 
Test conditions for the eight tests are specified in Table 13. 
Determine the intermediate compressor speed cited in Table 13 using 
the heating mode maximum and minimum compressors speeds and:
[GRAPHIC] [TIFF OMITTED] TP09NO15.026

    Where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed. If the 
H22Test is not done, use the following equations to 
approximate the capacity and electrical power at the H22 
test conditions:
[GRAPHIC] [TIFF OMITTED] TP09NO15.027

    b. Determine the quantities Qh\k=2\(47) and from 
[Edot]h\k=2\(47) from the H12 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qh\k=2\(17) and [Edot]h\k=2\(17) from the 
H32 Test and evaluate them according to section 3.10. For 
heat pumps where the heating mode maximum compressor speed exceeds 
its cooling mode maximum compressor speed, conduct the 
H1N Test if the manufacturer requests it. If the 
H1N Test is done, operate the heat pump's compressor at 
the same speed as the speed used for the cooling mode A2 
Test. Refer to the last sentence of section 4.2 to see how the 
results of the H1N Test may be used in calculating the 
heating seasonal performance factor.

                                   Table 13--Heating Mode Test Conditions for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor unit        Air entering outdoor unit
                                            temperature ([deg]F)            temperature ([deg]F)
           Test description           ----------------------------------------------------------------     Compressor speed      Heating air volume rate
                                          Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..........              70      60 \(max)\              62            56.5  Minimum.................  Heating Minimum.\1\
H0C1 Test (required, steady).........              70      60 \(max)\              62            56.5  Minimum.................  (\2\).
H12 Test (required, steady)..........              70      60 \(max)\              47              43  Maximum.................  Heating Full-Load.\3\
H11 Test (required, steady)..........              70      60 \(max)\              47              43  Minimum.................  Heating Minimum.\1\
H1N Test (optional, steady)..........              70      60 \(max)\              47              43  Cooling Mode Maximum....  Heating Nominal.\4\
H22 Test (optional)..................              70      60 \(max)\              35              33  Maximum.................  Heating Full-Load.\3\
H2V Test (required)..................              70      60 \(max)\              35              33  Intermediate............  Heating
                                                                                                                                  Intermediate.\5\
H32 Test (required, steady)..........              70      60 \(max)\              17              15  Maximum.................  Heating Full-Load.\3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured
  during the H01 Test.

[[Page 69367]]

 
\3\ Defined in section 3.1.4.4.
\4\ Defined in section 3.1.4.7.
\5\ Defined in section 3.1.4.6.

    c. For multiple-split heat pumps (only), the following 
procedures supersede the above requirements. For all Table 13 tests 
specified for a minimum compressor speed, at least one indoor unit 
must be turned off. The manufacturer shall designate the particular 
indoor unit(s) that is turned off. The manufacturer must also 
specify the compressor speed used for the Table 13 H2V 
Test, a heating mode intermediate compressor speed that falls within 
\1/4\ and \3/4\ of the difference between the maximum and minimum 
heating mode speeds. The manufacturer should prescribe an 
intermediate speed that is expected to yield the highest COP for the 
given H2V Test conditions and bracketed compressor speed 
range. The manufacturer can designate that one or more specific 
indoor units are turned off for the H2V Test.
    3.6.5 Additional test for a heat pump having a heat comfort 
controller.
    Test any heat pump that has a heat comfort controller (see 
section 1.2, Definitions) according to section 3.6.1, 3.6.2, or 
3.6.3, whichever applies, with the heat comfort controller disabled. 
Additionally, conduct the abbreviated test described in section 
3.1.9 with the heat comfort controller active to determine the 
system's maximum supply air temperature. (Note: Heat pumps having a 
variable speed compressor and a heat comfort controller are not 
covered in the test procedure at this time.)
    3.6.6 Heating mode tests for northern heat pumps with triple-
capacity compressors.
    Test triple-capacity, northern heat pumps for the heating mode 
as follows:
    (a) Conduct one maximum-temperature test (H01), two 
high-temperature tests (H12 and H11), one 
Frost Accumulation test (H22), two low-temperature tests 
(H32, H33), and one minimum-temperature test 
(H43). Conduct an additional Frost Accumulation test 
(H21) and low- temperature test (H31) if both 
of the following conditions exist: (1) Knowledge of the heat pump's 
capacity and electrical power at low compressor capacity for outdoor 
temperatures of 37 [deg]F and less is needed to complete the section 
4.2.6 seasonal performance calculations; and (2) the heat pump's 
controls allow low-capacity operation at outdoor temperatures of 37 
[deg]F and less. If the above two conditions are met, an alternative 
to conducting the H21 Frost Accumulation Test to 
determine Qh\k=1\(35) and [Edot]h\k=1\(35) is 
to use the following equations to approximate this capacity and 
electrical power:
[GRAPHIC] [TIFF OMITTED] TP09NO15.028

    In evaluating the above equations, determine the quantities 
Qh\k=1\(47) from the H11 Test and evaluate 
them according to section 3.7. Determine the quantities 
Qh\k=1\(17) and [Edot]h\k=1\(17) from the 
H31 Test and evaluate them according to section 3.10. Use 
the paired values of Qh\k=1\(35) and 
[Edot]h\k=1\(35) derived from conducting the 
H21 Frost Accumulation Test and evaluated as specified in 
section 3.9.1 or use the paired values calculated using the above 
default equations, whichever contribute to a higher Region IV HSPF 
based on the DHRmin.
    (b) Conducting a Frost Accumulation Test (H23) with 
the heat pump operating at its booster capacity is optional. If this 
optional test is not conducted, determine Qh\k=3\(35) and 
Eh\k=3\(35) using the following equations to approximate 
this capacity and electrical power:
[GRAPHIC] [TIFF OMITTED] TP09NO15.029

where:
[GRAPHIC] [TIFF OMITTED] TP09NO15.030

    Determine the quantities Qh\k=2\(47) and 
[Edot]h\k=2\(47) from the H12 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qh\k=2\(35) and [Edot]h\k=2\(35) from the 
H22Test and evaluate them according to section 3.9.1. 
Determine the quantities Qh\k=2\(17) and 
[Edot]h\k=2\(17) from the H32Test, determine 
the quantities Qh\k=3\(17) and 
[Edot]h\k=3\(17) from the H33Test, and 
determine the quantities Qh\k=3\(2) and 
[Edot]h\k=3\(2) from the H43Test. Evaluate all 
six quantities according to section 3.10. Use the paired values of 
Qh\k=3\(35) and [Edot]h\k=3\(35) derived from 
conducting the H23Frost Accumulation Test and calculated 
as specified in section 3.9.1 or use the paired values calculated 
using the above default equations, whichever contribute to a higher 
Region IV HSPF based on the DHRmin.
    (c) Conduct the high-temperature cyclic test (H1C1) 
to determine the heating mode cyclic-degradation coefficient, 
CD\h\. If a triple-capacity heat pump locks out low 
capacity operation at lower outdoor temperatures, conduct the high-
temperature cyclic test (H1C2) to determine the high-
capacity heating mode cyclic-degradation coefficient, 
CD\h\ (k=2). The default CD\h\ (k=2) is the 
same value as determined or assigned for the low-capacity cyclic-
degradation coefficient, CD\h\ [or equivalently, 
CD\h\ (k=1)]. Finally, if a triple-capacity heat pump 
locks out both low and high capacity operation at the lowest outdoor 
temperatures, conduct the low-temperature cyclic test 
(H3C3) to determine the booster-capacity heating mode 
cyclic-

[[Page 69368]]

degradation coefficient, CD\h\ (k=3). The default 
CD\h\ (k=3) is the same value as determined or assigned 
for the high-capacity cyclic-degradation coefficient, 
CD\h\ [or equivalently, CD\h\ (k=2)]. Table 14 
specifies test conditions for all 13 tests.

                                   Table 14--Heating Mode Test Conditions for Units With a Triple-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor unit        Air entering outdoor unit
                                            temperature ([deg]F)            temperature ([deg]F)
           Test description           ----------------------------------------------------------------    Compressor capacity    Heating air volume rate
                                          Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..........              70      60 \(max)\              62            56.5  Low.....................  Heating Minimum.\1\
H12 Test (required, steady)..........              70      60 \(max)\              47              43  High....................  Heating Full-Load.\2\
H1C2 Test (required,\8\ cyclic)......              70      60 \(max)\              47              43  High....................  \3\.
H11 Test (required)..................              70      60 \(max)\              47              43  Low.....................  Heating Minimum \1\.
H1C1 Test (required, cyclic).........              70      60 \(max)\              47              43  Low.....................  \4\.
H23 Test (optional, steady)..........              70      60 \(max)\              35              33  Booster.................  Heating Full-Load.\2\
H22 Test (required)..................              70      60 \(max)\              35              33  High....................  Heating Full-Load.\2\
H21 Test (required)..................              70      60 \(max)\              35              33  Low.....................  Heating Minimum.\1\
H33 Test (required, steady)..........              70      60 \(max)\              17              15  Booster.................  Heating Full-Load.\2\
H3C3 Test \5 6\ (required, cyclic)...              70      60 \(max)\              17              15  Booster.................  \7\.
H32 Test (required, steady)..........              70      60 \(max)\              17              15  High....................  Heating Full-Load.\2\
H31 Test \5\ (required, steady)......              70      60 \(max)\              17              15  Low.....................  Heating Minimum.\1\
H43 Test (required, steady)..........              70      60 \(max)\               2               1  Booster.................  Heating Full-Load.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Defined in section 3.1.4.4.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 Test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11Test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.6 HSPF calculations.
\6\ If table note \5\ applies, the section 3.6.6 equations for Qh\k=1\ (35) and [Edot]h\k=1\ (17) may be used in lieu of conducting the H21 Test.
\7\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H33 Test.
\8\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures.

    3.6.7 Tests for a heat pump having a single indoor unit having 
multiple blowers and offering two stages of compressor modulation. 
Conduct the heating mode tests specified in section 3.6.3.
    3.7 Test procedures for steady-state Maximum Temperature and 
High Temperature heating mode tests (the H01, H1, 
H12, H11, and H1N Tests).
    a. For the pretest interval, operate the test room 
reconditioning apparatus and the heat pump until equilibrium 
conditions are maintained for at least 30 minutes at the specified 
section 3.6 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the heat 
pump to obtain and then maintain the indoor air volume rate and/or 
the external static pressure specified for the particular test. 
Continuously record the dry-bulb temperature of the air entering the 
indoor coil, and the dry-bulb temperature and water vapor content of 
the air entering the outdoor coil. Refer to section 3.11 for 
additional requirements that depend on the selected secondary test 
method. After satisfying the pretest equilibrium requirements, make 
the measurements specified in Table 3 of ASHRAE Standard 37-2009 
(incorporated by reference, see Sec.  430.3) for the Indoor Air 
Enthalpy method and the user-selected secondary method. Make said 
Table 3 measurements at equal intervals that span 5 minutes or less. 
Continue data sampling until a 30-minute period (e.g., four 
consecutive 10-minute samples) is reached where the test tolerances 
specified in Table 15 are satisfied. For those continuously recorded 
parameters, use the entire data set for the 30-minute interval when 
evaluating Table 15 compliance. Determine the average electrical 
power consumption of the heat pump over the same 30-minute interval.

 Table 15--Test Operating and Test Condition Tolerances for Section 3.7
            and Section 3.10 Steady-State Heating Mode Tests
------------------------------------------------------------------------
                                                 Test           Test
                                              operating      condition
                                            tolerance \1\  tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F:
    Entering temperature..................           2.0            0.5
    Leaving temperature...................           2.0   .............
Indoor wet-bulb, [deg]F:
    Entering temperature..................           1.0   .............
    Leaving temperature...................           1.0   .............
Outdoor dry-bulb, [deg]F:

[[Page 69369]]

 
    Entering temperature..................           2.0            0.5
    Leaving temperature...................       \2\ 2.0   .............
Outdoor wet-bulb, [deg]F:
    Entering temperature..................           1.0            0.3
    Leaving temperature...................       \2\ 1.0   .............
External resistance to airflow, inches of            0.12       \3\ 0.02
 water....................................
    Electrical voltage, % of rdg..........           2.0            1.5
    Nozzle pressure drop, % of rdg........           8.0   .............
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Only applies when the Outdoor Air Enthalpy Method is used.
\3\ Only applies when testing non-ducted units.

    b. Calculate indoor-side total heating capacity as specified in 
sections 7.3.4.1 and 7.3.4.3 of ASHRAE Standard 37-2009 
(incorporated by reference, see Sec.  430.3). Do not adjust the 
parameters used in calculating capacity for the permitted variations 
in test conditions. Assign the average space heating capacity and 
electrical power over the 30-minute data collection interval to the 
variables Qh\k\ and [Edot]h\k\(T) 
respectively. The ``T'' and superscripted ``k'' are the same as 
described in section 3.3. Additionally, for the heating mode, use 
the superscript to denote results from the optional H1N 
Test, if conducted.
    c. For heat pumps tested without an indoor blower installed, 
increase Qh\k\(T) by
[GRAPHIC] [TIFF OMITTED] TP09NO15.031

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm). 
During the 30-minute data collection interval of a High Temperature 
Test, pay attention to preventing a defrost cycle. Prior to this 
time, allow the heat pump to perform a defrost cycle if 
automatically initiated by its own controls. As in all cases, wait 
for the heat pump's defrost controls to automatically terminate the 
defrost cycle. Heat pumps that undergo a defrost should operate in 
the heating mode for at least 10 minutes after defrost termination 
prior to beginning the 30-minute data collection interval. For some 
heat pumps, frost may accumulate on the outdoor coil during a High 
Temperature test. If the indoor coil leaving air temperature or the 
difference between the leaving and entering air temperatures 
decreases by more than 1.5 [deg]F over the 30-minute data collection 
interval, then do not use the collected data to determine capacity. 
Instead, initiate a defrost cycle. Begin collecting data no sooner 
than 10 minutes after defrost termination. Collect 30 minutes of new 
data during which the Table 15 test tolerances are satisfied. In 
this case, use only the results from the second 30-minute data 
collection interval to evaluate Qh\k\(47) and 
[Edot]h\k\(47).

    d. If conducting the cyclic heating mode test, which is 
described in section 3.8, record the average indoor-side air volume 
rate, Vi, specific heat of the air, Cp,a (expressed on 
dry air basis), specific volume of the air at the nozzles, 
vn' (or vn), humidity ratio at the nozzles, 
Wn, and either pressure difference or velocity pressure 
for the flow nozzles. If either or both of the below criteria apply, 
determine the average, steady-state, electrical power consumption of 
the indoor blower motor ([Edot]fan,1):
    1. The section 3.8 cyclic test will be conducted and the heat 
pump has a variable-speed indoor blower that is expected to be 
disabled during the cyclic test; or
    2. The heat pump has a (variable-speed) constant-air volume-rate 
indoor blower and during the steady-state test the average external 
static pressure ([Delta]P1) exceeds the applicable 
section 3.1.4.4 minimum (or targeted) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more.
    Determine [Edot]fan,1 by making measurements during 
the 30-minute data collection interval, or immediately following the 
test and prior to changing the test conditions. When the above ``2'' 
criteria applies, conduct the following four steps after determining 
[Edot]fan,1 (which corresponds to [Delta]P1):
    i. While maintaining the same test conditions, adjust the 
exhaust fan of the airflow measuring apparatus until the external 
static pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    ii. After re-establishing steady readings for fan motor power 
and external static pressure, determine average values for the 
indoor blower power ([Edot]fan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    iii. Approximate the average power consumption of the indoor 
blower motor if the 30-minute test had been conducted at 
[Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.032

    iv. Decrease the total space heating capacity, 
Qh\k\(T), by the quantity ([Edot]fan,1 - 
[Edot]fan,min), when expressed on a Btu/h basis. Decrease 
the total electrical power, [Edot]h\k\(T) by the same fan 
power difference, now expressed in watts.
    e. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:

[[Page 69370]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.033

    Each time a subsequent set of temperature differences is 
recorded (if sampling more frequently than every 5 minutes), 
calculate FCD using the most recent seven sets of values. 
Continue these calculations until the 30-minute period is completed 
or until a value for FCD is calculated that falls outside 
the allowable range of 0.94-1.06. If the latter occurs, immediately 
suspend the test and identify the cause for the disparity in the two 
temperature difference measurements. Recalibration of one or both 
sets of instrumentation may be required. If all the values for 
FCD are within the allowable range, save the final value 
of the ratio from the 30-minute test as FCD*. If the 
temperature sensors used to provide the primary measurement of the 
indoor-side dry bulb temperature difference during the steady-state 
dry-coil test and the subsequent cyclic dry-coil test are the same, 
set FCD*= 1.
    3.8 Test procedures for the cyclic heating mode tests (the 
H0C1, H1C, H1C1 and H1C2 Tests).
    a. Except as noted below, conduct the cyclic heating mode test 
as specified in section 3.5. As adapted to the heating mode, replace 
section 3.5 references to ``the steady-state dry coil test'' with 
``the heating mode steady-state test conducted at the same test 
conditions as the cyclic heating mode test.'' Use the test 
tolerances in Table 16 rather than Table 9. Record the outdoor coil 
entering wet-bulb temperature according to the requirements given in 
section 3.5 for the outdoor coil entering dry-bulb temperature. Drop 
the subscript ``dry'' used in variables cited in section 3.5 when 
referring to quantities from the cyclic heating mode test., The 
default CD value for heating is 0.25. If available, use 
electric resistance heaters (see section 2.1) to minimize the 
variation in the inlet air temperature. Determine the total space 
heating delivered during the cyclic heating test, qcyc, 
as specified in section 3.5 except for making the following changes:
    (1) When evaluating Equation 3.5-1, use the values of Vi, 
Cp,a,vn', (or vn), and 
Wn that were recorded during the section 3.7 steady-state 
test conducted at the same test conditions.
    (2) Calculate [Gamma] using,

    [GRAPHIC] [TIFF OMITTED] TP09NO15.034
    
where FCD* is the value recorded during the section 3.7 
steady-state test conducted at the same test condition.

    b. For ducted heat pumps tested without an indoor blower 
installed (excluding the special case where a variable-speed fan is 
temporarily removed), increase qcyc by the amount 
calculated using Equation 3.5-3. Additionally, increase 
ecyc by the amount calculated using Equation 3.5-2. In 
making these calculations, use the average indoor air volume rate 
(Vis) determined from the section 3.7 steady-state 
heating mode test conducted at the same test conditions.
    c. For non-ducted heat pumps, subtract the electrical energy 
used by the indoor blower during the 3 minutes after compressor 
cutoff from the non-ducted heat pump's integrated heating capacity, 
qcyc.
    d. If a heat pump defrost cycle is manually or automatically 
initiated immediately prior to or during the OFF/ON cycling, operate 
the heat pump continuously until 10 minutes after defrost 
termination. After that, begin cycling the heat pump immediately or 
delay until the specified test conditions have been re-established. 
Pay attention to preventing defrosts after beginning the cycling 
process. For heat pumps that cycle off the indoor blower during a 
defrost cycle, make no effort here to restrict the air movement 
through the indoor coil while the fan is off. Resume the OFF/ON 
cycling while conducting a minimum of two complete compressor OFF/ON 
cycles before determining qcyc and ecyc.
    3.8.1 Heating mode cyclic-degradation coefficient calculation.
    Use the results from the required cyclic test and the required 
steady-state test that were conducted at the same test conditions to 
determine the heating mode cyclic-degradation coefficient 
CD\h\. Add ``(k=2)'' to the coefficient if it corresponds 
to a two-capacity unit cycling at high capacity. For the below 
calculation of the heating mode cyclic degradation coefficient, do 
not include the duct loss correction from section 7.3.3.3 of ASHRAE 
Standard 37-2009 (incorporated by reference, see Sec.  430.3) in 
determining Qh\k\(Tcyc) (or qcyc). 
The default value for two-capacity units cycling at high capacity, 
however, is the low-capacity coefficient, i.e., CD\h\ 
(k=2) = CD\h\. The tested CDhis 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.035

Where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.036

the average coefficient of performance during the cyclic heating 
mode test, dimensionless.
[GRAPHIC] [TIFF OMITTED] TP09NO15.037


[[Page 69371]]


the average coefficient of performance during the steady-state 
heating mode test conducted at the same test conditions--i.e., same 
outdoor dry bulb temperature, Tcyc, and speed/capacity, 
k, if applicable--as specified for the cyclic heating mode test, 
dimensionless.
[GRAPHIC] [TIFF OMITTED] TP09NO15.038

the heating load factor, dimensionless.
Tcyc = the nominal outdoor temperature at which the 
cyclic heating mode test is conducted, 62 or 47 [deg]F.
[Delta][tau]cyc = the duration of the OFF/ON intervals; 
0.5 hours when testing a heat pump having a single-speed or two-
capacity compressor and 1.0 hour when testing a heat pump having a 
variable-speed compressor.

    Round the calculated value for CD\h\ to the nearest 
0.01. If CD\h\ is negative, then set it equal to zero.

    Table 16--Test Operating and Test Condition Tolerances for Cyclic
                           Heating Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature,\2\             2.0             0.5
 [deg]F.................................
Indoor entering wet-bulb temperature,\2\             1.0  ..............
 [deg]F.................................
Outdoor entering dry-bulb                            2.0             0.5
 temperature,\2\ [deg]F.................
Outdoor entering wet-bulb                            2.0             1.0
 temperature,\2\ [deg]F.................
External resistance to air-flow,\2\                 0.12  ..............
 inches of water........................
Airflow nozzle pressure difference or                2.0         \3\ 2.0
 velocity pressure,\2\% of reading......
Electrical voltage,\4\% of rdg..........             8.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow shall apply
  from 30 seconds after achieving full speed until ramp down begins.
\3\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state test conducted
  at the same test conditions.
\4\ Applies during the interval that at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating, except for the first 30 seconds after compressor start-up.

    3.9 Test procedures for Frost Accumulation heating mode tests 
(the H2, H22, H2V, and H21 Tests).
    a. Confirm that the defrost controls of the heat pump are set as 
specified in section 2.2.1. Operate the test room reconditioning 
apparatus and the heat pump for at least 30 minutes at the specified 
section 3.6 test conditions before starting the ``preliminary'' test 
period. The preliminary test period must immediately precede the 
``official'' test period, which is the heating and defrost interval 
over which data are collected for evaluating average space heating 
capacity and average electrical power consumption.
    b. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals less than one hour, the preliminary 
test period starts at the termination of an automatic defrost cycle 
and ends at the termination of the next occurring automatic defrost 
cycle. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals exceeding one hour, the preliminary 
test period must consist of a heating interval lasting at least one 
hour followed by a defrost cycle that is either manually or 
automatically initiated. In all cases, the heat pump's own controls 
must govern when a defrost cycle terminates.
    c. The official test period begins when the preliminary test 
period ends, at defrost termination. The official test period ends 
at the termination of the next occurring automatic defrost cycle. 
When testing a heat pump that uses a time-adaptive defrost control 
system (see section 1.2, Definitions), however, manually initiate 
the defrost cycle that ends the official test period at the instant 
indicated by instructions provided by the manufacturer. If the heat 
pump has not undergone a defrost after 6 hours, immediately conclude 
the test and use the results from the full 6-hour period to 
calculate the average space heating capacity and average electrical 
power consumption.
    For heat pumps that turn the indoor blower off during the 
defrost cycle, take steps to cease forced airflow through the indoor 
coil and block the outlet duct whenever the heat pump's controls 
cycle off the indoor blower. If it is installed, use the outlet 
damper box described in section 2.5.4.1 to affect the blocked outlet 
duct.
    d. Defrost termination occurs when the controls of the heat pump 
actuate the first change in converting from defrost operation to 
normal heating operation. Defrost initiation occurs when the 
controls of the heat pump first alter its normal heating operation 
in order to eliminate possible accumulations of frost on the outdoor 
coil.
    e. To constitute a valid Frost Accumulation test, satisfy the 
test tolerances specified in Table 17 during both the preliminary 
and official test periods. As noted in Table 17, test operating 
tolerances are specified for two sub-intervals: (1) When heating, 
except for the first 10 minutes after the termination of a defrost 
cycle (Sub-interval H, as described in Table 17) and (2) when 
defrosting, plus these same first 10 minutes after defrost 
termination (Sub-interval D, as described in Table 17). Evaluate 
compliance with Table 17 test condition tolerances and the majority 
of the test operating tolerances using the averages from 
measurements recorded only during Sub-interval H. Continuously 
record the dry bulb temperature of the air entering the indoor coil, 
and the dry bulb temperature and water vapor content of the air 
entering the outdoor coil. Sample the remaining parameters listed in 
Table 17 at equal intervals that span 5 minutes or less.
    f. For the official test period, collect and use the following 
data to calculate average space heating capacity and electrical 
power. During heating and defrosting intervals when the controls of 
the heat pump have the indoor blower on, continuously record the 
dry-bulb temperature of the air entering (as noted above) and 
leaving the indoor coil. If using a thermopile, continuously record 
the difference between the leaving and entering dry-bulb 
temperatures during the interval(s) that air flows through the 
indoor coil. For heat pumps tested without an indoor blower 
installed, determine the corresponding cumulative time (in hours) of 
indoor coil airflow, [Delta][tau]a. Sample measurements 
used in calculating the air volume rate (refer to sections 7.7.2.1 
and 7.7.2.2 of ASHRAE Standard 37-2009) at equal intervals that span 
10 minutes or less. (Note: In the first printing of ASHRAE Standard 
37-2009, the second IP equation for Qmi should read:) 
Record the electrical energy consumed, expressed in watt-hours, from 
defrost termination to defrost termination, 
eDEFk(35), as well as the corresponding 
elapsed time in hours, [Delta][tau]FR.

[[Page 69372]]



        Table 17--Test Operating and Test Condition Tolerances for Frost Accumulation Heating Mode Tests
----------------------------------------------------------------------------------------------------------------
                                                              Test operating tolerance \1\
                                                         -------------------------------------   Test condition
                                                            Sub-interval H    Sub-interval D   tolerance \1\ Sub-
                                                                 \2\                \3\          interval H\2\
----------------------------------------------------------------------------------------------------------------
Indoor entering dry-bulb temperature, [deg]F............               2.0            \4\ 4.0               0.5
Indoor entering wet-bulb temperature, [deg]F............               1.0   ................  .................
Outdoor entering dry-bulb temperature, [deg]F...........               2.0               10.0               1.0
Outdoor entering wet-bulb temperature, [deg]F...........               1.5   ................               0.5
External resistance to airflow, inches of water.........               0.12  ................           \5\ 0.02
Electrical voltage, % of rdg............................               2.0   ................               1.5
----------------------------------------------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Applies when the heat pump is in the heating mode, except for the first 10 minutes after termination of a
  defrost cycle.
\3\ Applies during a defrost cycle and during the first 10 minutes after the termination of a defrost cycle when
  the heat pump is operating in the heating mode.
\4\ For heat pumps that turn off the indoor blower during the defrost cycle, the noted tolerance only applies
  during the 10 minute interval that follows defrost termination.
\5\ Only applies when testing non-ducted heat pumps.

    3.9.1 Average space heating capacity and electrical power 
calculations.
    a. Evaluate average space heating capacity, 
Qhk(35), when expressed in units of Btu per 
hour, using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.039

Where,

Vi = the average indoor air volume rate measured during Sub-interval 
H, cfm.
Cp,a = 0.24 + 0.444 [middot] Wn, the constant 
pressure specific heat of the air-water vapor mixture that flows 
through the indoor coil and is expressed on a dry air basis, Btu/
lbmda [middot] [deg]F.
vn' = specific volume of the air-water vapor mixture at 
the nozzle, ft\3\/lbmmx.
Wn = humidity ratio of the air-water vapor mixture at the 
nozzle, lbm of water vapor per lbm of dry air.
[Delta][tau]FR = [tau]2 - [tau]1, 
the elapsed time from defrost termination to defrost termination, 
hr.
[GRAPHIC] [TIFF OMITTED] TP09NO15.040

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if 
any) where the indoor blower cycles off.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if 
any) where the indoor blower cycles off.
[tau]1 = the elapsed time when the defrost termination 
occurs that begins the official test period, hr.
[tau]2 = the elapsed time when the next automatically 
occurring defrost termination occurs, thus ending the official test 
period, hr.
vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.

    To account for the effect of duct losses between the outlet of 
the indoor unit and the section 2.5.4 dry-bulb temperature grid, 
adjust Qhk(35) in accordance with section 
7.3.4.3 of ASHRAE Standard 37-2009 (incorporated by reference, see 
Sec.  430.3).
    b. Evaluate average electrical power, 
[Edot]hk(35), when expressed in units of 
watts, using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.041

    For heat pumps tested without an indoor blower installed, 
increase Qhk(35) by,
[GRAPHIC] [TIFF OMITTED] TP09NO15.042

    and increase [Edot]hk(35) by,

[[Page 69373]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.043

Where Vis is the average indoor air volume rate measured 
during the Frost Accumulation heating mode test and is expressed in 
units of cubic feet per minute of standard air (scfm).

    c. For heat pumps having a constant-air-volume-rate indoor 
blower, the five additional steps listed below are required if the 
average of the external static pressures measured during sub-
Interval H exceeds the applicable section 3.1.4.4, 3.1.4.5, or 
3.1.4.6 minimum (or targeted) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more:
    1. Measure the average power consumption of the indoor blower 
motor ([Edot]fan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the Frost Accumulation heating mode test. Make the 
measurement at a time when the heat pump is heating, except for the 
first 10 minutes after the termination of a defrost cycle.
    2. After the Frost Accumulation heating mode test is completed 
and while maintaining the same test conditions, adjust the exhaust 
fan of the airflow measuring apparatus until the external static 
pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    3. After re-establishing steady readings for the fan motor power 
and external static pressure, determine average values for the 
indoor blower power ([Edot]fan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    4. Approximate the average power consumption of the indoor 
blower motor had the Frost Accumulation heating mode test been 
conducted at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.044

    5. Decrease the total heating capacity, 
Qhk(35), by the quantity 
[([Edot]fan,1 -[Edot]fan,min)[middot] 
([Delta][tau] a/[Delta][tau] FR], when 
expressed on a Btu/h basis. Decrease the total electrical power, 
Ehk(35), by the same quantity, now expressed 
in watts.
    3.9.2 Demand defrost credit.
    a. Assign the demand defrost credit, Fdef, that is 
used in section 4.2 to the value of 1 in all cases except for heat 
pumps having a demand-defrost control system (see section 1.2, 
Definitions). For such qualifying heat pumps, evaluate 
Fdef using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.045

Where,

[Delta][tau]def = the time between defrost terminations 
(in hours) or 1.5, whichever is greater. A value of 6 must be 
assigned to [Delta][tau]def if this limit is reached 
during a Frost Accumulation test and the heat pump has not completed 
a defrost cycle.
[Delta][tau]max = maximum time between defrosts as 
allowed by the controls (in hours) or 12, whichever is less, as 
provided in the installation manuals included with the unit by the 
manufacturer.

    b. For two-capacity heat pumps and for section 3.6.2 units, 
evaluate the above equation using the [Delta][tau]def 
that applies based on the Frost Accumulation Test conducted at high 
capacity and/or at the Heating Full-load Air Volume Rate. For 
variable-speed heat pumps, evaluate [Delta][tau]def based 
on the required Frost Accumulation Test conducted at the 
intermediate compressor speed.
    3.10 Test procedures for steady-state Low Temperature heating 
mode tests (the H3, H32, and H31 Tests).
    Except for the modifications noted in this section, conduct the 
Low Temperature heating mode test using the same approach as 
specified in section 3.7 for the Maximum and High Temperature tests. 
After satisfying the section 3.7 requirements for the pretest 
interval but before beginning to collect data to determine 
Qh\k\(17) and [Edot]h\k\(17), conduct a 
defrost cycle. This defrost cycle may be manually or automatically 
initiated. The defrost sequence must be terminated by the action of 
the heat pump's defrost controls. Begin the 30-minute data 
collection interval described in section 3.7, from which 
Qh\k\(17) and [Edot]h\k\(17) are determined, 
no sooner than 10 minutes after defrost termination. Defrosts should 
be prevented over the 30-minute data collection interval.
    3.11 Additional requirements for the secondary test methods.
    3.11.1 If using the Outdoor Air Enthalpy Method as the secondary 
test method.
    During the ``official'' test, the outdoor air-side test 
apparatus described in section 2.10.1 is connected to the outdoor 
unit. To help compensate for any effect that the addition of this 
test apparatus may have on the unit's performance, conduct a 
``preliminary'' test where the outdoor air-side test apparatus is 
disconnected. Conduct a preliminary test prior to the first section 
3.2 steady-state cooling mode test and prior to the first section 
3.6 steady-state heating mode test. No other preliminary tests are 
required so long as the unit operates the outdoor fan during all 
cooling mode steady-state tests at the same speed and all heating 
mode steady-state tests at the same speed. If using more than one 
outdoor fan speed for the cooling mode steady-state tests, however, 
conduct a preliminary test prior to each cooling mode test where a 
different fan speed is first used. This same requirement applies for 
the heating mode tests.
    3.11.1.1 If a preliminary test precedes the official test.
    a. The test conditions for the preliminary test are the same as 
specified for the official test. Connect the indoor air-side test 
apparatus to the indoor coil; disconnect the outdoor air-side test 
apparatus. Allow the test room reconditioning apparatus and the unit 
being tested to operate for at least one hour. After attaining 
equilibrium conditions, measure the following quantities at equal 
intervals that span 5 minutes or less:
    1. The section 2.10.1 evaporator and condenser temperatures or 
pressures;
    2. Parameters required according to the Indoor Air Enthalpy 
Method.
    Continue these measurements until a 30-minute period (e.g., four 
consecutive 10-minute samples) is obtained where the Table 8 or 
Table 15, whichever applies, test tolerances are satisfied.
    b. After collecting 30 minutes of steady-state data, reconnect 
the outdoor air-side test apparatus to the unit. Adjust the exhaust 
fan of the outdoor airflow measuring apparatus until averages for 
the evaporator and condenser temperatures, or the saturated 
temperatures corresponding to the measured pressures, agree within 
0.5[emsp14][deg]F of the averages achieved when the 
outdoor air-side test apparatus was disconnected. Calculate the 
averages for the reconnected case using five or more consecutive 
readings taken at one minute intervals. Make these consecutive 
readings after re-establishing equilibrium conditions and before 
initiating the official test.
    3.11.1.2 If a preliminary test does not precede the official 
test.
    Connect the outdoor-side test apparatus to the unit. Adjust the 
exhaust fan of the outdoor airflow measuring apparatus to achieve 
the same external static pressure as

[[Page 69374]]

measured during the prior preliminary test conducted with the unit 
operating in the same cooling or heating mode at the same outdoor 
fan speed.
    3.11.1.3 Official test.
    a. Continue (preliminary test was conducted) or begin (no 
preliminary test) the official test by making measurements for both 
the Indoor and Outdoor Air Enthalpy Methods at equal intervals that 
span 5 minutes or less. Discontinue these measurements only after 
obtaining a 30-minute period where the specified test condition and 
test operating tolerances are satisfied. To constitute a valid 
official test:
    (1) Achieve the energy balance specified in section 3.1.1; and,
    (2) For cases where a preliminary test is conducted, the 
capacities determined using the Indoor Air Enthalpy Method from the 
official and preliminary test periods must agree within 2.0 percent.
    b. For space cooling tests, calculate capacity from the outdoor 
air-enthalpy measurements as specified in sections 7.3.3.2 and 
7.3.3.3 of ASHRAE Standard 37-2009 (incorporated by reference, see 
Sec.  430.3). Calculate heating capacity based on outdoor air-
enthalpy measurements as specified in sections 7.3.4.2 and 7.3.3.4.3 
of the same ASHRAE Standard. Adjust the outdoor-side capacity 
according to section 7.3.3.4 of ASHRAE Standard 37-2009 to account 
for line losses when testing split systems. Use the outdoor unit fan 
power as measured during the official test and not the value 
measured during the preliminary test, as described in section 8.6.2 
of ASHRAE Standard 37-2009, when calculating the capacity.
    3.11.2 If using the Compressor Calibration Method as the 
secondary test method.
    a. Conduct separate calibration tests using a calorimeter to 
determine the refrigerant flow rate. Or for cases where the 
superheat of the refrigerant leaving the evaporator is less than 
5[emsp14][deg]F, use the calorimeter to measure total capacity 
rather than refrigerant flow rate. Conduct these calibration tests 
at the same test conditions as specified for the tests in this 
appendix. Operate the unit for at least one hour or until obtaining 
equilibrium conditions before collecting data that will be used in 
determining the average refrigerant flow rate or total capacity. 
Sample the data at equal intervals that span 5 minutes or less. 
Determine average flow rate or average capacity from data sampled 
over a 30-minute period where the Table 8 (cooling) or the Table 15 
(heating) tolerances are satisfied. Otherwise, conduct the 
calibration tests according to sections 5, 6, 7, and 8 of ASHRAE 
Standard 23.1-2010 (incorporated by reference, see Sec.  430.3); 
sections 5, 6, 7, 8, 9, and 11 of ASHRAE Standard 41.9-2011 
(incorporated by reference, see Sec.  430.3); and section 7.4 of 
ASHRAE Standard 37-2009(incorporated by reference, see Sec.  430.3).
    b. Calculate space cooling and space heating capacities using 
the compressor calibration method measurements as specified in 
section 7.4.5 and 7.4.6 respectively, of ASHRAE Standard 37-2009.
    3.11.3 If using the Refrigerant-Enthalpy Method as the secondary 
test method.
    Conduct this secondary method according to section 7.5 of ASHRAE 
Standard 37-2009. Calculate space cooling and heating capacities 
using the refrigerant-enthalpy method measurements as specified in 
sections 7.5.4 and 7.5.5, respectively, of the same ASHRAE Standard.
    3.12 Rounding of space conditioning capacities for reporting 
purposes.
    a. When reporting rated capacities, round them off as specified 
in Sec.  430.23 (for a single unit) and in 10 CFR 429.16 (for a 
sample).
    b. For the capacities used to perform the section 4 
calculations, however, round only to the nearest integer.
    3.13 Laboratory testing to determine off mode average power 
ratings.
    Conduct one of the following tests after the completion of the 
B, B1, or B2 Test, whichever comes last: If 
the central air conditioner or heat pump lacks a compressor 
crankcase heater, perform the test in Section 3.13.1; if the central 
air conditioner or heat pump has compressor crankcase heater that 
lacks controls, perform the test in Section 3.13.1; if the central 
air conditioner or heat pump has a compressor crankcase heater 
equipped with controls, perform the test in Section 3.13.2.
    3.13.1 This test determines the off mode average power rating 
for central air conditioners and heat pumps that lack a compressor 
crankcase heater, or have a compressor crankcase heater that lacks 
controls.
    a. Configure Controls: Configure the controls of the central air 
conditioner or heat pump so that it operates as if connected to a 
building thermostat that is set to the OFF position. This particular 
test contains no requirements as to ambient conditions within the 
test rooms, and room conditions are allowed to change during the 
test. Ensure that the low-voltage transformer and low-voltage 
components are connected.
    b. Measure P1x: Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P1x, 
the shoulder season total off mode power.
    c. Measure Px for coil-only split systems (that would be 
installed in the field with a furnace having a dedicated board for 
indoor controls) and for blower-coil split systems for which a 
furnace is the designated air mover: Disconnect all low-voltage 
wiring for the outdoor components and outdoor controls from the low-
voltage transformer. Determine the average power from non-zero value 
data measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px.
    d. Calculate P1:
    Single-package systems and blower coil split systems for which 
the designated air mover is not a furnace: Divide the shoulder 
season total off mode power (P1x) by the number of compressors to 
calculate P1, the shoulder season per-compressor off mode power. If 
the compressor is a modulating-type, assign a value of 1.5 for the 
number of compressors. Round P1 to the nearest watt and record as 
both P1 and P2, the latter of which is the heating season per-
compressor off mode power. The expression for calculating P1 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.046

    Coil-only split systems (that would be installed in the field 
with a furnace having a dedicated board for indoor controls) and 
blower-coil split systems for which a furnace is the designated air 
mover: Subtract the low-voltage power (Px) from the shoulder season 
total off mode power (P1x) and divide by the number of compressors 
to calculate P1, the shoulder season per-compressor off mode power. 
If the compressor is a modulating-type, assign a value of 1.5 for 
the number of compressors. Round P1 to the nearest watt and record 
as both P1 and P2, the latter of which is the heating season per-
compressor off mode power. The expression for calculating P1 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.047

    3.13.2 This test determines the off mode average power rating 
for central air conditioners and heat pumps that have a compressor 
crankcase heater equipped with controls.
    a. Configure Controls: Position a temperature sensor to measure 
the outdoor dry-bulb temperature in the air between 2 and 6 inches 
from the crankcase heater temperature sensor or, if no such 
temperature sensor exists, position it in the air between 2 and 6 
inches from the crankcase heater. Utilize the temperature 
measurements from this sensor for this portion of the test 
procedure. Configure the controls of the central air conditioner or 
heat pump so that it operates as if connected to a building 
thermostat that is set to the OFF position. Ensure that the low-
voltage transformer and low-voltage components are connected. Adjust 
the outdoor temperature at a rate of change of no more than 20 
[deg]F per hour and achieve an outdoor dry-bulb temperature of 72 
[deg]F. Maintain this temperature within 2 [deg]F for at 
least 5 minutes, while maintaining an indoor dry-bulb temperature of 
between 75 [deg]F and 85 [deg]F.
    b. Measure P1x: Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P1x, 
the shoulder season total off mode power.
    c. Reconfigure Controls: In the process of reaching the target 
outdoor dry-bulb temperature, adjust the outdoor temperature at a 
rate of change of no more than 20 [deg]F per hour. This target 
temperature is the temperature specified by the manufacturer in the 
DOE Compliance Certification Database at which the crankcase heater 
turns on, minus five degrees Fahrenheit. Maintain this temperature 
within 2 [deg]F for at least 5 minutes, while 
maintaining an indoor dry-bulb temperature of between 75 [deg]F and 
85 [deg]F.
    d. Measure P2x: Determine the average non-zero power of the non-
operating central air conditioner or heat pump over a 5-minute 
interval and designate it as P2x, the heating season total off mode 
power.

[[Page 69375]]

    e. Measure Px for coil-only split systems (that would be 
installed in the field with a furnace having a dedicated board for 
indoor controls) and for blower-coil split systems for which a 
furnace is the designated air mover: Disconnect all low-voltage 
wiring for the outdoor components and outdoor controls from the low-
voltage transformer. Determine the average power from non-zero value 
data measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px.
    f. Calculate P1:
    Single-package systems and blower coil split systems for which 
the air mover is not a furnace: Divide the shoulder season total off 
mode power (P1x) by the number of compressors to calculate P1, the 
shoulder season per-compressor off mode power. Round to the nearest 
watt. If the compressor is a modulating-type, assign a value of 1.5 
for the number of compressors. The expression for calculating P1 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.048

    Coil-only split systems (that would be installed in the field 
with a furnace having a dedicated board for indoor controls) and 
blower-coil split systems for which a furnace is the designated air 
mover: Subtract the low-voltage power (Px) from the shoulder season 
total off mode power (P1x) and divide by the number of compressors 
to calculate P1, the shoulder season per-compressor off mode power. 
Round to the nearest watt. If the compressor is a modulating-type, 
assign a value of 1.5 for the number of compressors. The expression 
for calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.049

    h. Calculate P2:
    Single-package systems and blower coil split systems for which 
the air mover is not a furnace: Divide the heating season total off 
mode power (P2x) by the number of compressors to calculate P2, the 
heating season per-compressor off mode power. Round to the nearest 
watt. If the compressor is a modulating-type, assign a value of 1.5 
for the number of compressors. The expression for calculating P2 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.050

    Coil-only split systems (that would be installed in the field 
with a furnace having a dedicated board for indoor controls) and 
blower-coil split systems for which a furnace is the designated air 
mover: Subtract the low-voltage power (Px) from the heating season 
total off mode power (P2x) and divide by the number of compressors 
to calculate P2, the heating season per-compressor off mode power. 
Round to the nearest watt. If the compressor is a modulating-type, 
assign a value of 1.5 for the number of compressors. The expression 
for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.051

4. Calculations of Seasonal Performance Descriptors

    4.1 Seasonal Energy Efficiency Ratio (SEER) Calculations. SEER 
must be calculated as follows: For equipment covered under sections 
4.1.2, 4.1.3, and 4.1.4, evaluate the seasonal energy efficiency 
ratio,
[GRAPHIC] [TIFF OMITTED] TP09NO15.052

Where,

[GRAPHIC] [TIFF OMITTED] TP09NO15.053


[[Page 69376]]


Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are grouped or ``binned.'' Use bins of 5 [deg]F with 
the 8 cooling season bin temperatures being 67, 72, 77, 82, 87, 92, 
97, and 102 [deg]F.
j = the bin number. For cooling season calculations, j ranges from 1 
to 8.

    Additionally, for sections 4.1.2, 4.1.3, and 4.1.4, use a 
building cooling load, BL(Tj). When referenced, evaluate 
BL(Tj) for cooling using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.054

where,

Qc\k=2\(95) = the space cooling capacity determined from 
the A2 Test and calculated as specified in section 3.3, 
Btu/h.
1.1 = sizing factor, dimensionless.

    The temperatures 95 [deg]F and 65 [deg]F in the building load 
equation represent the selected outdoor design temperature and the 
zero-load base temperature, respectively.
    4.1.1 SEER calculations for an air conditioner or heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor blower installed, a constant-air-volume-rate indoor blower 
installed, or with no indoor blower installed.
    a. Evaluate the seasonal energy efficiency ratio, expressed in 
units of Btu/watt-hour, using:

SEER = PLF(0.5) * EERB

where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.055

PLF(0.5) = 1 - 0.5 [middot] CD\c\, the part-load 
performance factor evaluated at a cooling load factor of 0.5, 
dimensionless.

    b. Refer to section 3.3 regarding the definition and calculation 
of Qc(82) and [Edot]c(82).
    4.1.2 SEER calculations for an air conditioner or heat pump 
having a single-speed compressor and a variable-speed variable-air-
volume-rate indoor blower.
    4.1.2.1 Units covered by section 3.2.2.1 where indoor blower 
capacity modulation correlates with the outdoor dry bulb 
temperature. The manufacturer must provide information on how the 
indoor air volume rate or the indoor blower speed varies over the 
outdoor temperature range of 67 [deg]F to 102 [deg]F. Calculate SEER 
using Equation 4.1-1. Evaluate the quantity 
qc(Tj)/N in Equation 4.1-1 using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.056

[GRAPHIC] [TIFF OMITTED] TP09NO15.057

where,

Qc(Tj) = the space cooling capacity of the 
test unit when operating at outdoor temperature, Tj, Btu/
h.
nj/N = fractional bin hours for the cooling season; the 
ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless.

    a. For the space cooling season, assign nj/N as 
specified in Table 18. Use Equation 4.1-2 to calculate the building 
load, BL(Tj). Evaluate Qc(Tj) 
using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.058

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling Minimum Air Volume Rate, 
Btu/h.

[[Page 69377]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.059

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling Full-load Air Volume Rate, 
Btu/h.
    b. For units where indoor blower speed is the primary control 
variable, FPc\k=1\ denotes the fan speed used during the 
required A1 and B1 Tests (see section 
3.2.2.1), FPc\k=2\ denotes the fan speed used during the 
required A2 and B2 Tests, and 
FPc(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPc's are similarly defined only now being expressed in 
terms of air volume rates rather than fan speeds. Refer to sections 
3.2.2.1, 3.1.4 to 3.1.4.2, and 3.3 regarding the definitions and 
calculations of Qc\k=1\(82), 
Qc\k=1\(95),Qc\k=2\(82), and 
Qc\k=2\(95).
[GRAPHIC] [TIFF OMITTED] TP09NO15.060

where,

PLFj = 1 - CD\c\ [middot] [1 - 
X(Tj)], the part load factor, dimensionless.
[Edot]c(Tj) = the electrical power consumption 
of the test unit when operating at outdoor temperature 
Tj, W.

    c. The quantities X(Tj) and nj/N are the 
same quantities as used in Equation 4.1.2-1.
    d. Evaluate [Edot]c(Tj) using,
    [GRAPHIC] [TIFF OMITTED] TP09NO15.061
    
the electrical power consumption of the test unit at outdoor 
temperature Tj if operated at the Cooling Minimum Air 
Volume Rate, W.
[GRAPHIC] [TIFF OMITTED] TP09NO15.062

    e. The parameters FPc\k=1\, and FPc\k=2\, 
and FPc(Tj) are the same quantities that are 
used when evaluating Equation 4.1.2-2. Refer to sections 3.2.2.1, 
3.1.4 to 3.1.4.2, and 3.3 regarding the definitions and calculations 
of [Edot]c\k=1\(82), [Edot]c\k=1\(95), 
[Edot]c\k=2\(82), and [Edot]c\k=2\(95).
    4.1.2.2 Units covered by section 3.2.2.2 where indoor blower 
capacity modulation is used to adjust the sensible to total cooling 
capacity ratio. Calculate SEER as specified in section 4.1.1.
    4.1.3 SEER calculations for an air conditioner or heat pump 
having a two-capacity compressor. Calculate SEER using Equation 4.1-
1. Evaluate the space cooling capacity, Qc\k=1\ 
(Tj), and electrical power consumption, 
[Edot]c\k=1\ (Tj), of the test unit when 
operating at low compressor capacity and outdoor temperature 
Tj using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.063

where Qc\k=1\ (82) and [Edot]c\k=1\ (82) are 
determined from the B1 Test, Qc\k=1\ (67) and 
[Edot]c\k=1\ (67) are determined from the 
F1Test, and all four quantities are calculated as 
specified in section 3.3. Evaluate the space cooling capacity, 
Qc\k=2\ (Tj), and electrical power 
consumption, [Edot]c\k=2\ (Tj), of the test 
unit when operating at high compressor capacity and outdoor 
temperature Tj using,

[[Page 69378]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.064

where Qc\k=2\(95) and [Edot]c\k=2\(95) are 
determined from the A2 Test, Qc\k=2\(82), and 
[Edot]c\k=2\(82), are determined from the 
B2Test, and all are calculated as specified in section 
3.3.
    The calculation of Equation 4.1-1 quantities 
qc(Tj)/N and ec(Tj)/N 
differs depending on whether the test unit would operate at low 
capacity (section 4.1.3.1), cycle between low and high capacity 
(section 4.1.3.2), or operate at high capacity (sections 4.1.3.3 and 
4.1.3.4) in responding to the building load. For units that lock out 
low capacity operation at higher outdoor temperatures, the 
manufacturer must supply information regarding this temperature so 
that the appropriate equations are used. Use Equation 4.1-2 to 
calculate the building load, BL(Tj), for each temperature 
bin.
    4.1.3.1 Steady-state space cooling capacity at low compressor 
capacity is greater than or equal to the building cooling load at 
temperature Tj, Qc\k=1\(Tj) >= 
BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.065

where,

Xk=1(Tj) = BL(Tj)/
Qck=1 (Tj), the cooling mode low 
capacity load factor for temperature bin j, dimensionless.

PLFj = 1 - CDc [middot] [1 - 
Xk=1(Tj)], the part load factor, 
dimensionless.

[GRAPHIC] [TIFF OMITTED] TP09NO15.066

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1(Tj) 
and [Edot]ck=1(Tj).

                Table 18--Distribution of Fractional Hours Within Cooling Season Temperature Bins
----------------------------------------------------------------------------------------------------------------
                                                                              Representative   Fraction of total
                     Bin number, j                        Bin temperature    temperature for     temperature bin
                                                            range [deg]F        bin [deg]F        hours, nj/N
----------------------------------------------------------------------------------------------------------------
1......................................................              65-69                 67              0.214
2......................................................              70-74                 72              0.231
3......................................................              75-79                 77              0.216
4......................................................              80-84                 82              0.161
5......................................................              85-89                 87              0.104
6......................................................              90-94                 92              0.052
7......................................................              95-99                 97              0.018
8......................................................            100-104                102              0.004
----------------------------------------------------------------------------------------------------------------

    4.1.3.2 Unit alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building cooling load at 
temperature Tj, 
Qck=1(Tj) j) 
ck=2(Tj).

[[Page 69379]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.067

where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.068

Xk=2(Tj) = 1 - Xk=1(Tj), 
the cooling mode, high capacity load factor for temperature bin j, 
dimensionless.

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1(Tj) 
and [Edot]ck=1(Tj). Use Equations 
4.1.3-3 and 4.1.3-4, respectively, to evaluate 
Qck=2(Tj) and 
[Edot]ck=2(Tj).
    4.1.3.3 Unit only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the 
building cooling load, BL(Tj) < 
Qck=2(Tj). This section applies to 
units that lock out low compressor capacity operation at higher 
outdoor temperatures.
[GRAPHIC] [TIFF OMITTED] TP09NO15.069

where,

Xk=2(Tj) = BL(Tj)/
Qck=2(Tj), the cooling mode high 
capacity load factor for temperature bin j, dimensionless.
PLFj = 1 - CDc(k = 2) * [1 - Xk=2(Tj) the part load factor, 
dimensionless.

[GRAPHIC] [TIFF OMITTED] TP09NO15.070

    4.1.3.4 Unit must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) >= 
Qck=2(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.071

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qck=2(Tj) 
and [Edot]ck=2(Tj).
    4.1.4 SEER calculations for an air conditioner or heat pump 
having a variable-speed compressor. Calculate SEER using Equation 
4.1-1. Evaluate the space cooling capacity, 
Qck=1(Tj), and electrical power 
consumption, [Edot]ck=1(Tj), of the 
test unit when operating at minimum compressor speed and outdoor 
temperature Tj. Use,
[GRAPHIC] [TIFF OMITTED] TP09NO15.072


[[Page 69380]]


where Qck=1(82) and 
[Edot]ck=1(82) are determined from the 
B1 Test, Qck=1(67) and 
[Edot]ck=1(67) are determined from the F1 
Test, and all four quantities are calculated as specified in section 
3.3. Evaluate the space cooling capacity, 
Qck=2(Tj), and electrical power 
consumption, [Edot]ck=2(Tj), of the 
test unit when operating at maximum compressor speed and outdoor 
temperature Tj. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, where Qck=2(95) and 
[Edot]ck=2(95) are determined from the 
A2 Test, Qck=2(82) and 
[Edot]ck=2(82) are determined from the 
B2 Test, and all four quantities are calculated as 
specified in section 3.3. Calculate the space cooling capacity, 
Qck=v(Tj), and electrical power 
consumption, [Edot]ck=v(Tj), of the 
test unit when operating at outdoor temperature Tj and 
the intermediate compressor speed used during the section 3.2.4 (and 
Table 7) EV Test using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.073

    4.1.4.1 Steady-state space cooling capacity when operating at 
minimum compressor speed is greater than or equal to the building 
cooling load at temperature Tj, 
Qck=1(Tj) >= BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.074

where,

Xk=1(Tj) = BL(Tj)/
Qck=1(Tj), the cooling mode minimum 
speed load factor for temperature bin j, dimensionless.
PLFj = 1 - CDc [middot] [1 - 
Xk=1(Tj)], the part load factor, 
dimensionless.
nj/N = fractional bin hours for the cooling season; the 
ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless.

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1 
(Tj) and [Edot]ck=1 
(Tj).
    4.1.4.2 Unit operates at an intermediate compressor speed (k=i) 
in order to match the building cooling load at temperature 
Tj,Qck=1(Tj) < 
BL(Tj) < Qck=2(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.075

where,

Qck=i(Tj) = BL(Tj), the 
space cooling capacity delivered by the unit in matching the 
building load at temperature Tj, Btu/h. The matching 
occurs with the unit operating at compressor speed k = i.
[GRAPHIC] [TIFF OMITTED] TP09NO15.076

the electrical power input required by the test unit when operating 
at a compressor speed of k = i and temperature Tj, W.
EERk=i(Tj) = the steady-state energy 
efficiency ratio of the test unit when operating at a compressor 
speed of k = i and temperature Tj, Btu/h per W.

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. For each temperature bin where the 
unit operates at an intermediate compressor speed, determine the 
energy efficiency ratio EERk=i(Tj) using,

EERk=i(Tj) = A + B [middot] Tj + C 
[middot] Tj\2\.

    For each unit, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TP09NO15.077


[[Page 69381]]


where,

T1 = the outdoor temperature at which the unit, when 
operating at minimum compressor speed, provides a space cooling 
capacity that is equal to the building load 
(Qck=1 (Tl) = BL(T1)), 
[deg]F. Determine T1 by equating Equations 4.1.3-1 and 
4.1-2 and solving for outdoor temperature.
Tv = the outdoor temperature at which the unit, when 
operating at the intermediate compressor speed used during the 
section 3.2.4 EV Test, provides a space cooling capacity 
that is equal to the building load (Qck=v 
(Tv) = BL(Tv)), [deg]F. Determine 
Tv by equating Equations 4.1.4-1 and 4.1-2 and solving 
for outdoor temperature.
T2 = the outdoor temperature at which the unit, when 
operating at maximum compressor speed, provides a space cooling 
capacity that is equal to the building load 
(Qck=2 (T2) = BL(T2)), 
[deg]F. Determine T2 by equating Equations 4.1.3-3 and 
4.1-2 and solving for outdoor temperature.

[GRAPHIC] [TIFF OMITTED] TP09NO15.078

    4.1.4.3 Unit must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) 
>=Qck=2(Tj). Evaluate the Equation 
4.1-1 quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.079

    as specified in section 4.1.3.4 with the understanding that 
Qck=2(Tj) and 
[Edot]ck=2(Tj) correspond to 
maximum compressor speed operation and are derived from the results 
of the tests specified in section 3.2.4.
    4.1.5 SEER calculations for an air conditioner or heat pump 
having a single indoor unit with multiple blowers. Calculate SEER 
using Eq. 4.1-1, where qc(Tj)/N and ec(Tj)/N 
are evaluated as specified in applicable below subsection.
    4.1.5.1 For multiple blower systems that are connected to a 
lone, single-speed outdoor unit. a. Calculate the space cooling 
capacity, Qk=1(Tj), and electrical power consumption, 
[Edot]k=1(Tj), of the test unit when operating at the 
cooling minimum air volume rate and outdoor temperature 
Tj using the equations given in section 4.1.2.1. 
Calculate the space cooling capacity, Qk=2(Tj), and 
electrical power consumption, [Edot]k=2(Tj), of the test 
unit when operating at the cooling full-load air volume rate and 
outdoor temperature Tj using the equations given in 
section 4.1.2.1. In evaluating the section 4.1.2.1 equations, 
determine the quantities Qk=1(82) and 
[Edot]k=1(82) from the B1 Test, Qk=1(95) and 
[Edot]k=1(82) from the Al Test, Qk=2(82) and 
[Edot]k=2(82) from the B2 Test, and Qk=2(95) 
and [Edot]k=2(95) from the A2 Test. Evaluate all eight 
quantities as specified in section 3.3. Refer to section 3.2.2.1 and 
Table 5 for additional information on the four referenced laboratory 
tests. b. Determine the cooling mode cyclic degradation coefficient, 
CDc, as per sections 3.2.2.1 and 3.5 to 3.5.3. Assign 
this same value to CDc(K=2). c. Except for using the 
above values of Qk=1(Tj), [Edot]k=1(Tj), 
[Edot]k=2(Tj), Qk=2(Tj), CDc, and 
CDc (K=2), calculate the quantities 
qc(Tj)/N and ec(Tj)/N as 
specified in section 4.1.3.1 for cases where Qk=1(Tj) >= 
BL(Tj). For all other outdoor bin temperatures, 
Tj, calculate qc(Tj)/N and ec(Tj)/N 
as specified in section 4.1.3.3 if Qk=2(Tj) > BL 
(Tj) or as specified in section 4.1.3.4 if 
Qk=2(Tj) <= BL(Tj).
    4.1.5.2 For multiple blower systems that are connected to either 
a lone outdoor unit having a two-capacity compressor or to two 
separate but identical model single-speed outdoor units. Calculate 
the quantities qc(Tj)/N and ec(Tj)/N as 
specified in section 4.1.3.
    4.2 Heating Seasonal Performance Factor (HSPF) Calculations. 
Unless an approved alternative efficiency determination method is 
used, as set forth in 10 CFR 429.70(e), HSPF must be calculated as 
follows: Six generalized climatic regions are depicted in Figure 1 
and otherwise defined in Table 19. For each of these regions and for 
each applicable standardized design heating requirement, evaluate 
the heating seasonal performance factor using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.080

Where,

eh(Tj)/N = The ratio of the electrical energy 
consumed by the heat pump during periods of the space heating season 
when the outdoor temperature fell within the range represented by 
bin temperature Tj to the total number of hours in the 
heating season (N), W. For heat pumps having a heat comfort 
controller, this ratio may also include electrical energy used by 
resistive elements to maintain a minimum air delivery temperature 
(see 4.2.5).
RH(Tj)/N = The ratio of the electrical energy used for 
resistive space heating during periods when the outdoor temperature 
fell within the range represented by bin temperature Tj 
to the total number of hours in the heating season (N), W. Except as 
noted in section 4.2.5, resistive space heating is modeled as being 
used to meet that portion of the building load that the heat pump 
does not meet because of insufficient capacity or because the heat 
pump automatically turns off at the lowest outdoor temperatures. For 
heat pumps having a heat comfort controller, all or part of the 
electrical energy used by resistive

[[Page 69382]]

heaters at a particular bin temperature may be reflected in 
eh(Tj)/N (see 4.2.5).
Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are ``binned'' such that calculations are only 
performed based one temperature within the bin. Bins of 5 [deg]F are 
used.
nj/N = Fractional bin hours for the heating season; the 
ratio of the number of hours during the heating season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
heating season, dimensionless. Obtain nj/N values from 
Table 19.
j = the bin number, dimensionless.
J = for each generalized climatic region, the total number of 
temperature bins, dimensionless. Referring to Table 19, J is the 
highest bin number (j) having a nonzero entry for the fractional bin 
hours for the generalized climatic region of interest.
Fdef = the demand defrost credit described in section 
3.9.2, dimensionless.
BL(Tj) = the building space conditioning load 
corresponding to an outdoor temperature of Tj; the 
heating season building load also depends on the generalized 
climatic region's outdoor design temperature and the design heating 
requirement, Btu/h.

                                                    Table 19--Generalized Climatic Region Information
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Region Number                              I              II              III             IV               V              VI
--------------------------------------------------------------------------------------------------------------------------------------------------------
Heating Load Hours, HLH.................................             750            1250            1750            2250            2750          * 2750
Outdoor Design Temperature, TOD.........................              37              27              17               5             -10              30
                                                         -----------------------------------------------------------------------------------------------
j Tj ([deg]F)...........................................                                    Fractional Bin Hours, nj/N
1 62....................................................            .291            .215            .153            .132            .106            .113
                                                         -----------------------------------------------------------------------------------------------
2 57....................................................            .239            .189            .142            .111            .092            .206
3 52....................................................            .194            .163            .138            .103            .086            .215
4 47....................................................            .129            .143            .137            .093            .076            .204
5 42....................................................            .081            .112            .135            .100            .078            .141
6 37....................................................            .041            .088            .118            .109            .087            .076
7 32....................................................            .019            .056            .092            .126            .102            .034
8 27....................................................            .005            .024            .047            .087            .094            .008
9 22....................................................            .001            .008            .021            .055            .074            .003
10 17...................................................               0            .002            .009            .036            .055               0
11 12...................................................               0               0            .005            .026            .047               0
12 7....................................................               0               0            .002            .013            .038               0
13 2....................................................               0               0            .001            .006            .029               0
14 -3...................................................               0               0               0            .002            .018               0
15 -8...................................................               0               0               0            .001            .010               0
16 -13..................................................               0               0               0               0            .005               0
17 -18..................................................               0               0               0               0            .002               0
18 -23..................................................               0               0               0               0            .001               0
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Pacific Coast Region.

    Evaluate the building heating load using
    [GRAPHIC] [TIFF OMITTED] TP09NO15.081
    
Where,

TOD = the outdoor design temperature, [deg]F. An outdoor 
design temperature is specified for each generalized climatic region 
in Table 19.
C = 0.77, a correction factor which tends to improve the agreement 
between calculated and measured building loads, dimensionless.
DHR = the design heating requirement (see section 1.2, Definitions), 
Btu/h.

    Calculate the minimum and maximum design heating requirements 
for each generalized climatic region as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.082


[[Page 69383]]


Where Qhk(47) is expressed in units of Btu/h 
and otherwise defined as follows:

    1. For a single-speed heat pump tested as per section 3.6.1, 
Qhk(47) = Qh(47), the space heating 
capacity determined from the H1 Test.
    2. For a variable-speed heat pump, a section 3.6.2 single-speed 
heat pump, or a two-capacity heat pump not covered by item 3, 
Qnk(47) = Qnk=2(47), the 
space heating capacity determined from the H12 Test.
    3. For two-capacity, northern heat pumps (see section 1.2, 
Definitions), Qkh(47) = 
Qk=1h(47), the space heating capacity 
determined from the H11 Test.
    If the optional H1N Test is conducted on a variable-
speed heat pump, the manufacturer has the option of defining 
Q\k\h(47) as specified above in item 2 or as 
Q\k\h(47)=Q\k=N\h(47), the space heating 
capacity determined from the H1N Test.
    For all heat pumps, HSPF accounts for the heating delivered and 
the energy consumed by auxiliary resistive elements when operating 
below the balance point. This condition occurs when the building 
load exceeds the space heating capacity of the heat pump condenser. 
For HSPF calculations for all heat pumps, see either section 4.2.1, 
4.2.2, 4.2.3, or 4.2.4, whichever applies.
    For heat pumps with heat comfort controllers (see section 1.2, 
Definitions), HSPF also accounts for resistive heating contributed 
when operating above the heat-pump-plus-comfort-controller balance 
point as a result of maintaining a minimum supply temperature. For 
heat pumps having a heat comfort controller, see section 4.2.5 for 
the additional steps required for calculating the HSPF.

       Table 20--Standardized Design Heating Requirements (Btu/h)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
 5,000...................................   25,000    50,000     90,000
10,000...................................   30,000    60,000    100,000
15,000...................................   35,000    70,000    110,000
20,000...................................   40,000    80,000    130,000
------------------------------------------------------------------------

    4.2.1 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor blower installed, a constant-air-volume-rate indoor blower 
installed, or with no indoor blower installed.
[GRAPHIC] [TIFF OMITTED] TP09NO15.083

where,

[GRAPHIC] [TIFF OMITTED] TP09NO15.084

whichever is less; the heating mode load factor for temperature bin 
j, dimensionless.
Qh(Tj) = the space heating capacity of the 
heat pump when operating at outdoor temperature Tj, Btu/
h.
[Edot]h(Tj) = the electrical power consumption 
of the heat pump when operating at outdoor temperature 
Tj, W.
[delta](Tj) = the heat pump low temperature cut-out 
factor, dimensionless.
PLFj = 1 - [Cdot]D\h\ [middot] [1 -
X(Tj)] the part load factor, dimensionless.
    Use Equation 4.2-2 to determine BL(Tj). Obtain 
fractional bin hours for the heating season, nj/N, from 
Table 19.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TP09NO15.085
    
where,

Toff = the outdoor temperature when the compressor is 
automatically shut off, [deg]F. (If no such temperature exists, 
Tj is always greater than Toff and 
Ton).
Ton = the outdoor temperature when the compressor is 
automatically turned back on, if applicable, following an automatic 
shut-off, [deg]F.
Calculate Qh(Tj) and 
[Edot]h(Tj) using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.086


[[Page 69384]]


[GRAPHIC] [TIFF OMITTED] TP09NO15.087

where Qh(47) and [Edot]h(47) are determined 
from the H1 Test and calculated as specified in section 3.7; 
Qh(35) and [Edot]h(35) are determined from the 
H2 Test and calculated as specified in section 3.9.1; and 
Qh(17) and [Edot]h(17) are determined from the 
H3 Test and calculated as specified in section 3.10.
    4.2.2 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor and a variable-speed, variable-air-
volume-rate indoor blower. The manufacturer must provide information 
about how the indoor air volume rate or the indoor blower speed 
varies over the outdoor temperature range of 65[deg]F to -23[deg]F. 
Calculate the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.088

    in Equation 4.2-1 as specified in section 4.2.1 with the 
exception of replacing references to the H1C Test and section 3.6.1 
with the H1C1 Test and section 3.6.2. In addition, 
evaluate the space heating capacity and electrical power consumption 
of the heat pump Qh(Tj) and 
[Edot]h(Tj) using
[GRAPHIC] [TIFF OMITTED] TP09NO15.089

where the space heating capacity and electrical power consumption at 
both low capacity (k=1) and high capacity (k=2) at outdoor 
temperature Tj are determined using
[GRAPHIC] [TIFF OMITTED] TP09NO15.090

    For units where indoor blower speed is the primary control 
variable, FPh\k=1\ denotes the fan speed used during the 
required H11 and H31 Tests (see Table 11), 
FPh\k=2\ denotes the fan speed used during the required 
H12, H22, and H32 Tests, and 
FPh(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPh's are similarly defined only now being expressed in 
terms of air volume rates rather than fan speeds. Determine 
Qh\k=1\(47) and [Edot]h\k=1\(47) from the 
H11 Test, and Qh\k=2\(47) and 
[Edot]h\k=2\(47) from the H12 Test. Calculate 
all four quantities as specified in section 3.7. Determine 
Qh\k=1\(35) and [Edot]h\k=1\(35) as specified 
in section 3.6.2; determine Qh\k=2\(35) and 
[Edot]h\k=2\(35) and from the H22 Test and the 
calculation specified in section 3.9. Determine 
Qh\k=1\(17) and [Edot]h\k=1\(17 from the 
H31 Test, and Qh\k=2\(17) and 
[Edot]h\k=2\(17) from the H32 Test. Calculate 
all four quantities as specified in section 3.10.
    4.2.3 Additional steps for calculating the HSPF of a heat pump 
having a two-capacity compressor. The calculation of the Equation 
4.2-1 quantities differ depending upon

[[Page 69385]]

whether the heat pump would operate at low capacity (section 
4.2.3.1), cycle between low and high capacity (Section 4.2.3.2), or 
operate at high capacity (sections 4.2.3.3 and 4.2.3.4) in 
responding to the building load. For heat pumps that lock out low 
capacity operation at low outdoor temperatures, the manufacturer 
must supply information regarding the cutoff temperature(s) so that 
the appropriate equations can be selected.
[GRAPHIC] [TIFF OMITTED] TP09NO15.091

    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TP09NO15.092

    b. Evaluate the space heating capacity and electrical power 
consumption (Qh\k=2\(Tj) and 
[Edot]h\k=2\ (Tj)) of the heat pump when 
operating at high compressor capacity and outdoor temperature Tj by 
solving Equations 4.2.2-3 and 4.2.2-4, respectively, for k=2. 
Determine Qh\k=1\(62) and [Edot]h\k=1\(62) 
from the H01 Test, Qh\k=1\(47) and 
[Edot]h\k=1\(47) from the H11 Test, and 
Qh\k=2\(47) and [Edot]h\k=2\(47) from the 
H12 Test. Calculate all six quantities as specified in 
section 3.7. Determine Qh\k=2\(35) and 
[Edot]h\k=2\(35) from the H22 Test and, if 
required as described in section 3.6.3, determine 
Qh\k=1\(35) and [Edot]h\k=1\(35) from the 
H21 Test. Calculate the required 35[deg]F quantities as 
specified in section 3.9. Determine Qh\k=2\(17) and 
[Edot]h\k=2\(17) from the H32 Test and, if 
required as described in section 3.6.3, determine 
Qh\k=1\(17) and [Edot]h\k=1\(17) from the 
H31 Test. Calculate the required 17[emsp14][deg]F 
quantities as specified in section 3.10.
    4.2.3.1 Steady-state space heating capacity when operating at 
low compressor capacity is greater than or equal to the building 
heating load at temperature Tj, 
Qhk=1(Tj) >=BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.093

Where,

Xk=1(Tj) = BL(Tj) / 
Qhk=1(Tj), the heating mode low 
capacity load factor for temperature bin j, dimensionless.
PLFj = 1-CDh [middot] [ 1-
Xk=1(Tj)], the part load factor, 
dimensionless.
[delta]'(Tj) = the low temperature cutoff factor, 
dimensionless.

    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TP09NO15.094
    
Where Toff and Ton are defined in section 
4.2.1. Use the calculations given in section 4.2.3.3, and not the 
above, if:

    (a) The heat pump locks out low capacity operation at low 
outdoor temperatures and
    (b) Tj is below this lockout threshold temperature.
    4.2.3.2 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load

[[Page 69386]]

at a temperature Tj, 
Qhk=1(Tj) j) 
hk=2(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.095

Where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.096

Xk=2(Tj) = 1-Xk=1(Tj) 
the heating mode, high capacity load factor for temperature bin 
j, dimensionless.

    Determine the low temperature cut-out factor, 
[delta]'(Tj), using Equation 4.2.3-3.
    4.2.3.3 Heat pump only operates at high (k=2) compressor 
capacity at temperature Tj and its capacity is greater 
than the building heating load, BL(Tj) 
hk=2(Tj). This section applies to 
units that lock out low compressor capacity operation at low outdoor 
temperatures.
[GRAPHIC] [TIFF OMITTED] TP09NO15.097

Where,

    Xk=2(Tj) = BL(Tj)/
Qhk=2(Tj). PLFj = 1-
CDh(k = 2) * [1-Xk=2(Tj)

    If the H1C2 Test described in section 3.6.3 and Table 
12 is not conducted, set CDh (k=2) equal to 
the default value specified in section 3.8.1.
    Determine the low temperature cut-out factor, 
[delta](Tj), using Equation 4.2.3-3.
    4.2.3.4 Heat pump must operate continuously at high (k=2) 
compressor capacity at temperature Tj, BL(Tj) 
>= Qhk=2(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.098

Where
[GRAPHIC] [TIFF OMITTED] TP09NO15.099

    4.2.4 Additional steps for calculating the HSPF of a heat pump 
having a variable-speed compressor. Calculate HSPF using Equation 
4.2-1. Evaluate the space heating capacity, 
Qhk=1(Tj), and electrical power 
consumption, [Edot]hk=1(Tj), of the 
heat pump when operating at minimum compressor speed and outdoor 
temperature Tj using

[[Page 69387]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.100

Where Qhk=1(62) and 
[Edot]hk=1(62) are determined from the 
H01 Test, Qhk=1(47) and 
[Edot]hk=1(47) are determined from the 
H11Test, and all four quantities are calculated as 
specified in section 3.7. Evaluate the space heating capacity, 
Qhk=2(Tj), and electrical power 
consumption, [Edot]hk=2(Tj), of the 
heat pump when operating at maximum compressor speed and outdoor 
temperature Tj by solving Equations 4.2.2-3 and 4.2.2-4, 
respectively, for k=2. Determine the Equation 4.2.2-3 and 4.2.2-4 
quantities Qhk=2(47) and 
[Edot]hk=2(47) from the H12 Test 
and the calculations specified in section 3.7. Determine 
Qhk=2(35) and 
[Edot]hk=2(35) from the H22 Test 
and the calculations specified in section 3.9 or, if the 
H22 Test is not conducted, by conducting the calculations 
specified in section 3.6.4. Determine 
Qhk=2(17) and 
[Edot]hk=2(17) from the H32 Test 
and the calculations specified in section 3.10. Calculate the space 
heating capacity, Qhk=v(Tj), and 
electrical power consumption, 
[Edot]hk=v(Tj), of the heat pump 
when operating at outdoor temperature Tj and the 
intermediate compressor speed used during the section 3.6.4 
H2V Test using
[GRAPHIC] [TIFF OMITTED] TP09NO15.101

Where Qhk=v(35) and 
[Edot]hk=v(35) are determined from the 
H2V Test and calculated as specified in section 3.9. 
Approximate the slopes of the k=v intermediate speed heating 
capacity and electrical power input curves, MQ and 
ME, as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.102

    4.2.4.1 Steady-state space heating capacity when operating at 
minimum compressor speed is greater than or equal to the building 
heating load at temperature Tj, 
Qhk=1(Tj >= BL(Tj). 
Evaluate the Equation 4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.103


[[Page 69388]]


as specified in section 4.2.3.1. Except now use Equations 4.2.4-1 
and 4.2.4-2 to evaluate Qhk=1(Tj) 
and [Edot]hk=1(Tj), respectively, 
and replace section 4.2.3.1 references to ``low capacity'' and 
section 3.6.3 with ``minimum speed'' and section 3.6.4. Also, the 
last sentence of section 4.2.3.1 does not apply.
    4.2.4.2 Heat pump operates at an intermediate compressor speed 
(k=i) in order to match the building heating load at a temperature 
Tj, Qhk=1(Tj) 
j) hk=2(Tj). 
Calculate
[GRAPHIC] [TIFF OMITTED] TP09NO15.104

and [delta](Tj) is evaluated using Equation 4.2.3-3 
while,
Qhk=i(Tj) = BL(Tj), the 
space heating capacity delivered by the unit in matching the 
building load at temperature (Tj), Btu/h. The matching 
occurs with the heat pump operating at compressor speed k=i.
COPk=i(Tj) = the steady-state coefficient of 
performance of the heat pump when operating at compressor speed k=i 
and temperature Tj, dimensionless.

    For each temperature bin where the heat pump operates at an 
intermediate compressor speed, determine 
COPk=i(Tj) using,

COPk=i(Tj) = A + B . Tj + C . 
Tj2.

    For each heat pump, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TP09NO15.105

Where,=
T3 = the outdoor temperature at which the heat pump, when 
operating at minimum compressor speed, provides a space heating 
capacity that is equal to the building load 
(Qhk=1(T3) = BL(T3)), 
[deg]F. Determine T3 by equating Equations 4.2.4-1 and 
4.2-2 and solving for:
[GRAPHIC] [TIFF OMITTED] TP09NO15.106

outdoor temperature.
Tvh = the outdoor temperature at which the heat pump, 
when operating at the intermediate compressor speed used during the 
section 3.6.4 H2V Test, provides a space heating capacity 
that is equal to the building load 
(Qhk=v(Tvh) = BL(Tvh)), 
[deg]F. Determine Tvh by equating Equations 4.2.4-3 and 
4.2-2 and solving for outdoor temperature.
T4 = the outdoor temperature at which the heat pump, when 
operating at maximum compressor speed, provides a space heating 
capacity that is equal to the building load 
(Qhk=2(T4) = BL(T4)), 
[deg]F. Determine T4 by equating Equations 4.2.2-3 (k=2) 
and 4.2-2 and solving for outdoor temperature.
[GRAPHIC] [TIFF OMITTED] TP09NO15.107


[[Page 69389]]


    For multiple-split heat pumps (only), the following procedures 
supersede the above requirements for calculating 
COPhk=i(Tj). For each temperature 
bin where T3 > Tj > Tvh,
[GRAPHIC] [TIFF OMITTED] TP09NO15.108

    4.2.4.3 Heat pump must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) >= 
Qhk=2(Tj). Evaluate the Equation 
4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.109

    as specified in section 4.2.3.4 with the understanding that 
Qhk=2(Tj) and 
[Edot]hk=2(Tj) correspond to 
maximum compressor speed operation and are derived from the results 
of the specified section 3.6.4 tests.
    4.2.5 Heat pumps having a heat comfort controller. Heat pumps 
having heat comfort controllers, when set to maintain a typical 
minimum air delivery temperature, will cause the heat pump condenser 
to operate less because of a greater contribution from the resistive 
elements. With a conventional heat pump, resistive heating is only 
initiated if the heat pump condenser cannot meet the building load 
(i.e., is delayed until a second stage call from the indoor 
thermostat). With a heat comfort controller, resistive heating can 
occur even though the heat pump condenser has adequate capacity to 
meet the building load (i.e., both on during a first stage call from 
the indoor thermostat). As a result, the outdoor temperature where 
the heat pump compressor no longer cycles (i.e., starts to run 
continuously), will be lower than if the heat pump did not have the 
heat comfort controller.
    4.2.5.1 Heat pump having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a single-speed 
compressor that was tested with a fixed-speed indoor blower 
installed, a constant-air-volume-rate indoor blower installed, or 
with no indoor blower installed. Calculate the space heating 
capacity and electrical power of the heat pump without the heat 
comfort controller being active as specified in section 4.2.1 
(Equations 4.2.1-4 and 4.2.1-5) for each outdoor bin temperature, 
Tj, that is listed in Table 19. Denote these capacities 
and electrical powers by using the subscript ``hp'' instead of 
``h.'' Calculate the mass flow rate (expressed in pounds-mass of dry 
air per hour) and the specific heat of the indoor air (expressed in 
Btu/lbmda [middot] [deg]F) from the results of the H1 
Test using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.110

where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 19, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.111

    Evaluate eh(Tj/N), RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1. For each bin calculation, use the space 
heating capacity and electrical power from Case 1 or Case 2, 
whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9), determine Qh(Tj) and 
[Edot]h(Tj) as specified in section 4.2.1 
(i.e., Qh(Tj) = Qhp(Tj) 
and [Edot]hp(Tj) = 
[Edot]hp(Tj)). Note: Even though 
To(Tj) >= Tcc, resistive heating 
may be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) >Tcc, determine 
Qh(Tj) and [Edot]h(Tj) 
using,
Qh(Tj) = Qhp(Tj) + QCC(Tj)
[Edot]h(Tj) = [Edot]hp(Tj) + [Edot]CC(Tj)

Where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.112

    Note: Even though To(Tj) < Tcc, 
additional resistive heating may be required; evaluate Equation 
4.2.1-2 for all bins.
    4.2.5.2 Heat pump having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a single-speed 
compressor and a variable-speed, variable-air-volume-rate indoor 
blower. Calculate the space heating capacity and electrical power of 
the heat pump without the heat comfort controller being active as 
specified in section 4.2.2 (Equations 4.2.2-1 and 4.2.2-2) for each 
outdoor bin temperature, Tj, that is listed in Table 19. 
Denote these capacities and electrical powers by using the subscript 
``hp'' instead of ``h.'' Calculate the mass flow rate (expressed in 
pounds-mass of dry air per hour) and the specific heat of the indoor 
air

[[Page 69390]]

(expressed in Btu/lbmda [middot] [deg]F) from the results 
of the H12 Test using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.113


Where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 19, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.114

    Evaluate eh(Tj)/N, RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 with the exception of replacing 
references to the H1C Test and section 3.6.1 with the 
H1C1 Test and section 3.6.2. For each bin calculation, 
use the space heating capacity and electrical power from Case 1 or 
Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9), determine Qh(Tj) and 
[Edot]h(Tj) as specified in section 4.2.2 
(i.e. Qh(Tj) = Qhp(Tj) 
and [Edot]h(Tj) = 
[Edot]hp(Tj)). Note: Even though 
To(Tj) >= TCC, resistive heating 
may be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) < TCC, determine 
Qh(Tj) and [Edot]h(Tj) 
using,
Qh(Tj) = Qhp(Tj) + 
QCC(Tj) [Edot]h(Tj) = 
[Edot]hp(Tj) + 
[Edot]CC(Tj)

Where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.115


    Note:  Even though To(Tj) < 
Tcc, additional resistive heating may be required; 
evaluate Equation 4.2.1-2 for all bins.

    4.2.5.3 Heat pumps having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a two-capacity 
compressor. Calculate the space heating capacity and electrical 
power of the heat pump without the heat comfort controller being 
active as specified in section 4.2.3 for both high and low capacity 
and at each outdoor bin temperature, Tj, that is listed 
in Table 19. Denote these capacities and electrical powers by using 
the subscript ``hp'' instead of ``h.'' For the low capacity case, 
calculate the mass flow rate (expressed in pounds-mass of dry air 
per hour) and the specific heat of the indoor air (expressed in Btu/
lbmda [middot] [deg]F) from the results of the 
H11 Test using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.116

Cp,da = 0.24 + 0.444 * Wn
Where
Vis,Vimx, v'n (or vn), 
and Wn are defined following Equation 3-1. For each 
outdoor bin temperature listed in Table 19, calculate the nominal 
temperature of the air leaving the heat pump condenser coil when 
operating at low capacity using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.117

    Repeat the above calculations to determine the mass flow rate 
(mdak=2) and the specific heat of the indoor 
air (Cp,dak=2) when operating at high capacity 
by using the results of the H12 Test. For each outdoor 
bin temperature listed in Table 19, calculate the nominal 
temperature of the air leaving the heat pump condenser coil when 
operating at high capacity using,

[[Page 69391]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.118

    Evaluate eh(Tj)/N, RH(Tj)/N, 
Xk=1(Tj), and/or 
Xk=2(Tj), PLFj, and 
[delta]'(Tj) or [delta]''(Tj) as specified in 
section 4.2.3.1. 4.2.3.2, 4.2.3.3, or 4.2.3.4, whichever applies, 
for each temperature bin. To evaluate these quantities, use the low-
capacity space heating capacity and the low-capacity electrical 
power from Case 1 or Case 2, whichever applies; use the high-
capacity space heating capacity and the high-capacity electrical 
power from Case 3 or Case 4, whichever applies.
    Case 1. For outdoor bin temperatures where 
Tok=1(Tj) is equal to or greater 
than TCC (the maximum supply temperature determined 
according to section 3.1.9), determine 
Qhk=1(Tj) and 
[Edot]hk=1(Tj) as specified in 
section 4.2.3 (i.e., Qhk=1(Tj) = 
Qhpk=1(Tj) and 
[Edot]hk=1(Tj) = 
[Edot]hpk=1(Tj).
    Note: Even though Tok=1(Tj) >= 
TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    Case 2. For outdoor bin temperatures where 
Tok=1(Tj) < TCC, 
determine Qhk=1(Tj) and 
[Edot]hk=1(Tj) using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.119

    Note: Even though Tok=1(Tj) 
>=Tcc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.
    Case 3. For outdoor bin temperatures where 
Tok=2(Tj) is equal to or greater 
than TCC, determine 
Qhk=2(Tj) and 
[Edot]hk=2(Tj) as specified in 
section 4.2.3 (i.e., Qhk=2(Tj) = 
Qhpk=2(Tj) and 
[Edot]hk=2(Tj) = 
[Edot]hpk=2(Tj)).
    Note: Even though Tok=2(Tj) < 
TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    Case 4. For outdoor bin temperatures where 
Tok=2(Tj) < TCC, 
determine Qhk=2(Tj) and 
[Edot]hk=2(Tj) using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.120

    Note: Even though Tok=2(Tj) < 
Tcc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.
    4.2.5.4 Heat pumps having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a variable-
speed compressor. [Reserved]
    4.2.6 Additional steps for calculating the HSPF of a heat pump 
having a triple-capacity compressor. The only triple-capacity heat 
pumps covered are triple-capacity, northern heat pumps.
    For such heat pumps, the calculation of the Eq. 4.2-1 quantities
    [GRAPHIC] [TIFF OMITTED] TP09NO15.121
    
differ depending on whether the heat pump would cycle on and off at 
low capacity (section 4.2.6.1), cycle on and off at high capacity 
(section 4.2.6.2), cycle on and off at booster capacity (4.2.6.3), 
cycle between low and high capacity (section 4.2.6.4), cycle between 
high and booster capacity (section 4.2.6.5), operate continuously at 
low capacity (4.2.6.6), operate continuously at high capacity 
(section 4.2.6.7), operate continuously at booster capacity 
(4.2.6.8), or heat solely using resistive heating (also section 
4.2.6.8) in responding to the building load. As applicable, the 
manufacturer must supply information regarding the outdoor 
temperature range at which each stage of compressor capacity is 
active. As an informative example, data may be submitted in this 
manner: At the low (k=1) compressor capacity, the outdoor 
temperature range of operation is 40[emsp14][deg]F <= T <= 
65[emsp14][deg]F; At the high (k=2) compressor capacity, the outdoor 
temperature range of operation is 20[emsp14][deg]F <= T <= 
50[emsp14][deg]F; At the booster (k=3) compressor capacity, the 
outdoor temperature range of operation is -20[emsp14][deg]F <= T <= 
30[emsp14][deg]F.

    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using the equations given in 
section 4.2.3 for Qhk=1(Tj) and 
[Edot]hk=1 (Tj)) In evaluating the 
section 4.2.3 equations, Determine Qhk=1(62) 
and [Edot]hk=1(62) from the H01 
Test, Qhk=1(47) and 
[Edot]hk=1(47) from the H11 Test, 
and Qhk=2(47) and 
[Edot]hk=2(47) from the H12 Test. 
Calculate all four quantities as specified in section 3.7. If, in 
accordance with section 3.6.6, the H31 Test is conducted, 
calculate Qhk=1(17) and 
[Edot]hk=1(17) as specified in section 3.10 
and determine Qhk=1(35) and 
[Edot]hk=1(35) as specified in section 3.6.6.
    b. Evaluate the space heating capacity and electrical power 
consumption (Qhk=2(Tj) and 
[Edot]hk=2 (Tj)) of the heat pump 
when operating at high compressor capacity and outdoor temperature 
Tj by solving Equations 4.2.2-3 and 4.2.2-4, respectively, for k=2. 
Determine Qhk=1(62) and 
[Edot]hk=1(62) from the H01 Test, 
Qhk=1(47) and 
[Edot]hk=1(47) from the H11 Test, 
and Qhk=2(47) and 
[Edot]hk=2(47) from the H12 Test, 
evaluated as specified in section 3.7. Determine the equation input 
for Qhk=2(35) and 
[Edot]hk=2(35) from the H22, 
evaluated as

[[Page 69392]]

specified in section 3.9.1. Also, determine 
Qhk=2(17) and 
[Edot]hk=2(17) from the H32 Test, 
evaluated as specified in section 3.10.
    c. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at booster compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TP09NO15.122

    Determine Qhk=3(17) and 
[Edot]hk=3(17) from the H33 Test 
and determine Qhk=2(2) and 
[Edot]hk=3(2) from the H43 Test. 
Calculate all four quantities as specified in section 3.10. 
Determine the equation input for Qhk=3(35) and 
[Edot]hk=3(35) as specified in section 3.6.6.
    4.2.6.1 Steady-state space heating capacity when operating at 
low compressor capacity is greater than or equal to the building 
heating load at temperature Tj, 
Qhk=1(Tj) >=BL(Tj)., and 
the heat pump permits low compressor capacity at Tj. 
Evaluate the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.123

using Eqs. 4.2.3-1 and 4.2.3-2, respectively. Determine the equation 
inputs Xk=1(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.1. In 
calculating the part load factor, PLFj, use the low-
capacity cyclic-degradation coefficient CDh, 
[or equivalently, CDh(k=1)] determined in 
accordance with section 3.6.6.

    4.2.6.2 Heat pump only operates at high (k=2) compressor 
capacity at temperature Tj and its capacity is greater 
than or equal to the building heating load, BL(Tj) < 
Qhk=2(Tj). Evaluate the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.124

as specified in section 4.2.3.3. Determine the equation inputs 
Xk=2(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.3. In 
calculating the part load factor, PLFj, use the high-
capacity cyclic-degradation coefficient, 
CDh(k=2) determined in accordance with section 
3.6.6.
    4.2.6.3 Heat pump only operates at high (k=3) compressor 
capacity at temperature Tj and its capacity is greater 
than or equal to the building heating load, BL(Tj) <= 
Qhk=3(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.125

    Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3. Use the booster-capacity 
cyclic-degradation coefficient, CDh(k=3) 
determined in accordance with section 3.6.6.
    4.2.6.4 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load at a 
temperature Tj, 
Qhk=1(Tj) < BL(Tj) < 
Qhk=2(Tj). Evaluate the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.126


[[Page 69393]]


as specified in section 4.2.3.2. Determine the equation inputs 
Xk=1(Tj), Xk=2(Tj), and 
[delta]'(Tj) as specified in section 4.2.3.2.

    4.2.6.5 Heat pump alternates between high (k=2) and booster 
(k=3) compressor capacity to satisfy the building heating load at a 
temperature Tj, 
Qhk=2(Tj) j) 
hk=3(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.127

and Xk=3(Tj) = Xk=2(Tj) 
= the heating mode, booster capacity load factor for temperature bin 
j, dimensionless. Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3.
    4.2.6.6 Heat pump only operates at low (k=1) capacity at 
temperature Tj and its capacity is less than the building 
heating load, BL(Tj) > 
Qhk=1(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.128

Where the low temperature cut-out factor, [delta]'(Tj), is 
calculated using Eq. 4.2.3-3.

    4.2.6.7 Heat pump only operates at high (k = 2) capacity at 
temperature Tj and its capacity is less than the building heating 
load, BL(Tj) > Qhk=2(Tj).Evaluate 
the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.129

    as specified in section 4.2.3.4. Calculate [delta]''(Tj) using 
the equation given in section 4.2.3.4.
    4.2.6.8 Heat pump only operates at booster (k = 3) capacity at 
temperature Tj and its capacity is less than the building heating 
load, BL(Tj) > 
Qhk=3(Tj). or the system converts 
to using only resistive heating.
[GRAPHIC] [TIFF OMITTED] TP09NO15.130

Where [delta]''(Tj) is calculated as specified in section 4.2.3.4 if 
the heat pump is operating at its booster compressor capacity. If 
the heat pump system converts to using only resistive heating at 
outdoor temperature Tj, set [delta]'(Tj) equal 
to zero.

    4.2.7 Additional steps for calculating the HSPF of a heat pump 
having a single indoor unit with multiple blowers. The calculation 
of the Eq. 4.2-1 quantities eh(Tj)/N and 
RH(Tj)/N are evaluated as specified in applicable below 
subsection.
    4.2.7.1 For multiple blower heat pumps that are connected to a 
singular, single-speed outdoor unit.
    a. Calculate the space heating capacity, Qhk= 1(Tj), 
and electrical power consumption, [Edot]hk= 1 (Tj), of 
the heat pump when operating at the heating minimum air volume rate 
and outdoor temperature Tj using Eqs. 4.2.2-3 and 4.2.2-
4, respectively. Use these same equations to calculate the space 
heating capacity, Qhk= 2 (Tj) and electrical power 
consumption, [Edot]hk= 2 (Tj), of the test unit when 
operating at the heating full-load air volume rate and outdoor 
temperature Tj. In evaluating Eqs. 4.2.2-3 and 4.2.2- 4, 
determine the quantities Qhk= 1 (47) and 
[Edot]hk= 1 (47) from the H11 Test; determine 
Qhk= 2 (47) and [Edot]hk= 2 (47) from the 
H12 Test. Evaluate all four quantities according to 
section 3.7. Determine the quantities Qhk= 1 (35) and 
[Edot]hk= 1 (35) as specified in section 3.6.2. Determine 
Qhk= 2 (35) and [Edot]hk= 2 (35) from the 
H22 Frost Accumulation Test as calculated according to 
section 3.9.1. Determine the quantities Qhk= 1 (17) and 
[Edot]hk= 1 (17) from the H31 Test, and 
Qhk= 2 (17) and [Edot]hk= 2 (17) from the 
H32 Test. Evaluate all four quantities according to 
section 3.10. Refer to section 3.6.2 and Table 11 for additional 
information on the referenced laboratory tests.
    b. Determine the heating mode cyclic degradation coefficient, 
CDh, as per sections 3.6.2 and 3.8 to 3.8.1. Assign this 
same value to CDh(k = 2).
    c. Except for using the above values of Qhk= 1 (Tj), 
[Edot]hk= 1 (Tj), Qhk= 2 (Tj), 
[Edot]hk= 2 (Tj), CDh, and CDh(k = 
2), calculate the quantities eh(Tj)/N as 
specified in section 4.2.3.1 for cases where Qhk= 1 (Tj) 
>= BL(Tj). For all other outdoor bin temperatures, 
Tj, calculate eh(Tj)/N and RHh(Tj)/
N as specified in section 4.2.3.3 if Qhk= 2 (Tj) > BL(Tj) 
or as specified in section 4.2.3.4 if Qhk= 2 (Tj) <= 
BL(Tj)
    4.2.7.2 For multiple blower heat pumps connected to either a 
lone outdoor unit with a two-capacity compressor or to two separate 
but identical model single-speed outdoor units. Calculate the 
quantities eh(Tj)/N and RH(Tj)/N as 
specified in section 4.2.3.
    4.3 Calculations of Off-mode Seasonal Power and Energy 
Consumption.
    4.3.1 For central air conditioners and heat pumps with a cooling 
capacity of:

[[Page 69394]]

    less than 36,000 Btu/h, determine the off mode rating, PW,OFF, 
with the following equation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.131

    greater than or equal to 36,000 Btu/h, calculate the capacity 
scaling factor according to:
[GRAPHIC] [TIFF OMITTED] TP09NO15.132

Where, QC(95) is the total cooling capacity at the A or 
A2 Test condition, and determine
[GRAPHIC] [TIFF OMITTED] TP09NO15.133

    4.3.2 Calculate the off mode energy consumption for both central 
air conditioner and heat pumps for the shoulder season, E1, using: 
E1 = P1 [middot] SSH; and the off mode energy consumption of a CAC, 
only, for the heating season, E2, using: E2 = P2 [middot] HSH; where 
P1 and P2 is determined in Section 3.13. HSH can be determined by 
multiplying the heating season-hours from Table 21 with the 
fractional Bin-hours, from Table 19, that pertain to the range of 
temperatures at which the crankcase heater operates. If the 
crankcase heater is controlled to disable for the heating season, 
the temperature range at which the crankcase heater operates is 
defined to be from 72 [deg]F to five degrees Fahrenheit below a 
turn-off temperature specified by the manufacturer in the DOE 
Compliance Certification Database. If the crankcase heater is 
operated during the heating season, the temperature range at which 
the crankcase heater operates is defined to be from 72 [deg]F to -23 
[deg]F, the latter of which is a temperature that sets the range of 
Bin-hours to encompass all outside air temperatures in the heating 
season.
    SSH can be determined by multiplying the shoulder season-hours 
from Table 21 with the fractional Bin-hours in Table 22.

  Table 21--Representative Cooling and Heating Load Hours and the Corresponding Set of Seasonal Hours for Each
                                           Generalized Climatic Region
----------------------------------------------------------------------------------------------------------------
                                                                                                     Shoulder
         Climatic region           Cooling load    Heating load   Cooling season  Heating season   season hours
                                    hours  CLHR     hours  HLHR     hours  CSHR     hours  HSHR        SSHR
----------------------------------------------------------------------------------------------------------------
I...............................            2400             750            6731            1826             203
II..............................            1800            1250            5048            3148             564
III.............................            1200            1750            3365            4453             942
IV..............................             800            2250            2244            5643             873
Rating Values...................            1000            2080            2805            5216             739
V...............................             400            2750            1122            6956             682
VI..............................             200            2750             561            6258            1941
----------------------------------------------------------------------------------------------------------------

                                                                                                  [GRAPHIC] [TIFF OMITTED] TP09NO15.134
                                                                                                  
    Region I: HSH = 2.4348HLH;
    Region II: HSH = 2.5182HLH;
    Region III: HSH = 2.5444HLH;

[[Page 69395]]

    Region IV: HSH = 2.5078HLH;
    Region V: HSH = 2.5295HLH;
    Region VI: HSH = 2.2757HLH.
    SSH is evaluated: SSH = 8760 - (CSH + HSH), where CSH = the 
cooling season hours calculated using CSH = 2.8045 [middot] CLH

  Table 22--Fractional Bin Hours for the Shoulder Season Hours for All
                                 Regions
------------------------------------------------------------------------
                                              Fractional bin hours
                                       ---------------------------------
              Tj([deg]F)                      Air
                                          conditioners      Heat pumps
------------------------------------------------------------------------
72....................................            0.333            0.167
67....................................            0.667            0.333
62....................................                0            0.333
57....................................                0            0.167
------------------------------------------------------------------------

                                                         [GRAPHIC] [TIFF OMITTED] TP09NO15.135
                                                         
    4.3.4 For air conditioners, the annual off mode energy 
consumption, ETOTAL, is: ETOTAL = E1 + E2.
    4.3.5 For heat pumps, the annual off mode energy consumption, 
ETOTAL, is E1.
    4.4 Calculations of the Actual and Representative Regional 
Annual Performance Factors for Heat Pumps.
    4.4.1 Calculation of actual regional annual performance factors 
(APFA) for a particular location and for each 
standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TP09NO15.136

Where,

CLHA = the actual cooling hours for a particular location 
as determined using the map given in Figure 2, hr.
Qc\k\(95) = the space cooling capacity of the unit as 
determined from the A or A2 Test, whichever applies, Btu/
h.
HLHA = the actual heating hours for a particular location 
as determined using the map given in Figure 1, hr.
DHR = the design heating requirement used in determining the HSPF; 
refer to section 4.2 and see section 1.2, Definitions, Btu/h.
C = defined in section 4.2 following Equation 4.2-2, dimensionless.
SEER = the seasonal energy efficiency ratio calculated as specified 
in section 4.1, Btu/W[middot]h.
HSPF = the heating seasonal performance factor calculated as 
specified in section 4.2 for the generalized climatic region that 
includes the particular location of interest (see Figure 1), Btu/
W[middot]h. The HSPF should correspond to the actual design heating 
requirement (DHR), if known. If it does not, it may correspond to 
one of the standardized design heating requirements referenced in 
section 4.2.
P1 is the shoulder season per-compressor off mode power, as 
determined in section 3.13, W.
SSH is the shoulder season hours, hr.
P2 is the heating season per-compressor off mode power, as 
determined in section 3.13, W.
HSH is the heating season hours, hr.
    4.4.2 Calculation of representative regional annual performance 
factors (APFR) for each generalized climatic region and 
for each standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TP09NO15.137

Where,

CLHR = the representative cooling hours for each 
generalized climatic region, Table 23, hr.
HLHR = the representative heating hours for each 
generalized climatic region, Table 23, hr.
HSPF = the heating seasonal performance factor calculated as 
specified in section 4.2 for the each generalized climatic region 
and for each standardized design heating requirement within each 
region, Btu/W.h.

    The SEER, Qc\k\(95), DHR, and C are the same 
quantities as defined in section 4.3.1. Figure 1 shows the 
generalized climatic regions. Table 20 lists standardized design 
heating requirements.

    Table 23--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
                 Region                        CLHR            HLHR
------------------------------------------------------------------------
I.......................................            2400             750
II......................................            1800            1250
III.....................................            1200            1750

[[Page 69396]]

 
IV......................................             800            2250
V.......................................             400            2750
VI......................................             200            2750
------------------------------------------------------------------------

    4.5. Rounding of SEER, HSPF, and APF for reporting purposes. 
After calculating SEER according to section 4.1, HSPF according to 
section 4.2, and APF according to section 4.3, round the values off 
as specified in subpart B 430.23(m) of Title 10 of the Code of 
Federal Regulations.
[GRAPHIC] [TIFF OMITTED] TP09NO15.138

[GRAPHIC] [TIFF OMITTED] TP09NO15.139


[[Page 69397]]


    4.6 Calculations of the SHR, which should be computed for 
different equipment configurations and test conditions specified in 
Table 24.

                 Table 24--Applicable Test Conditions for Calculation of the Sensible Heat Ratio
----------------------------------------------------------------------------------------------------------------
                                             Reference
         Equipment configuration           Table No. of      SHR computation with           Computed values
                                            Appendix M           results from
----------------------------------------------------------------------------------------------------------------
Units Having a Single-Speed Compressor                 4  B Test....................  SHR(B).
 and a Fixed-Speed Indoor blower, a
 Constant Air Volume Rate Indoor blower,
 or No Indoor blower.
Units Having a Single-Speed Compressor                 5  B2 and B1 Tests...........  SHR(B1), SHR(B2).
 That Meet the Section 3.2.2.1 Indoor
 Unit Requirements.
Units Having a Two-Capacity Compressor..               6  B2 and B1 Tests...........  SHR(B1), SHR(B2).
Units Having a Variable-Speed Compressor               7  B2 and B1 Tests...........  SHR(B1), SHR(B2).
----------------------------------------------------------------------------------------------------------------

    The SHR is defined and calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TP09NO15.140
    
    Where both the total and sensible cooling capacities are 
determined from the same cooling mode test and calculated from data 
collected over the same 30-minute data collection interval.

    4.7 calculations of the Energy Efficiency Ratio (EER). Calculate 
the energy efficiency ratio using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.141

    Where Qc\k\(T) and [Edot]c\k\(T) are the 
space cooling capacity and electrical power consumption determined 
from the 30-minute data collection interval of the same steady-state 
wet coil cooling mode test and calculated as specified in section 
3.3. Add the letter identification for each steady-state test as a 
subscript (e.g., EERA2) to differentiate among the 
resulting EER values.

0
11. Add appendix M1 to subpart B of part 430 to read as follows:

APPENDIX M1 TO SUBPART B OF PART 430--UNIFORM TEST METHOD FOR MEASURING 
THE ENERGY CONSUMPTION OF CENTRAL AIR CONDITIONERS AND HEAT PUMPS

    Note: Prior to May 9, 2016, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of central air conditioners and central air 
conditioning heat pumps must be based on the results of testing 
pursuant to either Appendix M or the procedures in Appendix M as it 
appeared at 10 CFR part 430, subpart B, Appendix M, in the 10 CFR 
parts 200 to 499 edition revised as of January 1, 2015. Any 
representations made with respect to the energy use or efficiency of 
such central air conditioners and central air conditioning heat 
pumps must be in accordance with whichever version is selected.
    On or after May 9, 2016 and prior to the compliance date for any 
amended energy conservation standards, any representations, 
including compliance certifications, made with respect to the energy 
use, power, or efficiency of central air conditioners and central 
air conditioning heat pumps must be based on the results of testing 
pursuant to Appendix M.
    On or after the compliance date for any amended energy 
conservation standards, any representations, including compliance 
certifications, made with respect to the energy use, power, or 
efficiency of central air conditioners and central air conditioning 
heat pumps must be based on the results of testing pursuant to this 
appendix (Appendix M1).

1. Scope and Definitions

    1.1 Scope.
    This test procedure provides a method of determining SEER, EER, 
HSPF and PW,OFF for central air conditioners and central 
air conditioning heat pumps including the following categories:

(a) Split-system air conditioners; and single-zone-multiple-coil, 
multi-split (including VRF), and multi-circuit systems
(b) Split-system heat pumps and single-zone-multiple-coil, multi-
split (including VRF), and multi-circuit systems
(c) Single-package air conditioners
(d) Single-package heat pumps
(e) Small-duct, high-velocity systems (including VRF)
(f) Space-constrained products--air conditioners
(g) Space-constrained products--heat pumps

    For purposes of this appendix, the Department of Energy 
incorporates by reference specific sections of several industry 
standards, as listed in Sec.  430.3. In cases where there is a 
conflict, the language of the test procedure in this appendix takes 
precedence over the incorporated standards.
    All section references refer to sections within this appendix 
unless otherwise stated.

[[Page 69398]]

    1.2. Definitions
    Airflow-control settings are programmed or wired control system 
configurations that control a fan to achieve discrete, differing 
ranges of airflow--often designated for performing a specific 
function (e.g., cooling, heating, or constant circulation)--without 
manual adjustment other than interaction with a user-operable 
control (i.e., a thermostat) that meets the manufacturer 
specifications for installed-use. For the purposes of this appendix, 
manufacturer specifications for installed-use are those found in the 
product literature shipped with the unit.
    Airflow prevention device denotes a device(s) that prevents 
airflow via natural convection by mechanical means, such as an air 
damper box, or by means of changes in duct height, such as an 
upturned duct.
    Annual performance factor means the total heating and cooling 
done by a heat pump in a particular region in one year divided by 
the total electric energy used in one year.
    Blower coil indoor unit means the indoor unit of a split-system 
central air conditioner or heat pump that includes a refrigerant-to-
air heat exchanger coil, may include a cooling-mode expansion 
device, and includes either an indoor blower housed with the coil or 
a separate designated air mover such as a furnace or a modular 
blower (as defined in Appendix AA). Blower coil system refers to a 
split-system that includes one or more blower coil indoor units.
    CFR means Code of Federal Regulations.
    Coefficient of Performance (COP) means the ratio of the average 
rate of space heating delivered to the average rate of electrical 
energy consumed by the heat pump. These rate quantities must be 
determined from a single test or, if derived via interpolation, must 
be determined at a single set of operating conditions. COP is a 
dimensionless quantity. When determined for a ducted unit tested 
without an indoor blower installed, COP must include the section 
3.7and 3.9.1 default values for the heat output and power input of a 
fan motor.
    Coil-only indoor unit means the indoor unit of a split-system 
central air conditioner or heat pump that includes a refrigerant-to-
air heat exchanger coil and may include a cooling-mode expansion 
device, but does not include an indoor blower housed with the coil, 
and does not include a separate designated air mover such as a 
furnace or a modular blower (as defined in Appendix AA). A coil-only 
indoor unit is designed to use a separately-installed furnace or a 
modular blower for indoor air movement.
    Coil-only system refers to a system that includes one or more 
coil-only indoor units.
    Condensing unit removes the heat absorbed by the refrigerant to 
transfer it to the outside environment, and which consists of an 
outdoor coil, compressor(s), and air moving device.
    Constant-air-volume-rate indoor blower means a fan that varies 
its operating speed to provide a fixed air-volume-rate from a ducted 
system.
    Continuously recorded, when referring to a dry bulb measurement, 
dry bulb temperature used for test room control, wet bulb 
temperature, dew point temperature, or relative humidity 
measurements, means that the specified value must be sampled at 
regular intervals that are equal to or less than 5 seconds.
    Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating 
interval consisting of one ON period and one OFF period. The 
denominator is the total cooling that would be delivered, given the 
same ambient conditions, had the unit operated continuously at its 
steady-state, space-cooling capacity for the same total time (ON + 
OFF) interval.
    Crankcase heater means any electrically powered device or 
mechanism for intentionally generating heat within and/or around the 
compressor sump volume often done to minimize the dilution of the 
compressor's refrigerant oil by condensed refrigerant. Crankcase 
heater control may be achieved using a timer or may be based on a 
change in temperature or some other measurable parameter, such that 
the crankcase heater is not required to operate continuously. A 
crankcase heater without controls operates continuously when the 
compressor is not operating.
    Cyclic Test means a test where the unit's compressor is cycled 
on and off for specific time intervals. A cyclic test provides half 
the information needed to calculate a degradation coefficient.
    Damper box means a short section of duct having an air damper 
that meets the performance requirements of section 2.5.7.
    Degradation coefficient (CD) means a parameter used 
in calculating the part load factor. The degradation coefficient for 
cooling is denoted by CD\c\. The degradation coefficient 
for heating is denoted by CD\h\.
    Demand-defrost control system means a system that defrosts the 
heat pump outdoor coil only when measuring a predetermined 
degradation of performance. The heat pump's controls monitor one or 
more parameters that always vary with the amount of frost 
accumulated on the outdoor coil (e.g., coil to air differential 
temperature, coil differential air pressure, outdoor fan power or 
current, optical sensors) at least once for every ten minutes of 
compressor ON-time when space heating. One acceptable alternative to 
the criterion given in the prior sentence is a feedback system that 
measures the length of the defrost period and adjusts defrost 
frequency accordingly. In all cases, when the frost parameter(s) 
reaches a predetermined value, the system initiates a defrost. In a 
demand-defrost control system, defrosts are terminated based on 
monitoring a parameter(s) that indicates that frost has been 
eliminated from the coil. (Note: Systems that vary defrost intervals 
according to outdoor dry-bulb temperature are not demand-defrost 
systems.) A demand-defrost control system, which otherwise meets the 
above requirements, may allow time-initiated defrosts if, and only 
if, such defrosts occur after 6 hours of compressor operating time.
    Design heating requirement (DHR) predicts the space heating load 
of a residence when subjected to outdoor design conditions. 
Estimates for the DHR are provided for six generalized U.S. climatic 
regions in section 4.2.
    Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor coil is maintained low 
enough that no condensate forms on this coil.
    Ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and delivers 
conditioned air to the indoor space through a duct(s). The air 
conditioner or heat pump may be either a split-system or a single-
package unit.
    Energy efficiency ratio (EER) means the ratio of the average 
rate of space cooling delivered to the average rate of electrical 
energy consumed by the air conditioner or heat pump. These rate 
quantities must be determined from a single test or, if derived via 
interpolation, must be determined at a single set of operating 
conditions. EER is expressed in units of
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When determined for a ducted unit tested without an indoor blower 
installed, EER must include the section 3.3 and 3.5.1 default values 
for the heat output and power input of a fan motor.
    Evaporator coil absorbs heat from an enclosed space and 
transfers the heat to a refrigerant.
    Heat pump means a kind of central air conditioner, which 
consists of one or more assemblies, utilizing an indoor conditioning 
coil, compressor, and refrigerant-to-outdoor air heat exchanger to 
provide air heating, and may also provide air cooling, air 
dehumidifying, air humidifying, air circulating, and air cleaning.
    Heat pump having a heat comfort controller means equipment that 
regulates the operation of the electric resistance elements to 
assure that the air temperature leaving the indoor section does not 
fall below a specified temperature. This specified temperature is 
usually field adjustable. Heat pumps that actively regulate the rate 
of electric resistance heating when operating below the balance 
point (as the result of a second stage call from the thermostat) but 
do not operate to maintain a minimum delivery temperature are not 
considered as having a heat comfort controller.
    Heating load factor (HLF) means the ratio having as its 
numerator the total heating delivered during a cyclic operating 
interval consisting of one ON period and one OFF period. The 
denominator is the total heating that would be delivered, given the 
same ambient conditions, if the unit operated continuously at its 
steady-state space heating capacity for the same total time (ON plus 
OFF) interval.
    Heating season means the months of the year that require 
heating, e.g., typically, and roughly, October through April.
    Heating seasonal performance factor (HSPF) means the total space 
heating required during the space heating season, expressed in 
Btu's, divided by the total electrical energy consumed by the heat 
pump system during the same season, expressed in watt-hours. The 
HSPF used to evaluate compliance with the Energy Conservation 
Standards (see 10 CFR 430.32(c)) is based on Region IV, the design 
heating requirement,

[[Page 69399]]

and the sampling plan stated in 10 CFR 429.16(a).
    Independent coil manufacturer (ICM) means a manufacturer that 
manufactures indoor units but does not manufacture single-package 
units or outdoor units.
    Indoor unit transfers heat between the refrigerant and the 
indoor air and consists of an indoor coil and casing and may include 
a cooling mode expansion device and/or an air moving device.
    Multiple-circuit (or multi-circuit) system means a split system 
that has one outdoor unit and that has two or more indoor units 
installed on two or more refrigeration circuits such that each 
refrigeration circuit serves a compressor and one and only one 
indoor unit, and refrigerant is not shared from circuit to circuit.
    Multiple-split (or multi-split) system means a split system that 
has one outdoor unit and two or more indoor coil-only or indoor 
blower coil units connected to its other component(s) with a single 
refrigerant circuit. The indoor units operate independently and can 
condition multiple zones in response to at least two indoor 
thermostats or temperature sensors. The outdoor unit operates in 
response to independent operation of the indoor units based on 
control input of multiple indoor thermostats or temperature sensors, 
and/or based on refrigeration circuit sensor input (e.g., suction 
pressure).
    Nominal capacity means the capacity that is claimed by the 
manufacturer in the product name plate. Nominal cooling capacity is 
approximate to the air conditioner cooling capacity tested at A or 
A2 condition. Nominal heating capacity is approximate to the heat 
pump heating capacity tested in H12 test (or the optional H1N test).
    Non-ducted system means a split-system central air conditioner 
or heat pump that is designed to be permanently installed and that 
directly heats or cools air within the conditioned space using one 
or more indoor units that are mounted on room walls and/or ceilings. 
The system may be of a modular design that allows for combining 
multiple outdoor coils and compressors to create one overall system.
    Normalized Gross Indoor Fin Surface (NGIFS) means the gross fin 
surface area of the indoor unit coil divided by the cooling capacity 
measured for the A or A2 Test whichever applies.
    Off-mode power consumption means the power consumption when the 
unit is connected to its main power source but is neither providing 
cooling nor heating to the building it serves.
    Off-mode season means, for central air conditioners, the 
shoulder season and the entire heating season; and for heat pumps, 
the shoulder season only.
    Outdoor unit transfers heat between the refrigerant and the 
outdoor air, and consists of an outdoor coil, compressor(s), an air 
moving device, and in addition for heat pumps, could include a 
heating mode expansion device, reversing valve, and defrost 
controls.
    Outdoor unit manufacturer (OUM) means a manufacturer of single-
package units, outdoor units, and/or both indoor units and outdoor 
units.
    Part-load factor (PLF) means the ratio of the cyclic energy 
efficiency ratio (coefficient of performance) to the steady-state 
energy efficiency ratio (coefficient of performance), where both 
energy efficiency ratios (coefficients of performance) are 
determined based on operation at the same ambient conditions.
    Seasonal energy efficiency ratio (SEER) means the total heat 
removed from the conditioned space during the annual cooling season, 
expressed in Btu's, divided by the total electrical energy consumed 
by the central air conditioner or heat pump during the same season, 
expressed in watt-hours.
    Short ducted system means a ducted split system whose one or 
more indoor sections produce greater than zero but no greater than 
0.1 inches (of water) of external static pressure when operated at 
the full-load air volume not exceeding 450 cfm per rated ton of 
cooling.
    Shoulder season means the months of the year in between those 
months that require cooling and those months that require heating, 
e.g., typically, and roughly, April through May, and September 
through October.
    Single-package unit means any central air conditioner or heat 
pump that has all major assemblies enclosed in one cabinet.
    Single-split-system means a split system that has one outdoor 
unit and that has one indoor coil-only or indoor blower coil unit 
connected to its other component(s) with a single refrigeration 
circuit.
    Single-zone-multiple-coil split system means a split system that 
has one outdoor unit and that has two or more indoor units connected 
with a single refrigeration circuit. The indoor units operate in 
unison in response to a single indoor thermostat.
    Small-duct, high-velocity system means a system that contains a 
blower and indoor coil combination that is designed for, and 
produces, at least 1.2 inches (of water) of external static pressure 
when operated at the full-load air volume rate of 220-350 cfm per 
rated ton of cooling. When applied in the field, uses high-velocity 
room outlets (i.e., generally greater than 1000 fpm) having less 
than 6.0 square inches of free area.
    Split system means any air conditioner or heat pump that has one 
or more of the major assemblies separated from the others. Split-
systems may be either blower coil systems or coil-only systems.
    Standard Air means dry air having a mass density of 0.075 lb/ft 
\3\.
    Steady-state test means a test where the test conditions are 
regulated to remain as constant as possible while the unit operates 
continuously in the same mode.
    Temperature bin means the 5[emsp14][deg]F increments that are 
used to partition the outdoor dry-bulb temperature ranges of the 
cooling (>=65[emsp14][deg]F) and heating (<65[emsp14][deg]F) 
seasons.
    Test condition tolerance means the maximum permissible 
difference between the average value of the measured test parameter 
and the specified test condition.
    Test operating tolerance means the maximum permissible range 
that a measurement may vary over the specified test interval. The 
difference between the maximum and minimum sampled values must be 
less than or equal to the specified test operating tolerance.
    Tested combination means a single-zone-multiple-coil, multi-
split, or multi-circuit system having the following features:
    (1) The system consists of one outdoor unit with one or more 
compressors matched with between two and five indoor units;
    (2) The indoor units shall:
    (i) Collectively, have a nominal cooling capacity greater than 
or equal to 95 percent and less than or equal to 105 percent of the 
nominal cooling capacity of the outdoor unit;
    (ii) Represent the highest sales volume model family that can 
meet the 95 percent nominal cooling capacity of the outdoor unit 
[Note: another indoor model family may be used if five indoor units 
from the highest sales volume model family do not provide sufficient 
capacity to meet the 95 percent threshold level].
    (iii) Individually not have a nominal cooling capacity greater 
than 50 percent of the nominal cooling capacity of the outdoor unit, 
unless the nominal cooling capacity of the outdoor unit is 24,000 
Btu/h or less;
    (iv) Operate at fan speeds consistent with manufacturer's 
specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement while able to produce the same external static pressure 
at the exit of each outlet plenum when connected in a manifold 
configuration as required by the test procedure.
    (vi) Where referenced, ``nominal cooling capacity'' is to be 
interpreted for indoor units as the highest cooling capacity listed 
in published product literature for 95 [deg]F outdoor dry bulb 
temperature and 80 [deg]F dry bulb, 67 [deg]F wet bulb indoor 
conditions, and for outdoor units as the lowest cooling capacity 
listed in published product literature for these conditions. If 
incomplete or no operating conditions are reported, the highest (for 
indoor units) or lowest (for outdoor units) such cooing capacity 
shall be used.
    Time-adaptive defrost control system is a demand-defrost control 
system that measures the length of the prior defrost period(s) and 
uses that information to automatically determine when to initiate 
the next defrost cycle.
    Time-temperature defrost control systems initiate or evaluate 
initiating a defrost cycle only when a predetermined cumulative 
compressor ON-time is obtained. This predetermined ON-time is 
generally a fixed value (e.g., 30, 45, 90 minutes) although it may 
vary based on the measured outdoor dry-bulb temperature. The ON-time 
counter accumulates if controller measurements (e.g., outdoor 
temperature, evaporator temperature) indicate that frost formation 
conditions are present, and it is reset/remains at zero at all other 
times. In one application of the control scheme, a defrost is 
initiated whenever the counter time equals the predetermined ON-
time. The counter is reset when the defrost cycle is completed.
    In a second application of the control scheme, one or more 
parameters are measured (e.g., air and/or refrigerant temperatures) 
at the predetermined, cumulative, compressor ON-time. A defrost is 
initiated only if the measured parameter(s) falls within a 
predetermined range. The ON-

[[Page 69400]]

time counter is reset regardless of whether or not a defrost is 
initiated. If systems of this second type use cumulative ON-time 
intervals of 10 minutes or less, then the heat pump may qualify as 
having a demand defrost control system (see definition).
    Triple-capacity, northern heat pump means a heat pump that 
provides two stages of cooling and three stages of heating. The two 
common stages for both the cooling and heating modes are the low 
capacity stage and the high capacity stage. The additional heating 
mode stage is the booster capacity stage, which offers the highest 
heating capacity output for a given set of ambient operating 
conditions.
    Triple-split system means a central air conditioner or heat pump 
that is composed of three separate components: An outdoor fan coil 
section, an indoor blower coil section, and an indoor compressor 
section.
    Two-capacity (or two-stage) compressor system means a central 
air conditioner or heat pump that has a compressor or a group of 
compressors operating with only two stages of capacity.
    For such systems, low capacity means the compressor(s) operating 
at low stage, or at low load test conditions. The low compressor 
stage for heating mode tests may be the same or different from the 
cooling mode value.
    For such systems, high capacity means the compressor(s) 
operating at low stage, or at full load test conditions.
    Two-capacity, northern heat pump means a heat pump that has a 
factory or field-selectable lock-out feature to prevent space 
cooling at high-capacity. Two-capacity heat pumps having this 
feature will typically have two sets of ratings, one with the 
feature disabled and one with the feature enabled. The certified 
indoor coil model number should reflect whether the ratings pertain 
to the lockout enabled option via the inclusion of an extra 
identifier, such as ``+LO''. When testing as a two-capacity, 
northern heat pump, the lockout feature must remain enabled for all 
tests.
    Variable refrigerant flow (VRF) system means a multi-split 
system with at least three compressor capacity stages, distributing 
refrigerant through a piping network to multiple indoor blower coil 
units each capable of individual zone temperature control, through 
proprietary zone temperature control devices and a common 
communications network. Single-phase VRF systems less than 65,000 
Btu/h are a kind of central air conditioners and central air 
conditioning heat pumps.
    Variable-speed compressor system means a central air conditioner 
or heat pump that has a compressor that uses a variable-speed drive 
to vary the compressor speed to achieve variable capacities.
    For such a system, maximum speed means the maximum operating 
speed, measured by RPM or frequency (Hz), that the unit is designed 
to operate in cooling mode or heating mode. Maximum speed does not 
change with ambient temperature, and it can be different from 
cooling mode to heating mode. Maximum speed does not necessarily 
mean maximum capacity.
    For such systems, minimum speed means the minimum speed, 
measured by RPM or frequency (Hz), that the unit is designed to 
operate in cooling mode or heating mode. Minimum speed does not 
change with ambient temperature, and it can be different from 
cooling mode to heating mode. Minimum speed does not necessarily 
mean minimum capacity.
    Wet-coil test means a test conducted at test conditions that 
typically cause water vapor to condense on the test unit evaporator 
coil.

2. Testing Overview and Conditions

    (A) Test VRF systems using ANSI/AHRI Standard 1230-2010 sections 
3 (except 3.8, 3.9, 3.13, 3.14, 3.15, 3.16, 3.23, 3.24, 3.26, 3.27, 
3.28, 3.29, 3.30, and 3.31), 5.1.3, 5.1.4, 6.1.5 (except Table 8), 
6.1.6, and 6.2 (incorporated by reference, see Sec.  430.3) and 
Appendix M. Where ANSI/AHRI Standard 1230-2010 refers to the 
Appendix C therein substitute the provisions of this appendix. In 
cases where there is a conflict, the language of the test procedure 
in this appendix takes precedence over ANSI/AHRI Standard 1230-2010.
    For definitions use section 1 of Appendix M and section 3 of 
ANSI/AHRI Standard 1230-2010, excluding sections 3.8, 3.9, 3.13, 
3.14, 3.15, 3.16, 3.23, 3.24, 3.26, 3.27, 3.28, 3.29, 3.30, and 
3.31. For rounding requirements refer to Sec.  430.23 (m). For 
determination of certified rating requirements refer to Sec.  
429.16.
    For test room requirements, refer to section 2.1 from Appendix 
M. For test unit installation requirements refer to sections 2.2.a, 
2.2.b, 2.2.c, 2.2.1, 2.2.2, 2.2.3(a), 2.2.3(c), 2.2.4, 2.2.5, and 
2.4 to 2.12 from Appendix M, and sections 5.1.3 and 5.1.4 of ANSI/
AHRI Standard 1230-2010.
    For general requirements for the test procedure refer to section 
3.1 of Appendix M, except for sections 3.1.3 and 3.1.4, which are 
requirements for indoor air volume and outdoor air volume. For 
indoor air volume and outdoor air volume requirements, refer instead 
to section 6.1.5 (except Table 8) and 6.1.6 of ANSI/AHRI Standard 
1230-2010. For external static pressure requirements, refer to Table 
3 in Appendix M.
    For the test procedure, refer to sections 3.3 to 3.5 and 3.7 to 
3.13 in Appendix M. For cooling mode and heating mode test 
conditions, refer to section 6.2 of ANSI/AHRI Standard 1230-2010. 
For calculations of seasonal performance descriptors use section 4 
of Appendix M.
    (B) For systems other than VRF, only a subset of the sections 
listed in this test procedure apply when testing and rating a 
particular unit. Table 1 shows the sections of the test procedure 
that apply to each system. This table is meant to assist 
manufacturers in finding the appropriate sections of the test 
procedure; the appendix sections rather than the table provide the 
specific requirements for testing, and given the varied nature of 
available units, manufacturers are responsible for determining which 
sections apply to each unit tested. To use this table, first refer 
to the sections listed under ``all units''. Then refer to additional 
requirements based on:
    (1) System configuration(s),
    (2) The compressor staging or modulation capability, and
    (3) Any special features.
    Testing requirements for space-constrained products do not 
differ from similar equipment that is not space-constrained and thus 
are not listed separately in this table. Air conditioners and heat 
pumps are not listed separately in this table, but heating 
procedures and calculations apply only to heat pumps.

[[Page 69401]]

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[[Page 69402]]


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[[Page 69403]]


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    2.1 Test room requirements.
    a. Test using two side-by-side rooms, an indoor test room and an 
outdoor test room. For multiple-split, single-zone-multi-coil or 
multi-circuit air conditioners and heat

[[Page 69404]]

pumps, however, use as many available indoor test rooms as needed to 
accommodate the total number of indoor units. These rooms must 
comply with the requirements specified in sections 8.1.2 and 8.1.3 
of ASHRAE Standard 37-2009 (incorporated by reference, see Sec.  
430.3).
    b. Inside these test rooms, use artificial loads during cyclic 
tests and Frost Accumulation tests, if needed, to produce stabilized 
room air temperatures. For one room, select an electric resistance 
heater(s) having a heating capacity that is approximately equal to 
the heating capacity of the test unit's condenser. For the second 
room, select a heater(s) having a capacity that is close to the 
sensible cooling capacity of the test unit's evaporator. When 
applied, cycle the heater located in the same room as the test unit 
evaporator coil ON and OFF when the test unit cycles ON and OFF. 
Cycle the heater located in the same room as the test unit 
condensing coil ON and OFF when the test unit cycles OFF and ON.
    2.2 Test unit installation requirements.
    a. Install the unit according to section 8.2 of ASHRAE Standard 
37-2009 (incorporated by reference, see Sec.  430.3), subject to the 
following additional requirements:
    (1) When testing split systems, follow the requirements given in 
section 6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see 
Sec.  430.3) with Addendum 1 and 2. For the vapor refrigerant 
line(s), use the insulation included with the unit; if no insulation 
is provided, refer to the specifications for the insulation in the 
installation instructions included with the unit by the 
manufacturer; if no insulation is included with the unit and the 
installation instructions do not contain provisions for insulating 
the line(s), fully insulate the vapor refrigerant line(s) with vapor 
proof insulation having an inside diameter that matches the 
refrigerant tubing and a nominal thickness of at least 0.5 inches. 
For the liquid refrigerant line(s), use the insulation included with 
the unit; if no insulation is provided, refer to the specifications 
for the insulation in the installation instructions included with 
the unit by the manufacturer; if no insulation is included with the 
unit and the installation instructions do not contain provisions for 
insulating the line(s), leave the liquid refrigerant line(s) exposed 
to the air for air conditioners and heat pumps that heat and cool; 
or, for heating-only heat pumps, insulate the liquid refrigerant 
line(s) with insulation having an inside diameter that matches the 
refrigerant tubing and a nominal thickness of at least 0.5 inches;
    (2) When testing split systems, if the indoor unit does not ship 
with a cooling mode expansion device, test the system using the 
device as specified in the installation instructions provided with 
the indoor unit. If none is specified, test the system using a 
thermostatic expansion valve with internal pressure equalization 
that the valve manufacturer's product literature indicates is 
appropriate for the system.
    (3) When testing triple-split systems (see section 1.2, 
Definitions), use the tubing length specified in section 6.1.3.5 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) with 
Addendum 1 and 2 to connect the outdoor coil, indoor compressor 
section, and indoor coil while still meeting the requirement of 
exposing 10 feet of the tubing to outside conditions; or
    (4) When testing split systems having multiple indoor coils, 
connect each indoor blower-coil to the outdoor unit using:
    (a) 25 feet of tubing, or
    (b) Tubing furnished by the manufacturer, whichever is longer.
    If they are needed to make a secondary measurement of capacity, 
install refrigerant pressure measuring instruments as described in 
section 8.2.5 of ASHRAE Standard 37-2009(incorporated by reference, 
see Sec.  430.3). Refer to section 2.10 of this appendix to learn 
which secondary methods require refrigerant pressure measurements. 
At a minimum, insulate the low-pressure line(s) of a split system 
with insulation having an inside diameter that matches the 
refrigerant tubing and a nominal thickness of 0.5 inch.
    b. For units designed for both horizontal and vertical 
installation or for both up-flow and down-flow vertical 
installations, the manufacturer must use the orientation for testing 
specified in the certification report. Conduct testing with the 
following installed:
    (1) The most restrictive filter(s);
    (2) Supplementary heating coils; and
    (3) Other equipment specified as part of the unit, including all 
hardware used by a heat comfort controller if so equipped (see 
section 1, Definitions). For small-duct, high-velocity systems, 
configure all balance dampers or restrictor devices on or inside the 
unit to fully open or lowest restriction.
    c. Testing a ducted unit without having an indoor air filter 
installed is permissible as long as the minimum external static 
pressure requirement is adjusted as stated in Table 3, note 3 (see 
section 3.1.4). Except as noted in section 3.1.10, prevent the 
indoor air supplementary heating coils from operating during all 
tests. For coil-only indoor units that are supplied without an 
enclosure, create an enclosure using 1 inch fiberglass ductboard 
having a nominal density of 6 pounds per cubic foot. Or 
alternatively, use some other insulating material having a thermal 
resistance (``R'' value) between 4 and 6 hr[middot]ft\2\[middot] 
[deg]F/Btu. For units where the coil is housed within an enclosure 
or cabinet, no extra insulating or sealing is allowed.
    d. When testing oil-only central air conditioners and heat 
pumps, install a toroidal-type transformer to power the system's 
low-voltage components, complying with any additional requirements 
for this transformer mentioned in the installation manuals included 
with the unit by the manufacturer. If the installation manuals do 
not provide specifications for the transformer, use a transformer 
having the following features:
    (1) A nominal volt-amp rating that results in the transformer 
being loaded at a level that is between 25 and 90 percent based on 
the highest power value expected and then confirmed during the off 
mode test;
    (2) Designed to operate with a primary input of 230 V, single 
phase, 60 Hz; and
    (3) That provides an output voltage that is within the specified 
range for each low-voltage component. The power consumption of the 
components connected to the transformer must be included as part of 
the total system power consumption during the off mode tests, less 
if included the power consumed by the transformer when no load is 
connected to it.
    e. An outdoor unit with no match (i.e., that is not sold with 
indoor units) shall be tested without an indoor blower installed, 
with a single cooling air volume rate, using an indoor unit whose 
coil has (1) round tubes of outer diameter no less than 0.375 
inches, and (2) a normalized gross indoor fin surface (NGIFS) no 
greater than 1.15 square inches per British thermal unit per hour 
(sq. in./Btu/hr). NGIFS is calculated as follows:

NGIFS = 2 x Lf x Wf x Nf / Qc(95)

Where,

    Lf = Indoor coil fin length in inches, also height of the coil 
transverse to the tubes.
    Wf = Indoor coil fin width in inches, also depth of the coil.
    Nf = Number of fins.
    Qc(95) = the measured space cooling capacity of the tested 
outdoor unit/indoor unit combination as determined from the A2 or A 
Test whichever applies, Btu/h.

    2.2.1 Defrost control settings.
    Set heat pump defrost controls at the normal settings which most 
typify those encountered in generalized climatic region IV. (Refer 
to Figure 1 and Table 19 of section 4.2 for information on region 
IV.) For heat pumps that use a time-adaptive defrost control system 
(see section 1.2, Definitions), the manufacturer must specify the 
frosting interval to be used during Frost Accumulation tests and 
provide the procedure for manually initiating the defrost at the 
specified time. To ease testing of any unit, the manufacturer should 
provide information and any necessary hardware to manually initiate 
a defrost cycle.
    2.2.2 Special requirements for units having a multiple-speed 
outdoor fan.
    Configure the multiple-speed outdoor fan according to the 
installation manual included with the unit by the manufacturer, and 
thereafter, leave it unchanged for all tests. The controls of the 
unit must regulate the operation of the outdoor fan during all lab 
tests except dry coil cooling mode tests. For dry coil cooling mode 
tests, the outdoor fan must operate at the same speed used during 
the required wet coil test conducted at the same outdoor test 
conditions.
    2.2.3 Special requirements for multi-split air conditioners and 
heat pumps, systems composed of multiple single-zone-multiple-coil 
split-system units (having multiple outdoor units located side-by-
side), and ducted systems using a single indoor section containing 
multiple blowers that would normally operate using two or more 
indoor thermostats.
    Because these systems will have more than one indoor blower and 
possibly multiple outdoor fans and compressor systems, references in 
this test procedure to a singular indoor blower, outdoor fan, and 
compressor means all indoor blowers, all outdoor fans, and all 
compressor systems that are energized during the test.
    a. Additional requirements for multi-split air conditioners and 
heat pumps and systems composed of multiple single-zone-multiple-

[[Page 69405]]

coil split-system units. For any test where the system is operated 
at part load (i.e., one or more compressors ``off'', operating at 
the intermediate or minimum compressor speed, or at low compressor 
capacity), the manufacturer shall designate the indoor coil(s) that 
are not providing heating or cooling during the test such that the 
sum of the nominal heating or cooling capacity of the operational 
indoor units is within 5 percent of the intended part load heating 
or cooling capacity. For variable-speed systems, the manufacturer 
must designate at least one indoor unit that is not providing 
heating or cooling for all tests conducted at minimum compressor 
speed. For all other part-load tests, the manufacturer shall choose 
to turn off zero, one, two, or more indoor units. The chosen 
configuration shall remain unchanged for all tests conducted at the 
same compressor speed/capacity. For any indoor coil that is not 
providing heating or cooling during a test, cease forced airflow 
through this indoor coil and block its outlet duct.
    b. Additional requirements for ducted systems with a single 
indoor section containing multiple blowers where the blowers are 
designed to cycle on and off independently of one another and are 
not controlled such that all blowers are modulated to always operate 
at the same air volume rate or speed. This Appendix covers systems 
with a single-speed compressor or systems offering two fixed stages 
of compressor capacity (e.g., a two-speed compressor, two single-
speed compressors). For any test where the system is operated at its 
lowest capacity--i.e., the lowest total air volume rate allowed when 
operating the single-speed compressor or when operating at low 
compressor capacity--blowers accounting for at least one-third of 
the full-load air volume rate must be turned off unless prevented by 
the controls of the unit. In such cases, turn off as many blowers as 
permitted by the unit's controls. Where more than one option exists 
for meeting this ``off'' blower requirement, the manufacturer shall 
include in its installation manuals included with the unit which 
blower(s) are turned off. The chosen configuration shall remain 
unchanged for all tests conducted at the same lowest capacity 
configuration. For any indoor coil turned off during a test, cease 
forced airflow through any outlet duct connected to an ``off'' 
blower.
    c. For test setups where it is physically impossible for the 
laboratory to use the required line length listed in Table 3 of 
ANSI/AHRI Standard 1230-2010 (incorporated by reference, see Sec.  
430.3) with Addendum 2, then the actual refrigerant line length used 
by the laboratory may exceed the required length and the refrigerant 
line length correction factors in Table 4 of ANSI/AHRI Standard 
1230-2010 with Addendum 2 are applied.
    2.2.4 Wet-bulb temperature requirements for the air entering the 
indoor and outdoor coils.
    2.2.4.1 Cooling mode tests.
    For wet-coil cooling mode tests, regulate the water vapor 
content of the air entering the indoor unit to the applicable wet-
bulb temperature listed in Tables 4 to 7. As noted in these same 
tables, achieve a wet-bulb temperature during dry-coil cooling mode 
tests that results in no condensate forming on the indoor coil. 
Controlling the water vapor content of the air entering the outdoor 
side of the unit is not required for cooling mode tests except when 
testing:
    (1) Units that reject condensate to the outdoor coil during wet 
coil tests. Tables 4-7 list the applicable wet-bulb temperatures.
    (2) Single-package units where all or part of the indoor section 
is located in the outdoor test room. The average dew point 
temperature of the air entering the outdoor coil during wet coil 
tests must be within 3.0[emsp14][deg]F of the average 
dew point temperature of the air entering the indoor coil over the 
30-minute data collection interval described in section 3.3. For dry 
coil tests on such units, it may be necessary to limit the moisture 
content of the air entering the outdoor side of the unit to meet the 
requirements of section 3.4.
    2.2.4.2 Heating mode tests.
    For heating mode tests, regulate the water vapor content of the 
air entering the outdoor unit to the applicable wet-bulb temperature 
listed in Tables 11 to 14. The wet-bulb temperature entering the 
indoor side of the heat pump must not exceed 60[emsp14][deg]F. 
Additionally, if the Outdoor Air Enthalpy test method is used while 
testing a single-package heat pump where all or part of the outdoor 
section is located in the indoor test room, adjust the wet-bulb 
temperature for the air entering the indoor side to yield an indoor-
side dew point temperature that is as close as reasonably possible 
to the dew point temperature of the outdoor-side entering air.
    2.2.5 Additional refrigerant charging requirements.
    2.2.5.1 The ``manufacturer's published instructions,'' as stated 
in section 8.2 of ASHRAE Standard 37-2009 (incorporated by 
reference, see Sec.  430.3) and ``manufacturer's installation 
instructions'' discussed in this Appendix mean the manufacturer's 
installation instructions that come packaged with or appear in the 
labels applied to the unit. This does not include online manuals. 
Installation instructions that are shipped with the unit shall take 
precedence over installation instructions that appear in the labels 
applied to the unit.
    2.2.5.2 Instructions to Use for Charging
    a. Where the manufacturer's installation instructions contain 
two sets of refrigerant charging criteria, one for field 
installations and one for lab testing, use the field installation 
criteria.
    b. For systems consisting of an outdoor unit manufacturer's 
outdoor section and indoor section with differing charging 
procedures the refrigerant charge shall be adjusted per the outdoor 
installation instructions.
    c. For systems consisting of an outdoor unit manufacturer's 
outdoor section and an independent coil manufacturer's indoor 
section with differing charging procedures the refrigerant charge 
shall be adjusted per the indoor installation instructions.
    2.2.5.3 Test(s) to Use for Charging
    a. Use the tests or operating conditions specified in the 
manufacturer's installation instructions for charging.
    b. If the manufacturer's installation instructions do not 
specify a test or operating conditions for charging or there are no 
manufacturer's instructions, use the following test(s):
    (1) For air conditioners or cooling and heating heat pumps, use 
the A or A2 test.
    (2) For cooling and heating heat pumps that do not function in 
the H1 or H12 test with the charge set for the A or 
A2 test and for heating-only heat pumps, use the H1 or 
H12 test.
    2.2.5.4 Parameters to Set and Their Target Values
    a. Consult the manufacturer's installation instructions 
regarding which parameters to set and their target values. If the 
instructions provide ranges of values, select target values equal to 
the midpoints of the provided ranges.
    b. In the event of conflicting information between charging 
instructions (defined as multiple conditions given for charge 
adjustment where all conditions specified cannot be met), follow the 
following hierarchy.
    (1) For fixed orifice systems:

(i) Superheat
(ii) High side pressure or corresponding saturation or dew-point 
temperature
(iii) Low side pressure or corresponding saturation or dew-point 
temperature
(iv) Low side temperature
(v) High side temperature
(vi) Charge weight

    (2) For expansion valve systems:

(i) Subcooling
(ii) High side pressure or corresponding saturation or dew-point 
temperature
(iii) Low side pressure or corresponding saturation or dew-point 
temperature
(iv) Approach temperature (difference between temperature of liquid 
leaving condenser and condenser average inlet air temperature)
(v) Charge weight

    c. If there are no installation instructions and/or they do not 
provide parameters and target values, set superheat to a target 
value of 12 [deg]F for fixed orifice systems or set subcooling to a 
target value of 10 [deg]F for expansion valve systems.
    2.2.5.5 Charging Tolerances
    a. If the manufacturer's installation instructions specify 
tolerances on target values for the charging parameters, set the 
values using these tolerances.
    b. Otherwise, use the following tolerances for the different 
charging parameters:

1. Superheat: 2.0 [deg]F
2. Subcooling: 0.6 [deg]F
3. High side pressure or corresponding saturation or dew point 
temperature: 4.0 psi or 1.0 [deg]F
4. Low side pressure or corresponding saturation or dew point 
temperature: 2.0 psi or 0.8 [deg]F
5. High side temperature: 2.0 [deg]F
6. Low side temperature: 2.0 [deg]F
7. Approach temperature: 1.0 [deg]F
8. Charge weight: 2.0 ounce

    2.2.5.6 Special Charging Instructions
    a. Cooling and Heating Heat Pumps
    If, using the initial charge set in the A or A2 test, 
the conditions are not within the range specified in manufacturer's 
instructions for the H1 or H12 test, make as

[[Page 69406]]

small as possible an adjustment to obtain conditions for this test 
in the specified range. After this adjustment, recheck conditions in 
the A or A2 test to confirm that they are still within 
the specified range for this test.
    b. Single-Package Systems
    Unless otherwise directed by the manufacturer's installation 
instructions, install one or more refrigerant line pressure gauges 
during the setup of the unit if setting of refrigerant charge is 
based on certain operating parameters:
    (1) Install a pressure gauge on the liquid line if charging is 
on the basis of subcooling, or high side pressure or corresponding 
saturation or dew point temperature;
    (2) Install a pressure gauge on the suction line if charging is 
on the basis of superheat, or low side pressure or corresponding 
saturation or dew point temperature. If manufacturer's installation 
instructions indicate that pressure gauges are not to be installed, 
setting of charge shall not be based on any of the parameters listed 
in b.(1) and (2) of this section.
    2.2.5.7 Near-azeotropic and zeotropic refrigerants.
    Charging of near-azeotropic and zeotropic refrigerants shall 
only be performed with refrigerant in the liquid state.
    2.2.5.8 Adjustment of charge between tests.
    After charging the system as described in this test procedure, 
use the set refrigerant charge for all tests used to determine 
performance. Do not adjust the refrigerant charge at any point 
during testing.
    2.3 Indoor air volume rates.
    If a unit's controls allow for overspeeding the indoor blower 
(usually on a temporary basis), take the necessary steps to prevent 
overspeeding during all tests.
    2.3.1 Cooling tests.
    a. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the installation 
instructions that are provided with the equipment while meeting the 
airflow requirements that are specified in section 3.1.4. If the 
manufacturer installation instructions do not provide guidance on 
the airflow-control settings for a system tested with the indoor 
blower installed, select the lowest speed that will satisfy the 
minimum external static pressure specified in section 3.1.4.1.1 with 
an air volume rate at or higher than the rated full-load cooling air 
volume rate while meeting the maximum air flow requirement.
    b. Express the Cooling Full-load Air Volume Rate, the Cooling 
Minimum Air Volume Rate, and the Cooling Intermediate Air Volume 
Rate in terms of standard air.
    2.3.2 Heating tests.
    a. If needed, set the indoor blower airflow-control settings 
(e.g., fan motor pin settings, fan motor speed) according to the 
installation instructions that are provided with the equipment. Do 
this set-up while meeting all applicable airflow requirements 
specified in sections 3.1.4. For a cooling and heating heat pump 
tested with an indoor blower installed, if the manufacturer 
installation instructions do not provide guidance on the fan 
airflow-control settings, use the same airflow-control settings used 
for the cooling test. If the manufacturer installation instructions 
do not provide guidance on the airflow-control settings for a 
heating-only heat pump tested with the indoor blower installed, 
select the lowest speed that will satisfy the minimum external 
static pressure specified in section 3.1.4.4.3 with an air volume 
rate at or higher than the rated heating full-load air volume rate.
    b. Express the Heating Full-Load Air Volume Rate, the Heating 
Minimum Air Volume Rate, the Heating Intermediate Air Volume Rate, 
and the Heating Nominal Air Volume Rate in terms of standard air.
    2.4 Indoor coil inlet and outlet duct connections.
    Insulate and/or construct the outlet plenum described in section 
2.4.1 and, if installed, the inlet plenum described in section 2.4.2 
with thermal insulation having a nominal overall resistance (R-
value) of at least 19 hr[middot]ft\2\[middot] [deg]F/Btu.
    2.4.1 Outlet plenum for the indoor unit.
    a. Attach a plenum to the outlet of the indoor coil. (NOTE: for 
some packaged systems, the indoor coil may be located in the outdoor 
test room.)
    b. For systems having multiple indoor coils, or multiple indoor 
blowers within a single indoor section, attach a plenum to each 
indoor coil or blower outlet. Connect two or more outlet plenums to 
a single common duct so that each indoor coil ultimately connects to 
an airflow measuring apparatus (section 2.6). If using more than one 
indoor test room, do likewise, creating one or more common ducts 
within each test room that contains multiple indoor coils. At the 
plane where each plenum enters a common duct, install an adjustable 
airflow damper and use it to equalize the static pressure in each 
plenum. Each outlet air temperature grid (section 2.5.4) and airflow 
measuring apparatus are located downstream of the inlet(s) to the 
common duct.
    c. For small-duct, high-velocity systems, install an outlet 
plenum that has a diameter that is equal to or less than the value 
listed below. The limit depends only on the Cooling Full-Load Air 
Volume Rate (see section 3.1.4.1.1) and is effective regardless of 
the flange dimensions on the outlet of the unit (or an air supply 
plenum adapter accessory, if installed in accordance with the 
manufacturer's installation instructions).
    d. Add a static pressure tap to each face of the (each) outlet 
plenum, if rectangular, or at four evenly distributed locations 
along the circumference of an oval or round plenum. Create a 
manifold that connects the four static pressure taps. Figures 7a, 
7b, 7c of ASHRAE Standard 37-2009 (incorporated by reference, see 
Sec.  430.3) shows two of the three options allowed for the manifold 
configuration; the third option is the broken-ring, four-to-one 
manifold configuration that is shown in Figure 7a of ASHRAE Standard 
37-2009. See Figures 7a, 7b, 7c, and 8 of ASHRAE Standard 37-2009 
for the cross-sectional dimensions and minimum length of the (each) 
plenum and the locations for adding the static pressure taps for 
units tested with and without an indoor blower installed.

                     Table 2--Size of Outlet Plenum
------------------------------------------------------------------------
                                                              Maximum
                                                           diameter * of
        Cooling full-load air volume rate (scfm)           outlet plenum
                                                             (inches)
------------------------------------------------------------------------
<=500...................................................               6
501 to 700..............................................               7
701 to 900..............................................               8
901 to 1100.............................................               9
1101 to 1400............................................              10
1401 to 1750............................................              11
------------------------------------------------------------------------
* If the outlet plenum is rectangular, calculate its equivalent diameter
  using (4A/P,) where A is the cross-sectional area and P is the
  perimeter of the rectangular plenum, and compare it to the listed
  maximum diameter.

    2.4.2 Inlet plenum for the indoor unit.
    Install an inlet plenum when testing a coil-only indoor unit or 
a packaged system where the indoor coil is located in the outdoor 
test room. Add static pressure taps at the center of each face of 
this plenum, if rectangular, or at four evenly distributed locations 
along the circumference of an oval or round plenum. Make a manifold 
that connects the four static-pressure taps using one of the three 
configurations specified in section 2.4.1. See Figures 7b, 7c, and 
Figure 8 of ASHRAE Standard 37-2009 (incorporated by reference, see 
Sec.  430.3) for cross-sectional dimensions, the minimum length of 
the inlet plenum, and the locations of the static-pressure taps. 
When testing a ducted unit having an indoor blower (and the indoor 
coil is in the indoor test room), test with an inlet plenum 
installed unless physically prohibited by space limitations within 
the test room. If used, construct the inlet plenum and add the four 
static-pressure taps as shown in Figure 8 of ASHRAE Standard 37-
2009. If used, the inlet duct size shall equal the size of the inlet 
opening of the air-handling (blower coil) unit or furnace, with a 
minimum length of 6 inches. Manifold the four static-pressure taps 
using one of the three configurations specified in section 2.4.1.d. 
Never use an inlet plenum when testing a non-ducted system.
    2.5 Indoor coil air property measurements and air damper box 
applications.
    Follow instructions for indoor coil air property measurements as 
described in AHRI 210/240-Draft, appendix E, section E4, unless 
otherwise instructed in this section.
    a. Measure the dry-bulb temperature and water vapor content of 
the air entering and leaving the indoor coil. If needed, use an air 
sampling device to divert air to a sensor(s) that measures the water 
vapor content of the air. See Section 5.3 of ASHRAE Standard 41.1-
2013 (incorporated by reference, see Sec.  430.3) for guidance on 
constructing an air sampling device. No part of the air sampling 
device or the tubing transferring the sampled air to the sensor 
shall be within two inches of the test chamber floor, and the 
transfer tubing shall be insulated. The sampling device may also 
divert air to a remotely located sensor(s) that measures dry bulb 
temperature. The air sampling device and the remotely located 
temperature sensor(s) may be used to determine the entering air dry 
bulb temperature during any test. The air

[[Page 69407]]

sampling device and the remotely located leaving air dry bulb 
temperature sensor(s) may be used for all tests except:
    (1) Cyclic tests; and
    (2) Frost accumulation tests.
    b. An acceptable alternative in all cases, including the two 
special cases noted above, is to install a grid of dry bulb 
temperature sensors within the outlet and inlet ducts. Use a 
temperature grid to get the average dry bulb temperature at one 
location, leaving or entering, or when two grids are applied as a 
thermopile, to directly obtain the temperature difference. A grid of 
temperature sensors (which may also be used for determining average 
leaving air dry bulb temperature) is required to measure the 
temperature distribution within a cross-section of the leaving 
airstream.
    c. Use an inlet and outlet air damper box, an inlet upturned 
duct, or any combination thereof when conducting one or both of the 
cyclic tests listed in sections 3.2 and 3.6 on ducted systems. 
Otherwise if not conducting one or both of said cyclic tests, 
install an outlet air damper box when testing ducted and non-ducted 
heat pumps that cycle off the indoor blower during defrost cycles if 
no other means is available for preventing natural or forced 
convection through the indoor unit when the indoor blower is off. 
Never use an inlet damper box or an inlet upturned duct when testing 
a non-ducted system. An inlet upturned duct is a length of ductwork 
so installed upstream from the inlet such that the indoor duct inlet 
opening, facing upwards, is sufficiently high to prevent natural 
convection transfer out of the duct. If an inlet upturned duct is 
used, install a dry bulb temperature sensor near the inlet opening 
of the indoor duct at a centerline location not higher than the 
lowest elevation of the duct edges at the inlet, and ensure that the 
variation of the dry bulb temperature at this location, measured at 
least every minute during the compressor OFF period of the cyclic 
test, does not exceed 1.0 [deg]F.
    2.5.1 Test set-up on the inlet side of the indoor coil: For 
cases where the inlet airflow prevention device is installed.
    a. Install an airflow prevention device as specified in section 
2.5.1.1 or 2.5.1.2, whichever applies.
    b. For an inlet damper box, locate the grid of entering air dry-
bulb temperature sensors, if used, and the air sampling device, or 
the sensor used to measure the water vapor content of the inlet air, 
at a location immediately upstream of the damper box inlet. For an 
inlet upturned duct, locate the grid of entering air dry-bulb 
temperature sensors, if used, and the air sampling device, or the 
sensor used to measure the water vapor content of the inlet air, at 
a location at least one foot downstream from the beginning of the 
insulated portion of the duct but before the static pressure 
measurement; install a dry-bulb temperature sensor at a centerline 
location not higher than the lowest elevation of the duct edges at 
the device inlet.
    2.5.1.1 If the section 2.4.2 inlet plenum is installed.
    Construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the inlet 
plenum. Install the airflow prevention device upstream of the inlet 
plenum and construct ductwork connecting it to the inlet plenum. If 
needed, use an adaptor plate or a transition duct section to connect 
the airflow prevention device with the inlet plenum. Insulate the 
ductwork and inlet plenum with thermal insulation that has a nominal 
overall resistance (R-value) of at least 19 hr [middot] ft\2\ 
[middot] [deg]F/Btu.
    2.5.1.2 If the section 2.4.2 inlet plenum is not installed.
    Construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the air inlet of 
the indoor unit. Install the airflow prevention device immediately 
upstream of the inlet of the indoor unit. If needed, use an adaptor 
plate or a short transition duct section to connect the airflow 
prevention device with the unit's air inlet. Add static pressure 
taps at the center of each face of a rectangular airflow prevention 
device, or at four evenly distributed locations along the 
circumference of an oval or round airflow prevention device. Locate 
the pressure taps between the airflow prevention device and the 
inlet of the indoor unit. Make a manifold that connects the four 
static pressure taps. Insulate the ductwork with thermal insulation 
that has a nominal overall resistance (R-value) of at least 19 
hr[middot]ft\2\ [middot] [deg]F/Btu.
    2.5.2 Test set-up on the inlet side of the indoor unit: For 
cases where no airflow prevention device is installed.
    If using the section 2.4.2 inlet plenum and a grid of dry bulb 
temperature sensors, mount the grid at a location upstream of the 
static pressure taps described in section 2.4.2, preferably at the 
entrance plane of the inlet plenum. If the section 2.4.2 inlet 
plenum is not used, but a grid of dry bulb temperature sensors is 
used, locate the grid approximately 6 inches upstream from the inlet 
of the indoor coil. Or, in the case of non-ducted units having 
multiple indoor coils, locate a grid approximately 6 inches upstream 
from the inlet of each indoor coil. Position an air sampling device, 
or the sensor used to measure the water vapor content of the inlet 
air, immediately upstream of the (each) entering air dry-bulb 
temperature sensor grid. If a grid of sensors is not used, position 
the entering air sampling device (or the sensor used to measure the 
water vapor content of the inlet air) as if the grid were present.
    2.5.3 Indoor coil static pressure difference measurement.
    Section 6.5.2 of ASHRAE Standard 37-2009 describes the method 
for fabricating static-pressure taps. Also refer to Figure 2A of 
ASHRAE Standard 51-07/AMCA Standard 210-07 (incorporated by 
reference, see Sec.  430.3). Use a differential pressure measuring 
instrument that is accurate to within 0.01 inches of 
water and has a resolution of at least 0.01 inches of water to 
measure the static pressure difference between the indoor coil air 
inlet and outlet. Connect one side of the differential pressure 
instrument to the manifolded pressure taps installed in the outlet 
plenum. Connect the other side of the instrument to the manifolded 
pressure taps located in either the inlet plenum or incorporated 
within the airflow prevention device. If an inlet plenum or inlet 
airflow prevention device is not used, leave the inlet side of the 
differential pressure instrument open to the surrounding atmosphere. 
For non-ducted systems that are tested with multiple outlet plenums, 
measure the static pressure within each outlet plenum relative to 
the surrounding atmosphere.
    2.5.4 Test set-up on the outlet side of the indoor coil.
    a. Install an interconnecting duct between the outlet plenum 
described in section 2.4.1 and the airflow measuring apparatus 
described below in section 2.6. The cross-sectional flow area of the 
interconnecting duct must be equal to or greater than the flow area 
of the outlet plenum or the common duct used when testing non-ducted 
units having multiple indoor coils. If needed, use adaptor plates or 
transition duct sections to allow the connections. To minimize 
leakage, tape joints within the interconnecting duct (and the outlet 
plenum). Construct or insulate the entire flow section with thermal 
insulation having a nominal overall resistance (R-value) of at least 
19 hr[middot]ft\2\[middot] [deg]F/Btu.
    b. Install a grid(s) of dry-bulb temperature sensors inside the 
interconnecting duct. Also, install an air sampling device, or the 
sensor(s) used to measure the water vapor content of the outlet air, 
inside the interconnecting duct. Locate the dry-bulb temperature 
grid(s) upstream of the air sampling device (or the in-duct 
sensor(s) used to measure the water vapor content of the outlet 
air). Air that circulates through an air sampling device and past a 
remote water-vapor-content sensor(s) must be returned to the 
interconnecting duct at a location:
    (1) Downstream of the air sampling device;
    (2) Upstream of the outlet air damper box, if installed; and
    (3) Upstream of the section 2.6 airflow measuring apparatus.
    2.5.4.1 Outlet air damper box placement and requirements.
    If using an outlet air damper box (see section 2.5), install it 
within the interconnecting duct at a location downstream of the 
location where air from the sampling device is reintroduced or 
downstream of the in-duct sensor that measures water vapor content 
of the outlet air. The leakage rate from the combination of the 
outlet plenum, the closed damper, and the duct section that connects 
these two components must not exceed 20 cubic feet per minute when a 
negative pressure of 1 inch of water column is maintained at the 
plenum's inlet.
    2.5.4.2 Procedures to minimize temperature maldistribution.
    Use these procedures if necessary to correct temperature 
maldistributions. Install a mixing device(s) upstream of the outlet 
air, dry-bulb temperature grid (but downstream of the outlet plenum 
static pressure taps). Use a perforated screen located between the 
mixing device and the dry-bulb temperature grid, with a maximum open 
area of 40 percent. One or both items should help to meet the 
maximum outlet air temperature distribution specified in section 
3.1.8. Mixing devices are described in sections 5.3.2 and 5.3.3 of 
ASHRAE Standard 41.1-2013 (incorporated by reference, see Sec.  
430.3) and

[[Page 69408]]

section 5.2.2 of ASHRAE Standard 41.2-87 (RA 92) (incorporated by 
reference, see Sec.  430.3).
    2.5.4.3 Minimizing air leakage.
    For small-duct, high-velocity systems, install an air damper 
near the end of the interconnecting duct, just prior to the 
transition to the airflow measuring apparatus of section 2.6. To 
minimize air leakage, adjust this damper such that the pressure in 
the receiving chamber of the airflow measuring apparatus is no more 
than 0.5 inch of water higher than the surrounding test room 
ambient. If applicable, in lieu of installing a separate damper, use 
the outlet air damper box of sections 2.5 and 2.5.4.1 if it allows 
variable positioning. Also apply these steps to any conventional 
indoor blower unit that creates a static pressure within the 
receiving chamber of the airflow measuring apparatus that exceeds 
the test room ambient pressure by more than 0.5 inches of water 
column.
    2.5.5 Dry bulb temperature measurement.
    a. Measure dry bulb temperatures as specified in sections 4, 
5.3, 6, 7.2, and 7.3 of ASHRAE Standard 41.1-2013 (incorporated by 
reference, see Sec.  430.3).
    b. Distribute the sensors of a dry-bulb temperature grid over 
the entire flow area. The required minimum is 9 sensors per grid.
    2.5.6 Water vapor content measurement.
    Determine water vapor content by measuring dry-bulb temperature 
combined with the air wet-bulb temperature, dew point temperature, 
or relative humidity. If used, construct and apply wet-bulb 
temperature sensors as specified in sections 4, 5, 6, 7.2, 7.3, 7.4, 
and 7.5 of ASHRAE Standard 41.6-2014 (incorporated by reference, see 
Sec.  430.3). The temperature sensor (wick removed) must be accurate 
to within 0.2 [deg]F. If used, apply dew point 
hygrometers as specified in sections 4, 5, 6, and 7.1 of ASHRAE 
Standard 41.6-2014. The dew point hygrometers must be accurate to 
within 0.4 [deg]F when operated at conditions that 
result in the evaluation of dew points above 35 [deg]F. If used, a 
relative humidity (RH) meter must be accurate to within 0.7% RH. Other means to determine the psychrometric state of 
air may be used as long as the measurement accuracy is equivalent to 
or better than the accuracy achieved from using a wet-bulb 
temperature sensor that meets the above specifications.
    2.5.7 Air damper box performance requirements.
    If used (see section 2.5), the air damper box(es) must be 
capable of being completely opened or completely closed within 10 
seconds for each action.
    2.6 Airflow measuring apparatus.
    a. Fabricate and operate an Air Flow Measuring Apparatus as 
specified in section 6.2 and 6.3 of ASHRAE Standard 37-2009. Refer 
to Figure 12 of ASHRAE Standard 51-07/AMCA Standard 210-07 or Figure 
14 of ASHRAE Standard 41.2-87 (RA 92) (incorporated by reference, 
see Sec.  430.3) for guidance on placing the static pressure taps 
and positioning the diffusion baffle (settling means) relative to 
the chamber inlet. When measuring the static pressure difference 
across nozzles and/or velocity pressure at nozzle throats using 
electronic pressure transducers and a data acquisition system, if 
high frequency fluctuations cause measurement variations to exceed 
the test tolerance limits specified in section 9.2 and Table 2 of 
ASHRAE Standard 37-2009, dampen the measurement system such that the 
time constant associated with response to a step change in 
measurement (time for the response to change 63% of the way from the 
initial output to the final output) is no longer than five seconds.
    b. Connect the airflow measuring apparatus to the 
interconnecting duct section described in section 2.5.4. See 
sections 6.1.1, 6.1.2, and 6.1.4, and Figures 1, 2, and 4 of ASHRAE 
Standard 37-2009; and Figures D1, D2, and D4 of AHRI 210/240-2008 
(incorporated by reference, see Sec.  430.3) with Addendum 1 and 2 
for illustrative examples of how the test apparatus may be applied 
within a complete laboratory set-up. Instead of following one of 
these examples, an alternative set-up may be used to handle the air 
leaving the airflow measuring apparatus and to supply properly 
conditioned air to the test unit's inlet. The alternative set-up, 
however, must not interfere with the prescribed means for measuring 
airflow rate, inlet and outlet air temperatures, inlet and outlet 
water vapor contents, and external static pressures, nor create 
abnormal conditions surrounding the test unit. (Note: Do not use an 
enclosure as described in section 6.1.3 of ASHRAE Standard 37-2009 
when testing triple-split units.)
    2.7 Electrical voltage supply.
    Perform all tests at the voltage specified in section 6.1.3.2 of 
AHRI 210/240-2008 with Addendum 1 and 2 for ``Standard Rating 
Tests.'' If the voltage on the nameplate of indoor and outdoor units 
differs, the voltage supply on the outdoor unit shall be selected 
for testing. Measure the supply voltage at the terminals on the test 
unit using a volt meter that provides a reading that is accurate to 
within 1.0 percent of the measured quantity.
    2.8 Electrical power and energy measurements.
    a. Use an integrating power (watt-hour) measuring system to 
determine the electrical energy or average electrical power supplied 
to all components of the air conditioner or heat pump (including 
auxiliary components such as controls, transformers, crankcase 
heater, integral condensate pump on non-ducted indoor units, etc.). 
The watt-hour measuring system must give readings that are accurate 
to within 0.5 percent. For cyclic tests, this accuracy 
is required during both the ON and OFF cycles. Use either two 
different scales on the same watt-hour meter or two separate watt-
hour meters. Activate the scale or meter having the lower power 
rating within 15 seconds after beginning an OFF cycle. Activate the 
scale or meter having the higher power rating active within 15 
seconds prior to beginning an ON cycle. For ducted units tested with 
a fan installed, the ON cycle lasts from compressor ON to indoor 
blower OFF. For ducted units tested without an indoor blower 
installed, the ON cycle lasts from compressor ON to compressor OFF. 
For non-ducted units, the ON cycle lasts from indoor blower ON to 
indoor blower OFF. When testing air conditioners and heat pumps 
having a variable-speed compressor, avoid using an induction watt/
watt-hour meter.
    b. When performing section 3.5 and/or 3.8 cyclic tests on non-
ducted units, provide instrumentation to determine the average 
electrical power consumption of the indoor blower motor to within 
1.0 percent. If required according to sections 3.3, 3.4, 
3.7, 3.9.1, and/or 3.10, this same instrumentation requirement 
applies when testing air conditioners and heat pumps having a 
variable-speed constant-air-volume-rate indoor blower or a variable-
speed, variable-air-volume-rate indoor blower.
    2.9 Time measurements.
    Make elapsed time measurements using an instrument that yields 
readings accurate to within 0.2 percent.
    2.10 Test apparatus for the secondary space conditioning 
capacity measurement.
    For all tests, use the Indoor Air Enthalpy Method to measure the 
unit's capacity. This method uses the test set-up specified in 
sections 2.4 to 2.6. In addition, for all steady-state tests, 
conduct a second, independent measurement of capacity as described 
in section 3.1.1. For split systems, use one of the following 
secondary measurement methods: Outdoor Air Enthalpy Method, 
Compressor Calibration Method, or Refrigerant Enthalpy Method. For 
single-package units, use either the Outdoor Air Enthalpy Method or 
the Compressor Calibration Method as the secondary measurement.
    2.10.1 Outdoor Air Enthalpy Method.
    a. To make a secondary measurement of indoor space conditioning 
capacity using the Outdoor Air Enthalpy Method, do the following:
    (1) Measure the electrical power consumption of the test unit;
    (2) Measure the air-side capacity at the outdoor coil; and
    (3) Apply a heat balance on the refrigerant cycle.
    b. The test apparatus required for the Outdoor Air Enthalpy 
Method is a subset of the apparatus used for the Indoor Air Enthalpy 
Method. Required apparatus includes the following:
    (1) On the outlet side, an outlet plenum containing static 
pressure taps (sections 2.4, 2.4.1, and 2.5.3),
    (2) An airflow measuring apparatus (section 2.6),
    (3) A duct section that connects these two components and itself 
contains the instrumentation for measuring the dry-bulb temperature 
and water vapor content of the air leaving the outdoor coil 
(sections 2.5.4, 2.5.5, and 2.5.6), and
    (4) On the inlet side, a sampling device and temperature grid 
(section 2.11b.).
    c. During the preliminary tests described in sections 3.11.1 and 
3.11.1.1, measure the evaporator and condenser temperatures or 
pressures. On both the outdoor coil and the indoor coil, solder a 
thermocouple onto a return bend located at or near the midpoint of 
each coil or at points not affected by vapor superheat or liquid 
subcooling. Alternatively, if the test unit is not sensitive to the 
refrigerant charge, install pressure gages to the access valves or 
to ports created from tapping into the suction and discharge lines 
according to sections 7.4.2 and 8.2.5 of ASHRAE Standard 37-2009. 
Use this

[[Page 69409]]

alternative approach when testing a unit charged with a zeotropic 
refrigerant having a temperature glide in excess of 1 [deg]F at the 
specified test conditions.
    2.10.2 Compressor Calibration Method.
    Measure refrigerant pressures and temperatures to determine the 
evaporator superheat and the enthalpy of the refrigerant that enters 
and exits the indoor coil. Determine refrigerant flow rate or, when 
the superheat of the refrigerant leaving the evaporator is less than 
5 [deg]F, total capacity from separate calibration tests conducted 
under identical operating conditions. When using this method, 
install instrumentation, measure refrigerant properties, and adjust 
the refrigerant charge according to section 7.4.2 and 8.2.5 of 
ASHRAE Standard 37-2009 (incorporated by reference, see Sec.  
430.3). Use refrigerant temperature and pressure measuring 
instruments that meet the specifications given in sections 5.1.1 and 
5.2 of ASHRAE Standard 37-2009.
    2.10.3 Refrigerant Enthalpy Method.
    For this method, calculate space conditioning capacity by 
determining the refrigerant enthalpy change for the indoor coil and 
directly measuring the refrigerant flow rate. Use section 7.5.2 of 
ASHRAE Standard 37-2009 for the requirements for this method, 
including the additional instrumentation requirements, and 
information on placing the flow meter and a sight glass. Use 
refrigerant temperature, pressure, and flow measuring instruments 
that meet the specifications given in sections 5.1.1, 5.2, and 5.5.1 
of ASHRAE Standard 37-2009. Refrigerant flow measurement device(s), 
if used, must be elevated at least two feet from the test chamber 
floor or placed upon insulating material having a total thermal 
resistance of at least R-12 and extending at least one foot 
laterally beyond each side of the device(s)' exposed surfaces, 
unless the device(s) are elevated at least two feet from the floor.
    2.11 Measurement of test room ambient conditions.
    Follow instructions for measurement of test room ambient 
conditions as described in AHRI 210/240-Draft, appendix E, section 
E4, (incorporated by reference, see Sec.  430.3) unless otherwise 
instructed in this section.
    a. If using a test set-up where air is ducted directly from the 
conditioning apparatus to the indoor coil inlet (see Figure 2, Loop 
Air-Enthalpy Test Method Arrangement, of ASHRAE Standard 37-2009), 
add instrumentation to permit measurement of the indoor test room 
dry-bulb temperature.
    b. For the outdoor side, install a grid of evenly-distributed 
sensors on every air-permitting face on the inlet of the outdoor 
unit, such that each measurement represents an air-inlet area of no 
more than one square foot. This grid must be constructed and applied 
as per section 5.3 of ASHRAE Standard 41.1-2013 (incorporated by 
reference, see Sec.  430.3). The maximum and minimum temperatures 
measured by these sensors may differ by no more than 1.5 [deg]F--
otherwise adjustments to the test room must be made to improve 
temperature uniformity. The outdoor conditions shall be verified 
with the air collected by air sampling device. Air collected by an 
air sampling device at the air inlet of the outdoor unit for 
transfer to sensors for measurement of temperature and/or humidity 
shall be protected from temperature change as follows: Any surface 
of the air conveying tubing in contact with surrounding air at a 
different temperature than the sampled air shall be insulated with 
thermal insulation with a nominal thermal resistance (R-value) of at 
least 19 hr [middot] ft\2\ [middot] [deg]F/Btu, no part of the air 
sampling device or the tubing conducting the sampled air to the 
sensors shall be within two inches of the test chamber floor, and 
pairs of measurements (e.g. dry bulb temperature and wet bulb 
temperature) used to determine water vapor content of sampled air 
shall be measured in the same location. Take steps (e.g., add or re-
position a lab circulating fan), as needed, to maximize temperature 
uniformity within the outdoor test room. However, ensure that any 
fan used for this purpose does not cause air velocities in the 
vicinity of the test unit to exceed 500 feet per minute.
    c. Measure dry bulb temperatures as specified in sections 4, 5, 
7.2, 6, and 7.3 of ASHRAE Standard 41.1-2013. Measure water vapor 
content as stated above in section 2.5.6.
    2.12 Measurement of indoor blower speed.
    When required, measure fan speed using a revolution counter, 
tachometer, or stroboscope that gives readings accurate to within 
1.0 percent.
    2.13 Measurement of barometric pressure.
    Determine the average barometric pressure during each test. Use 
an instrument that meets the requirements specified in section 5.2 
of ASHRAE Standard 37-2009.
    3. Testing Procedures.
    3.1 General Requirements.
    If, during the testing process, an equipment set-up adjustment 
is made that would have altered the performance of the unit during 
any already completed test, then repeat all tests affected by the 
adjustment. For cyclic tests, instead of maintaining an air volume 
rate, for each airflow nozzle, maintain the static pressure 
difference or velocity pressure during an ON period at the same 
pressure difference or velocity pressure as measured during the 
steady-state test conducted at the same test conditions.
    Use the testing procedures in this section to collect the data 
used for calculating
    (1) Performance metrics for central air conditioners and heat 
pumps during the cooling season;
    (2) Performance metrics for heat pumps during the heating 
season; and
    (3) Power consumption metric(s) for central air conditioners and 
heat pumps during the off mode season(s).
    3.1.1 Primary and secondary test methods.
    For all tests, use the Indoor Air Enthalpy Method test apparatus 
to determine the unit's space conditioning capacity. The procedure 
and data collected, however, differ slightly depending upon whether 
the test is a steady-state test, a cyclic test, or a Frost 
Accumulation test. The following sections described these 
differences. For all steady-state tests (i.e., the A, A2, 
A1, B, B2, B1, C, C1, 
EV, F1, G1, H01, H1, 
H12, H11, HIN, H3, 
H32, and H31 Tests), in addition, use one of 
the acceptable secondary methods specified in section 2.10 to 
determine indoor space conditioning capacity. Calculate this 
secondary check of capacity according to section 3.11. The two 
capacity measurements must agree to within 6 percent to constitute a 
valid test. For this capacity comparison, use the Indoor Air 
Enthalpy Method capacity that is calculated in section 7.3 of ASHRAE 
Standard 37-2009 (and, if testing a coil-only system, do not make 
the after-test fan heat adjustments described in section 3.3, 3.4, 
3.7, and 3.10 of this appendix). However, include the appropriate 
section 3.3 to 3.5 and 3.7 to 3.10 fan heat adjustments within the 
Indoor Air Enthalpy Method capacities used for the section 4 
seasonal calculations.
    3.1.2 Manufacturer-provided equipment overrides.
    Where needed, the manufacturer must provide a means for 
overriding the controls of the test unit so that the compressor(s) 
operates at the specified speed or capacity and the indoor blower 
operates at the specified speed or delivers the specified air volume 
rate.
    3.1.3 Airflow through the outdoor coil.
    For all tests, meet the requirements given in section 6.1.3.4 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) with 
Addendum 1 and 2 when obtaining the airflow through the outdoor 
coil.
    3.1.3.1 Double-ducted.
    For products intended to be installed with the outdoor airflow 
ducted, the unit shall be installed with outdoor coil ductwork 
installed per manufacturer installation instructions and shall 
operate between 0.10 and 0.15 in H2O external static 
pressure. External static pressure measurements shall be made in 
accordance with ASHRAE Standard 37-2009 Section 6.4 and 6.5.
    3.1.4 Airflow through the indoor coil.
    Airflow setting(s) shall be determined before testing begins. 
Unless otherwise specified within this or its subsections, no 
changes shall be made to the airflow setting(s) after initiation of 
testing.
    3.1.4.1 Cooling Full-load Air Volume Rate.
    3.1.4.1.1 Cooling Full-Load Air Volume Rate for Ducted Units.
    The manufacturer must specify the cooling full-load air volume 
rate and the instructions for setting fan speed or controls. Adjust 
the cooling full-load air volume rate if needed to satisfy the 
additional requirements of this section. First, when conducting the 
A or A2 Test (exclusively), the measured air volume rate, 
when divided by the measured indoor air-side total cooling capacity 
must not exceed 37.5 cubic feet per minute of standard air (scfm) 
per 1000 Btu/h. If this ratio is exceeded, reduce the air volume 
rate until this ratio is equaled. Use this reduced air volume rate 
for all tests that call for using the Cooling Full-load Air Volume 
Rate. Pressure requirements are as follows:
    a. For all ducted units tested with an indoor blower installed, 
except those having a constant-air-volume-rate indoor blower:
    1. Achieve the Cooling Full-load Air Volume Rate, determined in 
accordance with the previous paragraph;
    2. Measure the external static pressure;

[[Page 69410]]

    3. If this pressure is equal to or greater than the applicable 
minimum external static pressure cited in Table 3, the pressure 
requirement is satisfied. Use the current air volume rate for all 
tests that require the Cooling Full-load Air Volume Rate.
    4. If the Table 3 minimum is not equaled or exceeded,
    4a. reduce the air volume rate and increase the external static 
pressure by adjusting the exhaust fan of the airflow measuring 
apparatus until the applicable Table 3 minimum is equaled or
    4b. until the measured air volume rate equals 90 percent of the 
air volume rate from step 1, whichever occurs first.
    5. If the conditions of step 4a occur first, the pressure 
requirement is satisfied. Use the step 4a reduced air volume rate 
for all tests that require the Cooling Full-load Air Volume Rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor blower (e.g., next highest fan 
motor pin setting, next highest fan motor speed) and repeat the 
evaluation process beginning at above step 1. If the indoor blower 
set-up cannot be further changed, reduce the air volume rate and 
increase the external static pressure by adjusting the exhaust fan 
of the airflow measuring apparatus until the applicable Table 3 
minimum is equaled. Use this reduced air volume rate for all tests 
that require the Cooling Full-load Air Volume Rate.
    b. For ducted units that are tested with a constant-air-volume-
rate indoor blower installed. For all tests that specify the Cooling 
Full-load Air Volume Rate, obtain an external static pressure as 
close to (but not less than) the applicable Table 3 value that does 
not cause automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined as follows, greater than 10 
percent.
[GRAPHIC] [TIFF OMITTED] TP09NO15.220

Where,

Qmax = maximum measured airflow value
Qmin = minimum measured airflow value
QVar = airflow variance, percent

    Additional test steps as described in section 3.3.(e) of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted units that are tested without an indoor blower 
installed. For the A or A2 Test, (exclusively), the 
pressure drop across the indoor coil assembly must not exceed 0.30 
inches of water. If this pressure drop is exceeded, reduce the air 
volume rate until the measured pressure drop equals the specified 
maximum. Use this reduced air volume rate for all tests that require 
the Cooling Full-load Air Volume Rate.

       Table 3--Minimum External Static Pressure for Ducted Systems Tested With an Indoor Blower Installed
----------------------------------------------------------------------------------------------------------------
                                                                   Minimum external static pressure \3\ (Inches
                                                                                     of water)
                                                                 -----------------------------------------------
        Rated Cooling \1\ or heating \2\ capacity (Btu/h)                           Small-duct,
                                                                   Short ducted    high-velocity     All other
                                                                    systems \6\     systems 4 5       systems
----------------------------------------------------------------------------------------------------------------
<=28,800........................................................            0.03            1.10            0.45
>=29,000 and <=42,500...........................................            0.05            1.15            0.50
>=43,000........................................................            0.07            1.20            0.55
----------------------------------------------------------------------------------------------------------------
\1\ For air conditioners and heat pumps, the value cited by the manufacturer in published literature for the
  unit's capacity when operated at the A or A2 Test conditions.
\2\ For heating-only heat pumps, the value the manufacturer cites in published literature for the unit's
  capacity when operated at the H1 or H12 Test conditions.
\3\ For ducted units tested without an air filter installed, increase the applicable tabular value by 0.08
  inches of water. For ducted units for which the indoor blower installed for testing is the fan of a condensing
  gas furnace, decrease the applicable tabular value by 0.10 inches of water (make both adjustments if they both
  apply). If the adjusted value is less than zero, readjust it to zero.
\4\ See section 1.2, Definitions, to determine if the equipment qualifies as a small-duct, high-velocity system.
\5\ If a closed-loop, air-enthalpy test apparatus is used on the indoor side, limit the resistance to airflow on
  the inlet side of the indoor blower coil to a maximum value of 0.1 inch of water. Impose the balance of the
  airflow resistance on the outlet side of the indoor blower.
\6\ See section 1.2. Definitions.

    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the full-load air volume rate with all 
blowers operating unless prevented by the controls of the unit. In 
such cases, turn on the maximum number of blowers permitted by the 
unit's controls. Where more than one option exists for meeting this 
``on'' blower requirement, which blower(s) are turned on must match 
that specified by the manufacturer in the installation manuals 
included with the unit. Conduct section 3.1.4.1.1 setup steps for 
each blower separately. If two or more indoor blowers are connected 
to a common duct as per section 2.4.1, either turn off the other 
indoor blowers connected to the same common duct or temporarily 
divert their air volume to the test room when confirming or 
adjusting the setup configuration of individual blowers. If the 
indoor blowers are all the same size or model, the target air volume 
rate for each blower plenum equals the full-load air volume rate 
divided by the number of ``on'' blowers. If different size blowers 
are used within the indoor section, the allocation of the system's 
full-load air volume rate assigned to each ``on'' blower must match 
that specified by the manufacturer in the installation manuals 
included with the unit.
    3.1.4.1.2 Cooling Full-load Air Volume Rate for Non-ducted 
Units.
    For non-ducted units, the Cooling Full-load Air Volume Rate is 
the air volume rate that results during each test when the unit is 
operated at an external static pressure of zero inches of water.
    3.1.4.2 Cooling Minimum Air Volume Rate.
    The manufacturer must specify the cooling minimum air volume 
rate and the instructions for setting fan speed or controls. The 
target external static pressure, [Delta]Pst_i, for any 
test ``i'' with a specified air volume rate not equal to the cooling 
full-load air volume rate is determined as follows.

[[Page 69411]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.221

Where:

[Delta]Pst_i = target minimum external static pressure 
for test i;
[Delta]Pst_full = minimum external static pressure for 
test A or A2 (Table 3);
Qi = air volume rate for test i; and
Qfull = cooling full-load air volume rate as measured 
after setting and/or adjustment as described in section 3.1.4.1.1.
    a. For ducted units tested with an indoor blower installed that 
is not a constant-air-volume indoor blower, adjust for external 
static pressure as follows.
    1. Achieve the manufacturer-specified cooling minimum air volume 
rate;
    2. Measure the external static pressure;
    3. If this pressure is equal to or greater than the target 
minimum external static pressure calculated as described above, use 
the current air volume rate for all tests that require the cooling 
minimum air volume rate.
    4. If the target minimum is not equaled or exceeded,
    4a. reduce the air volume rate and increase the external static 
pressure by adjusting the exhaust fan of the airflow measuring 
apparatus until the applicable target minimum is equaled or
    4b. until the measured air volume rate equals 90 percent of the 
air volume rate from step 1, whichever occurs first.
    5. If the conditions of step 4a occur first, use the step 4a 
reduced air volume rate for all tests that require the cooling 
minimum air volume rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor fan (e.g., next highest fan motor 
pin setting, next highest fan motor speed) and repeat the evaluation 
process beginning at above step 1. If the indoor fan set-up cannot 
be further changed, reduce the air volume rate and increase the 
external static pressure by adjusting the exhaust fan of the airflow 
measuring apparatus until the applicable target minimum is equaled. 
Use this reduced air volume rate for all tests that require the 
cooling minimum air volume rate.
    b. For ducted units with constant-air-volume indoor blowers, 
conduct all tests that specify the cooling minimum air volume rate--
(i.e., the A1, B1, C1, 
F1, and G1 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b, greater than 10 percent, while being as close 
to, but not less than the target minimum external static pressure. 
Additional test steps as described in section 3.3(e) of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted two-capacity units that are tested without an 
indoor blower installed, the Cooling Minimum Air Volume Rate is the 
higher of (1) the rate specified by the installation instructions 
included with the unit by the manufacturer or (2) 75 percent of the 
Cooling Full-load Air Volume Rate. During the laboratory tests on a 
coil-only (fanless) unit, obtain this Cooling Minimum Air Volume 
Rate regardless of the pressure drop across the indoor coil 
assembly.
    d. For non-ducted units, the Cooling Minimum Air Volume Rate is 
the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water and 
at the indoor fan setting used at low compressor capacity (two-
capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed variable-air-volume-rate indoor fan, use the lowest fan 
setting allowed for cooling.
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, operate the indoor blowers such that the 
lowest air volume rate allowed by the unit's controls is obtained 
when operating the lone single-speed compressor or when operating at 
low compressor capacity while meeting the requirements of section 
2.2.3.2 for the minimum number of blowers that must be turned off. 
Adjust for external static pressure and if necessary adjust air 
volume rates as described in section 3.1.4.2.a if the indoor fan is 
not a constant-air-volume indoor fan or as described in section 
3.1.4.2.b if the indoor fan is a constant-air-volume indoor fan. The 
sum of the individual ``on'' blowers' air volume rates is the 
cooling minimum air volume rate for the system.
    3.1.4.3 Cooling Intermediate Air Volume Rate.
    The manufacturer must specify the cooling intermediate air 
volume rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2.
    a. For ducted units tested with an indoor blower, installed that 
is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted units tested with constant-air-volume indoor 
blowers installed, conduct the EV Test at an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b, greater than 10 percent, while being as 
close to, but not less than the target minimum external static 
pressure. Additional test steps as described in section 3.3(e) of 
this appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For non-ducted units, the Cooling Intermediate Air Volume 
Rate is the air volume rate that results when the unit operates at 
an external static pressure of zero inches of water and at the fan 
speed selected by the controls of the unit for the EV 
Test conditions.
    3.1.4.4 Heating Full-load Air Volume Rate.
    3.1.4.4.1 Ducted heat pumps where the Heating and Cooling Full-
load Air Volume Rates are the same.
    a. Use the Cooling Full-load Air Volume Rate as the Heating 
Full-load Air Volume Rate for:
    1. Ducted heat pumps tested with an indoor blower installed that 
is not a constant-air-volume indoor blower that operates at the same 
airflow-control setting during both the A (or A2) and the 
H1 (or H12) Tests;
    2. Ducted heat pumps tested with constant-air-flow indoor 
blowers installed that provide the same air flow for the A (or 
A2) and the H1 (or H12) Tests; and
    3. Ducted heat pumps that are tested without an indoor blower 
installed (except two-capacity northern heat pumps that are tested 
only at low capacity cooling--see 3.1.4.4.2).
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. For heat pumps that meet the above 
criterion ``2,'' test at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than, the 
same Table 3 minimum external static pressure as was specified for 
the A (or A2) cooling mode test. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    3.1.4.4.2 Ducted heat pumps where the Heating and Cooling Full-
load Air Volume Rates are different due to indoor blower operation.
    The manufacturer must specify the heating full-load air volume 
rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2.
    a. For ducted heat pumps tested with an indoor blower installed 
that is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the heating full-
load air volume rate at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than the 
target minimum external static pressure. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.

[[Page 69412]]

    c. When testing ducted, two-capacity northern heat pumps (see 
section 1.2, Definitions), use the appropriate approach of the above 
two cases for units that are tested with an indoor blower installed. 
For coil-only northern heat pumps, the Heating Full-load Air Volume 
Rate is the lesser of the rate specified by the manufacturer in the 
installation instructions included with the unit or 133 percent of 
the Cooling Full-load Air Volume Rate. For this latter case, obtain 
the Heating Full-load Air Volume Rate regardless of the pressure 
drop across the indoor coil assembly.
    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the heating full-load air volume rate 
using the same ``on'' blowers as used for the cooling full-load air 
volume rate. For systems where individual blowers regulate the speed 
(as opposed to the cfm) of the indoor blower, use the first section 
3.1.4.2 equation for each blower individually. Sum the individual 
blower air volume rates to obtain the heating full-load air volume 
rate for the system.
    3.1.4.4.3 Ducted heating-only heat pumps.
    The manufacturer must specify the Heating Full-load Air Volume 
Rate.
    a. For all ducted heating-only heat pumps tested with an indoor 
blower installed, except those having a constant-air-volume-rate 
indoor blower. Conduct the following steps only during the first 
test, the H1 or H12 Test.
    1. Achieve the Heating Full-load Air Volume Rate.
    2. Measure the external static pressure.
    3. If this pressure is equal to or greater than the Table 3 
minimum external static pressure that applies given the heating-only 
heat pump's rated heating capacity, use the current air volume rate 
for all tests that require the Heating Full-load Air Volume Rate.
    4. If the Table 3 minimum is not equaled or exceeded,
    4a. reduce the air volume rate and increase the external static 
pressure by adjusting the exhaust fan of the airflow measuring 
apparatus until the applicable Table 3 minimum is equaled or
    4b. until the measured air volume rate equals 90 percent of the 
manufacturer-specified Full-load Air Volume Rate, whichever occurs 
first.
    5. If the conditions of step 4a occurs first, use the step 4a 
reduced air volume rate for all tests that require the Heating Full-
load Air Volume Rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor blower (e.g., next highest fan 
motor pin setting, next highest fan motor speed) and repeat the 
evaluation process beginning at above step 1. If the indoor blower 
set-up cannot be further changed, reduce the air volume rate until 
the applicable Table 3 minimum is equaled. Use this reduced air 
volume rate for all tests that require the Heating Full-load Air 
Volume Rate.
    b. For ducted heating-only heat pumps that are tested with a 
constant-air-volume-rate indoor blower installed. For all tests that 
specify the Heating Full-load Air Volume Rate, obtain an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b, greater than 10 percent, while being as 
close to, but not less than, the applicable Table 3 minimum. 
Additional test steps as described in section 3.9.1(c) of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted heating-only heat pumps that are tested without an 
indoor blower installed. For the H1 or H12 Test, 
(exclusively), the pressure drop across the indoor coil assembly 
must not exceed 0.30 inches of water. If this pressure drop is 
exceeded, reduce the air volume rate until the measured pressure 
drop equals the specified maximum. Use this reduced air volume rate 
for all tests that require the Heating Full-load Air Volume Rate.
    3.1.4.4.4 Non-ducted heat pumps, including non-ducted heating-
only heat pumps.
    For non-ducted heat pumps, the Heating Full-load Air Volume Rate 
is the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water.
    3.1.4.5 Heating Minimum Air Volume Rate.
    3.1.4.5.1 Ducted heat pumps where the Heating and Cooling 
Minimum Air Volume Rates are the same.
    a. Use the Cooling Minimum Air Volume Rate as the Heating 
Minimum Air Volume Rate for:
    1. Ducted heat pumps tested with an indoor blower installed that 
is not a constant-air-volume indoor blower that operates at the same 
airflow-control setting during both the A1 and the 
H11 tests; 2. Ducted heat pumps tested with constant-air-
flow indoor blowers installed that provide the same air flow for the 
A1 and the H11 Tests; and
    3. Ducted heat pumps that are tested without an indoor blower 
installed (except two-capacity northern heat pumps that are tested 
only at low capacity cooling--see 3.1.4.4.2).
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. For heat pumps that meet the above 
criterion ``2,'' test at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than, the 
same target minimum external static pressure as was specified for 
the A1 cooling mode test. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    3.1.4.5.2 Ducted heat pumps where the Heating and Cooling 
Minimum Air Volume Rates are different due to indoor blower 
operation.
    The manufacturer must specify the heating minimum volume rate 
and the instructions for setting fan speed or controls. Calculate 
target minimum external static pressure as described in section 
3.1.4.2.
    a. For ducted heat pumps tested with an indoor blower installed 
that is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the Heating 
Minimum Air Volume Rate--(i.e., the H01, H11, 
H21, and H31 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower while being as close to, but not less thanor air volume rate 
variation QVar, defined in section 3.1.4.1.1.b, greater 
than 10 percent, while being as close to, but not less than the 
target minimum external static pressure. Additional test steps as 
described in section 3.9.1(c) of this appendix are required if the 
measured external static pressure exceeds the target value by more 
than 0.03 inches of water.
    c. For ducted two-capacity northern heat pumps that are tested 
with an indoor blower installed, use the appropriate approach of the 
above two cases.
    d. For ducted two-capacity heat pumps that are tested without an 
indoor blower installed, use the Cooling Minimum Air Volume Rate as 
the Heating Minimum Air Volume Rate. For ducted two-capacity 
northern heat pumps that are tested without an indoor blower 
installed, use the Cooling Full-load Air Volume Rate as the Heating 
Minimum Air Volume Rate. For ducted two-capacity heating-only heat 
pumps that are tested without an indoor blower installed, the 
Heating Minimum Air Volume Rate is the higher of the rate specified 
by the manufacturer in the test setup instructions included with the 
unit or 75 percent of the Heating Full-load Air Volume Rate. During 
the laboratory tests on a coil-only system, obtain the Heating 
Minimum Air Volume Rate without regard to the pressure drop across 
the indoor coil assembly.
    e. For non-ducted heat pumps, the Heating Minimum Air Volume 
Rate is the air volume rate that results during each test when the 
unit operates at an external static pressure of zero inches of water 
and at the indoor blower setting used at low compressor capacity 
(two-capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed, variable-air-volume-rate indoor blower, use the lowest fan 
setting allowed for heating.
    f. For ducted systems with multiple indoor blowers within a 
single indoor section, obtain the heating minimum air volume rate 
using the same ``on'' blowers as used for the cooling minimum air 
volume rate. For systems where individual blowers regulate the speed 
(as opposed to the cfm) of the indoor blower, use the first section 
3.1.4.5 equation for each blower individually. Sum the individual 
blower air volume rates to obtain the heating minimum air volume 
rate for the system.
    3.1.4.6 Heating Intermediate Air Volume Rate.
    The manufacturer must specify the heating intermediate air 
volume rate and the

[[Page 69413]]

instructions for setting fan speed or controls. Calculate target 
minimum external static pressure as described in section 3.1.4.2.
    a. For ducted heat pumps tested with an indoor blower installed 
that is not a constant-air-volume indoor blower, adjust for external 
static pressure as described in section 3.1.4.2.a for cooling 
minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct the H2V Test at an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b, greater than 10 percent, while being as 
close to, but not less than the target minimum external static 
pressure. Additional test steps as described in section 3.9.1(c) of 
this appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For non-ducted heat pumps, the Heating Intermediate Air 
Volume Rate is the air volume rate that results when the heat pump 
operates at an external static pressure of zero inches of water and 
at the fan speed selected by the controls of the unit for the 
H2V Test conditions.
    3.1.4.7 Heating Nominal Air Volume Rate.
    The manufacturer must specify the heating nominal air volume 
rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2. Make adjustments as described in section 3.14.6 for 
heating intermediate air volume rate so that the target minimum 
external static pressure is met or exceeded.
    3.1.5 Indoor test room requirement when the air surrounding the 
indoor unit is not supplied from the same source as the air entering 
the indoor unit.
    If using a test set-up where air is ducted directly from the air 
reconditioning apparatus to the indoor coil inlet (see Figure 2, 
Loop Air-Enthalpy Test Method Arrangement, of ASHRAE Standard 37-
2009), maintain the dry bulb temperature within the test room within 
5.0 [deg]F of the applicable sections 3.2 and 3.6 dry 
bulb temperature test condition for the air entering the indoor 
unit. Dew point shall be within 2 [deg]F of the required inlet 
conditions.
    3.1.6 Air volume rate calculations.
    For all steady-state tests and for Frost Accumulation (H2, 
H21, H22, H2V) tests, calculate the 
air volume rate through the indoor coil as specified in sections 
7.7.2.1 and 7.7.2.2 of ASHRAE Standard 37-2009. When using the 
Outdoor Air Enthalpy Method, follow sections 7.7.2.1 and 7.7.2.2 to 
calculate the air volume rate through the outdoor coil. To express 
air volume rates in terms of standard air, use:
[GRAPHIC] [TIFF OMITTED] TP09NO15.222

where,

Vis = air volume rate of standard (dry) air, (ft\3\/
min)da
Vimx = air volume rate of the air-water vapor mixture, 
(ft\3\/min)mx
vn' = specific volume of air-water vapor mixture at the 
nozzle, ft\3\ per lbm of the air-water vapor mixture
Wn = humidity ratio at the nozzle, lbm of water vapor per 
lbm of dry air
0.075 = the density associated with standard (dry) air, (lbm/ft\3\)
vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.

[GRAPHIC] [TIFF OMITTED] TP09NO15.223

    3.1.7 Test sequence.
    Manufacturers may optionally operate the equipment under test 
for a ``break-in'' period, not to exceed 20 hours, prior to 
conducting the test method specified in this section. A manufacturer 
who elects to use this optional compressor break-in period in its 
certification testing should record this information (including the 
duration) in the test data underlying the certified ratings that are 
required to be maintained under 10 CFR 429.71. When testing a ducted 
unit (except if a heating-only heat pump), conduct the A or 
A2 Test first to establish the Cooling Full-load Air 
Volume Rate. For ducted heat pumps where the Heating and Cooling 
Full-load Air Volume Rates are different, make the first heating 
mode test one that requires the Heating Full-load Air Volume Rate. 
For ducted heating-only heat pumps, conduct the H1 or H12 
Test first to establish the Heating Full-load Air Volume Rate. When 
conducting an cyclic test, always conduct it immediately after the 
steady-state test that requires the same test conditions. For 
variable-speed systems, the first test using the Cooling Minimum Air 
Volume Rate should precede the EV Test, and the first 
test using the Heating Minimum Air Volume Rate must precede the 
H2V Test. The test laboratory makes all other decisions 
on the test sequence.
    3.1.8 Requirement for the air temperature distribution leaving 
the indoor coil.
    For at least the first cooling mode test and the first heating 
mode test, monitor the temperature distribution of the air leaving 
the indoor coil using the grid of individual sensors described in 
sections 2.5 and 2.5.4. For the 30-minute data collection interval 
used to determine capacity, the maximum spread among the outlet dry 
bulb temperatures from any data sampling must not exceed 1.5 [deg]F. 
Install the mixing devices described in section 2.5.4.2 to minimize 
the temperature spread.
    3.1.9 Requirement for the air temperature distribution entering 
the outdoor coil.
    Monitor the temperatures of the air entering the outdoor coil 
using the grid of temperature sensors described in section 2.11. For 
the 30-minute data collection interval used to determine capacity, 
the maximum difference between dry bulb temperatures measured at any 
of these locations must not exceed 1.5 [deg]F.
    3.1.10 Control of auxiliary resistive heating elements.
    Except as noted, disable heat pump resistance elements used for 
heating indoor air at all times, including during defrost cycles and 
if they are normally regulated by a heat comfort controller. For 
heat pumps equipped with a heat comfort controller, enable the heat 
pump resistance elements only during the below-described, short 
test. For single-speed heat pumps covered under section 3.6.1, the 
short test follows the H1 or, if conducted, the H1C Test. For two-
capacity heat pumps and heat pumps covered under section 3.6.2, the 
short test follows the H12 Test. Set the heat comfort 
controller to provide the maximum supply air temperature. With the 
heat pump operating and while maintaining the Heating Full-load Air 
Volume Rate, measure the temperature of the air leaving the indoor-
side beginning 5 minutes after activating the heat comfort 
controller. Sample the outlet dry-bulb temperature at regular 
intervals that span 5 minutes or less. Collect data for 10 minutes, 
obtaining at least 3 samples. Calculate the average outlet 
temperature over the 10-minute interval, TCC.

[[Page 69414]]

    3.2 Cooling mode tests for different types of air conditioners 
and heat pumps.
    3.2.1 Tests for a unit having a single-speed compressor, or a 
system comprised of independently circuited single-speed 
compressors, that is tested with a fixed-speed indoor blower 
installed, with a constant-air-volume-rate indoor blower installed, 
or with no indoor blower installed.
    Conduct two steady-state wet coil tests, the A and B Tests. Use 
the two dry-coil tests, the steady-state C Test and the cyclic D 
Test, to determine the cooling mode cyclic degradation coefficient, 
CD\c\. If testing outdoor units of central air 
conditioners or heat pumps that are not sold with indoor units, 
assign CD\c\ the default value of 0.2. Table 4 specifies 
test conditions for these four tests.

    Table 4--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor
                      Blower, a Constant Air Volume Rate Indoor Blower, or No Indoor Blower
----------------------------------------------------------------------------------------------------------------
                                   Air entering indoor unit        Air entering outdoor unit
                                     temperature ([deg]F)            temperature ([deg]F)          Cooling air
       Test description        ----------------------------------------------------------------    volume rate
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
----------------------------------------------------------------------------------------------------------------
A Test--required (steady, wet               80              67              95          \1\ 75  Cooling full-
 coil).                                                                                          load.\2\
B Test--required (steady, wet               80              67              82          \1\ 65  Cooling full-
 coil).                                                                                          load.\2\
C Test--required (steady, dry               80           (\3\)              82  ..............  Cooling full-
 coil).                                                                                          load.\2\
D Test--required (cyclic, dry               80           (\3\)              82  ..............  (\4\).
 coil).
----------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is
  recommended that an indoor wet-bulb temperature of 57 [deg]F or less be used.)
\4\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the C Test.

    3.2.2 Tests for a unit having a single-speed compressor where 
the indoor section uses a single variable-speed variable-air-volume 
rate indoor blower or multiple blowers.
    3.2.2.1 Indoor blower capacity modulation that correlates with 
the outdoor dry bulb temperature or systems with a single indoor 
coil but multiple blowers.
    Conduct four steady-state wet coil tests: The A2, 
A1, B2, and B1 Tests. Use the two 
dry-coil tests, the steady-state C1 Test and the cyclic 
D1 Test, to determine the cooling mode cyclic degradation 
coefficient, Cc.
    3.2.2.2 Indoor blower capacity modulation based on adjusting the 
sensible to total (S/T) cooling capacity ratio.
    The testing requirements are the same as specified in section 
3.2.1 and Table 4. Use a Cooling Full-load Air Volume Rate that 
represents a normal installation. If performed, conduct the steady-
state C Test and the cyclic D Test with the unit operating in the 
same S/T capacity control mode as used for the B Test.

          Table 5--Cooling Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.2.2.1 Indoor Unit Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit        Air entering outdoor unit
                                             temperature ([deg]F)            temperature ([deg]F)
           Test description            ----------------------------------------------------------------              Cooling air volume rate
                                           Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil)..              80              67              95          \1\ 75  Cooling full-load.\2\
A1 Test--required (steady, wet coil)..              80              67              95          \1\ 75  Cooling minimum.\3\
B2 Test--required (steady, wet coil)..              80              67              82           \1\65  Cooling full-load.\2\
B1 Test--required (steady, wet coil)..              80              67              82           \1\65  Cooling minimum.\3\
C1 Test\4\--required (steady, dry                   80           (\4\)              82  ..............  Cooling minimum.\3\
 coil).
D1 Test\4\--required (cyclic, dry                   80           (\4\)              82           (\5\)  ................................................
 coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.2.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 57 [deg]F or less be used.)
\5\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the C1 Test.

    3.2.3 Tests for a unit having a two-capacity compressor. (see 
section 1.2, Definitions)
    a. Conduct four steady-state wet coil tests: The A2, 
B2, B1, and F1 Tests. Use the two 
dry-coil tests, the steady-state C1 Test and the cyclic 
D1 Test, to determine the cooling-mode cyclic-degradation 
coefficient, Cc. Table 6 specifies test conditions for these six 
tests.
    b. For units having a variable speed indoor blower that is 
modulated to adjust the sensible to total (S/T) cooling capacity 
ratio, use Cooling Full-load and Cooling Minimum Air Volume Rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the B1 Test.
    c. Test two-capacity, northern heat pumps (see section 1.2, 
Definitions) in the same way as a single speed heat pump with the 
unit operating exclusively at low compressor capacity (see section 
3.2.1 and Table 4).
    d. If a two-capacity air conditioner or heat pump locks out low-
capacity operation at higher outdoor temperatures, then use the two 
dry-coil tests, the steady-state C2 Test and the cyclic 
D2 Test, to determine the cooling-mode cyclic-degradation 
coefficient that only applies to on/off cycling from high capacity, 
Cc(k=2). The default CO\c\(k=2) is the same value as 
determined or assigned for the low-capacity cyclic-degradation 
coefficient, Cc [or equivalently, Cc(k=1)].

[[Page 69415]]



                                    Table 6--Cooling Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor
                                             temperature ([deg]F)        unit temperature
             Test description             --------------------------         ([deg]F)              Compressor  capacity        Cooling air volume rate
                                                                    --------------------------
                                             Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil).....           80           67           95       \1\ 75  High........................  Cooling Full-Load.\2\
B2 Test--required (steady, wet coil).....           80           67           82       \1\ 65  High........................  Cooling Full-Load.\2\
B1 Test--required (steady, wet coil).....           80           67           82       \1\ 65  Low.........................  Cooling Minimum.\3\
C2 Test--required (steady, dry-coil).....           80        (\4\)           82         High  Cooling Full-Load.\2\.......  ...........................
D2 Test--required (cyclic, dry-coil).....           80        (\4\)           82         High  (\5\).......................  ...........................
C1 Test--required (steady, dry-coil).....           80        (\4\)           82          Low  Cooling Minimum.\3\.........  ...........................
D1 Test--required (cyclic, dry-coil).....           80        (\4\)           82          Low  (\6\).......................  ...........................
F1 Test--required (steady, wet coil).....           80           67           67     \1\ 53.5  Low.........................  Cooling Minimum.\3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.2.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet-bulb
  temperature of 57 [deg]F or less.
\5\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C2 Test.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C1 Test.

    3.2.4 Tests for a unit having a variable-speed compressor.
    a. Conduct five steady-state wet coil tests: The A2, 
EV, B2, B1, and F1 
Tests. Use the two dry-coil tests, the steady-state G1 
Test and the cyclic I1 Test, to determine the cooling 
mode cyclic degradation coefficient, CD\c\..-Table-7 
specifies test conditions for these seven tests. Determine the 
intermediate compressor speed cited in Table 7 using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.224

where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed.
    b. For units that modulate the indoor blower speed to adjust the 
sensible to total (S/T) cooling capacity ratio, use Cooling Full-
load, Cooling Intermediate, and Cooling Minimum Air Volume Rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the F1 Test.
    c. For multiple-split air conditioners and heat pumps (except 
where noted), the following procedures supersede the above 
requirements: For all Table 7 tests specified for a minimum 
compressor speed, at least one indoor unit must be turned off. The 
manufacturer shall designate the particular indoor unit(s) that is 
turned off. The manufacturer must also specify the compressor speed 
used for the Table 7 EV Test, a cooling-mode intermediate 
compressor speed that falls within \1/4\ and \3/4\ of the difference 
between the maximum and minimum cooling-mode speeds. The 
manufacturer should prescribe an intermediate speed that is expected 
to yield the highest EER for the given EV Test conditions 
and bracketed compressor speed range. The manufacturer can designate 
that one or more indoor units are turned off for the EV 
Test.

                                    Table 7--Cooling Mode Test Condition for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor
                                              temperature ([deg]F)       unit  temperature
             Test description             --------------------------         ([deg]F)                Compressor speed          Cooling air volume rate
                                                                    --------------------------
                                             Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil).....           80           67           95       \1\ 75  Maximum.....................  Cooling Full-Load.\2\
B2 Test--required (steady, wet coil).....           80           67           82       \1\ 65  Maximum.....................  Cooling Full-Load.\2\
EV Test--required (steady, wet coil).....           80           67           87       \1\ 69  Intermediate................  Cooling Intermediate.\3\
B1 Test--required (steady, wet coil).....           80           67           82       \1\ 65  Minimum.....................  Cooling Minimum.\4\
F1 Test--required (steady, wet coil).....           80           67           67     \1\ 53.5  Minimum.....................  Cooling Minimum.\4\
G1 Test \5\--required (steady, dry-coil).           80        (\6\)           67      Minimum  Cooling Minimum.\4\.........
I1 Test \5\--required (cyclic, dry-coil).           80        (\6\)           67      Minimum  (\6\).......................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.3.
\4\ Defined in section 3.1.4.2.
\5\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet bulb
  temperature of 57 [deg]F or less.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the G1 Test.

    3.2.5 Cooling mode tests for northern heat pumps with triple-
capacity compressors.
    Test triple-capacity, northern heat pumps for the cooling mode 
in the same way as specified in section 3.2.3 for units having a 
two-capacity compressor.

[[Page 69416]]

    3.2.6 Tests for an air conditioner or heat pump having a single 
indoor unit having multiple blowers and offering two stages of 
compressor modulation.
    Conduct the cooling mode tests specified in section 3.2.3.
    3.3 Test procedures for steady-state wet coil cooling mode tests 
(the A, A2, A1, B, B2, 
B1, EV, and F1 Tests).
    a. For the pretest interval, operate the test room 
reconditioning apparatus and the unit to be tested until maintaining 
equilibrium conditions for at least 30 minutes at the specified 
section 3.2 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the test 
unit to obtain and then maintain the indoor air volume rate and/or 
external static pressure specified for the particular test. 
Continuously record (see section 1.2, Definitions):
    (1) The dry-bulb temperature of the air entering the indoor 
coil,
    (2) The water vapor content of the air entering the indoor coil,
    (3) The dry-bulb temperature of the air entering the outdoor 
coil, and
    (4) For the section 2.2.4 cases where its control is required, 
the water vapor content of the air entering the outdoor coil.
    Refer to section 3.11 for additional requirements that depend on 
the selected secondary test method.
    b. After satisfying the pretest equilibrium requirements, make 
the measurements specified in Table 3 of ASHRAE Standard 37-2009 
(incorporated by reference, see Sec.  430.3) for the Indoor Air 
Enthalpy method and the user-selected secondary method. Make said 
Table 3 measurements at equal intervals that span 5 minutes or less. 
Continue data sampling until reaching a 30-minute period (e.g., four 
consecutive 10-minute samples) where the test tolerances specified 
in Table 8 are satisfied. For those continuously recorded 
parameters, use the entire data set from the 30-minute interval to 
evaluate Table 8 compliance. Determine the average electrical power 
consumption of the air conditioner or heat pump over the same 30-
minute interval.
    c. Calculate indoor-side total cooling capacity and sensible 
cooling capacity as specified in sections 7.3.3.1 and 7.3.3.3 of 
ASHRAE Standard 37-2009. Do not adjust the parameters used in 
calculating capacity for the permitted variations in test 
conditions. Evaluate air enthalpies based on the measured barometric 
pressure. Use the values of the specific heat of air given in 
section 7.3.3.1 for calculation of the sensible cooling capacities. 
Assign the average total space cooling capacity, average sensible 
cooling capacity, and electrical power consumption over the 30-
minute data collection interval to the variables Qck(T), Qsck(T) and 
[Edot]ck(T), respectively. For these three variables, replace the 
``T'' with the nominal outdoor temperature at which the test was 
conducted. The superscript k is used only when testing multi-
capacity units. Use the superscript k=2 to denote a test with the 
unit operating at high capacity or maximum speed, k=1 to denote low 
capacity or minimum speed, and k=v to denote the intermediate speed.
    d. For units tested without an indoor blower installed, decrease 
Qc\k\(T) by
[GRAPHIC] [TIFF OMITTED] TP09NO15.225

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm).

  Table 8--Test Operating and Test Condition Tolerances for Section 3.3
    Steady-State Wet Coil Cooling Mode Tests and Section 3.4 Dry Coil
                           Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F:
    Entering temperature................             2.0             0.5
    Leaving temperature.................             2.0
Indoor wet-bulb, [deg]F:
    Entering temperature................             1.0         \2\ 0.3
    Leaving temperature.................         \2\ 1.0
Outdoor dry-bulb, [deg]F:
    Entering temperature................             2.0             0.5
    Leaving temperature.................         \3\ 2.0
Outdoor wet-bulb, [deg]F:
    Entering temperature................             1.0         \4\ 0.3
    Leaving temperature.................         \3\ 1.0
External resistance to airflow, inches              0.12        \5\ 0.02
 of water...............................
Electrical voltage, % of rdg............             2.0             1.5
Nozzle pressure drop, % of rdg..........             8.0
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Only applies during wet coil tests; does not apply during steady-
  state, dry coil cooling mode tests.
\3\ Only applies when using the Outdoor Air Enthalpy Method.
\4\ Only applies during wet coil cooling mode tests where the unit
  rejects condensate to the outdoor coil.
\5\ Only applies when testing non-ducted units.

    e. For air conditioners and heat pumps having a constant-air-
volume-rate indoor blower, the five additional steps listed below 
are required if the average of the measured external static 
pressures exceeds the applicable sections 3.1.4 minimum (or target) 
external static pressure ([Delta]Pmin) by 0.03 inches of 
water or more.
    1. Measure the average power consumption of the indoor blower 
motor (Efan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the 30-

[[Page 69417]]

minute interval used for determining capacity.
    2. After completing the 30-minute interval and while maintaining 
the same test conditions, adjust the exhaust fan of the airflow 
measuring apparatus until the external static pressure increases to 
approximately [Delta]P1 + ([Delta]P1 - 
[Delta]Pmin).
    3. After re-establishing steady readings of the fan motor power 
and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    4. Approximate the average power consumption of the indoor 
blower motor at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.226

    5. Increase the total space cooling capacity, 
Qc\k\(T), by the quantity (Efan,1 - 
Efan,min), when expressed on a Btu/h basis. Decrease the 
total electrical power, Ec\k\(T), by the same fan power 
difference, now expressed in watts.
    3.4 Test procedures for the steady-state dry-coil cooling-mode 
tests (the C, C1, C2, and G1 
Tests).
    a. Except for the modifications noted in this section, conduct 
the steady-state dry coil cooling mode tests as specified in section 
3.3 for wet coil tests. Prior to recording data during the steady-
state dry coil test, operate the unit at least one hour after 
achieving dry coil conditions. Drain the drain pan and plug the 
drain opening. Thereafter, the drain pan should remain completely 
dry.
    b. Denote the resulting total space cooling capacity and 
electrical power derived from the test as Qss,dry and 
Ess,dry. With regard to a section 3.3 deviation, do not 
adjust Qss,dry for duct losses (i.e., do not apply 
section 7.3.3.3 of ASHRAE Standard 37-2009). In preparing for the 
section 3.5 cyclic tests, record the average indoor-side air volume 
rate, Vi, specific heat of the air, Cp,a (expressed on dry air 
basis), specific volume of the air at the nozzles, v'n, 
humidity ratio at the nozzles, Wn, and either pressure 
difference or velocity pressure for the flow nozzles. For units 
having a variable-speed indoor fan (that provides either a constant 
or variable air volume rate) that will or may be tested during the 
cyclic dry coil cooling mode test with the indoor fan turned off 
(see section 3.5), include the electrical power used by the indoor 
fan motor among the recorded parameters from the 30-minute test.
    c. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry- 
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TP09NO15.227

    Each time a subsequent set of temperature differences is 
recorded (if sampling more frequently than every 5 minutes), 
calculate FCD using the most recent seven sets of values. 
Continue these calculations until the 30-minute period is completed 
or until a value for FCD is calculated that falls outside 
the allowable range of 0.94-1.06. If the latter occurs, immediately 
suspend the test and identify the cause for the disparity in the two 
temperature difference measurements. Recalibration of one or both 
sets of instrumentation may be required. If all the values for 
FCD are within the allowable range, save the final value 
of the ratio from the 30-minute test as FCD*. If the 
temperature sensors used to provide the primary measurement of the 
indoor-side dry bulb temperature difference during the steady-state 
dry- coil test and the subsequent cyclic dry-coil test are the same, 
set FCD*= 1.
    3.5 Test procedures for the cyclic dry-coil cooling-mode tests 
(the D, D1, D2, and I1 Tests).
    a. After completing the steady-state dry-coil test, remove the 
Outdoor Air Enthalpy method test apparatus, if connected, and begin 
manual OFF/ON cycling of the unit's compressor. The test set-up 
should otherwise be identical to the set-up used during the steady-
state dry coil test. When testing heat pumps, leave the reversing 
valve during the compressor OFF cycles in the same position as used 
for the compressor ON cycles, unless automatically changed by the 
controls of the unit. For units having a variable-speed indoor 
blower, the manufacturer has the option of electing at the outset 
whether to conduct the cyclic test with the indoor blower enabled or 
disabled. Always revert to testing with the indoor blower disabled 
if cyclic testing with the fan enabled is unsuccessful.
    b. For units having a single-speed or two-capacity compressor, 
cycle the compressor OFF for 24 minutes and then ON for 6 minutes 
([Delta][tau]cyc,dry = 0.5 hours). For units having a 
variable-speed compressor, cycle the compressor OFF for 48 minutes 
and then ON for 12 minutes ([Delta][tau]cyc,dry = 1.0 
hours). Repeat the OFF/ON compressor cycling pattern until the test 
is completed. Allow the controls of the unit to regulate cycling of 
the outdoor fan. If an upturned duct is used, measure the dry-bulb 
temperature at the inlet of the device at least once every minute 
and ensure that its test operating tolerance is within 1.0 [deg]F 
for each compressor OFF period.
    c. Sections 3.5.1 and 3.5.2 specify airflow requirements through 
the indoor coil of ducted and non-ducted systems, respectively. In 
all cases, use the exhaust fan of the airflow measuring apparatus 
(covered under section 2.6) along with the indoor blower of the 
unit, if installed and operating, to approximate a step response in 
the indoor coil airflow. Regulate the exhaust fan to quickly obtain 
and then maintain the flow nozzle static pressure difference or 
velocity pressure at the same value as was measured during the 
steady-state dry coil test. The pressure difference or velocity 
pressure should be within 2 percent of the value from the steady-
state dry coil test within 15 seconds after airflow initiation. For 
units having a variable-speed indoor blower that ramps when cycling 
on and/or off, use the exhaust fan of the airflow measuring 
apparatus to impose a step response that begins at the initiation of 
ramp up and ends at the termination of ramp down.
    d. For units having a variable-speed indoor blower, conduct the 
cyclic dry coil test using the pull-thru approach described below if 
any of the following occur when testing with the fan operating:
    (1) The test unit automatically cycles off;
    (2) Its blower motor reverses; or

[[Page 69418]]

    (3) The unit operates for more than 30 seconds at an external 
static pressure that is 0.1 inches of water or more higher than the 
value measured during the prior steady-state test.
    For the pull-thru approach, disable the indoor blower and use 
the exhaust fan of the airflow measuring apparatus to generate the 
specified flow nozzles static pressure difference or velocity 
pressure. If the exhaust fan cannot deliver the required pressure 
difference because of resistance created by the unpowered blower, 
temporarily remove the blower.
    e. Conduct a minimum of six complete compressor OFF/ON cycles 
for a unit with a single-speed or two-speed compressor, and a 
minimum of five complete compressor OFF/ON cycles for a unit with a 
variable speed compressor. The first three cycles for a unit with a 
single-speed compressor or two-speed compressor and the first two 
cycles for a unit with a unit with a variable speed compressor are 
the warm-up period--the later cycles are called the active cycles. 
Calculate the degradation coefficient CD for each 
complete active cycle if the test tolerances given in Table 9 are 
satisfied. If the average CD for the first three active 
cycles is within 0.02 of the average CD for the first two 
active cycles, use the average CD of the three active 
cycles as the final result. If these averages differ by more than 
0.02, continue the test to get CD for the fourth cycle. 
If the average CD of the last three cycles is lower than 
or no more than 0.02 greater than the average CD of the 
first three cycles, use the average CD of all four active 
cycles as the final result. Otherwise, continue the test with a 
fifth cycle. If the average CD of the last three cycles 
is 0.02 higher than the average for the previous three cycles, use 
the default CD, otherwise use the average CD 
of all five active cycles. If the test tolerances given in Table 9 
are not satisfied, use default CD value. The default 
CD value for cooling is 0.2.
    f. With regard to the Table 9 parameters, continuously record 
the dry-bulb temperature of the air entering the indoor and outdoor 
coils during periods when air flows through the respective coils. 
Sample the water vapor content of the indoor coil inlet air at least 
every 2 minutes during periods when air flows through the coil. 
Record external static pressure and the air volume rate indicator 
(either nozzle pressure difference or velocity pressure) at least 
every minute during the interval that air flows through the indoor 
coil. (These regular measurements of the airflow rate indicator are 
in addition to the required measurement at 15 seconds after flow 
initiation.) Sample the electrical voltage at least every 2 minutes 
beginning 30 seconds after compressor start-up. Continue until the 
compressor, the outdoor fan, and the indoor blower (if it is 
installed and operating) cycle off.
    g. For ducted units, continuously record the dry-bulb 
temperature of the air entering (as noted above) and leaving the 
indoor coil. Or if using a thermopile, continuously record the 
difference between these two temperatures during the interval that 
air flows through the indoor coil. For non-ducted units, make the 
same dry-bulb temperature measurements beginning when the compressor 
cycles on and ending when indoor coil airflow ceases.
    h. Integrate the electrical power over complete cycles of length 
[Delta][tau]cyc,dry. For ducted units tested with an 
indoor blower installed and operating, integrate electrical power 
from indoor blower OFF to indoor blower OFF. For all other ducted 
units and for non-ducted units, integrate electrical power from 
compressor OFF to compressor OFF. (Some cyclic tests will use the 
same data collection intervals to determine the electrical energy 
and the total space cooling. For other units, terminate data 
collection used to determine the electrical energy before 
terminating data collection used to determine total space cooling.)

  Table 9--Test Operating and Test Condition Tolerances for Cyclic Dry
                         Coil Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature,\2\             2.0             0.5
 [deg]F.................................
Indoor entering wet-bulb temperature,     ..............           (\3\)
 [deg]F.................................
Outdoor entering dry-bulb                            2.0             0.5
 temperature,\2\ [deg]F.................
External resistance to airflow,\2\                  0.12  ..............
 inches of water........................
Airflow nozzle pressure difference or                8.0         \4\ 2.0
 velocity pressure,\2\ % of reading.....
Electrical voltage,\5\% of rdg..........             2.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow apply from 30
  seconds after achieving full speed until ramp down begins.
\3\ Shall at no time exceed a wet-bulb temperature that results in
  condensate forming on the indoor coil.
\4\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state dry coil test.
\5\ Applies during the interval when at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating except for the first 30 seconds after compressor start-up.

    i. If the Table 9 tolerances are satisfied over the complete 
cycle, record the measured electrical energy consumption as 
ecyc,dry and express it in units of watt-hours. Calculate 
the total space cooling delivered, qcyc,dry, in units of 
Btu using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.228

where Vi, Cp,a, vn' (or vn), 
Wn, and FCD* are the values recorded during 
the section 3.4 dry coil steady-state test and

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at time [tau], [deg]F.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at time [tau], [deg]F.
[tau]1 = for ducted units, the elapsed time when airflow 
is initiated through the indoor coil; for non-ducted units, the 
elapsed time when the compressor is cycled on, hr.
[tau]2 = the elapsed time when indoor coil airflow 
ceases, hr.

    3.5.1 Procedures when testing ducted systems.
    The automatic controls that are normally installed with the test 
unit must govern the OFF/ON cycling of the air moving equipment on 
the indoor side (exhaust fan of the airflow measuring apparatus and, 
if installed, the indoor blower of the test unit). For example, for 
ducted units tested without an indoor blower installed but rated 
based on using a fan time delay relay, control the indoor coil 
airflow according to the rated ON and/or OFF delays provided by the 
relay. For ducted units having a variable-speed indoor blower that 
has been disabled (and possibly removed), start and stop the indoor 
airflow at the same instances as if the fan were enabled. For all 
other ducted units tested without an indoor blower installed, cycle 
the indoor coil airflow in unison with the cycling of the 
compressor. If air damper boxes are used, close them on the inlet 
and outlet side during the OFF period. Airflow through the indoor 
coil should stop within 3 seconds

[[Page 69419]]

after the automatic controls of the test unit (act to) de-energize 
the indoor blower. For ducted units tested without an indoor blower 
installed (excluding the special case where a variable-speed fan is 
temporarily removed), increase ecyc,dry by the quantity,

Equation 3.5-2 (441W/1000scfm) * Vi * [[tau]2-
[tau]1]

and decrease qcyc,dry by,

Equation 3.5-3 (1505 Btu/h/1000scfm) * Vi * [[tau]2-
[tau]1]

where Vis is the average indoor air volume rate from the 
section 3.4 dry coil steady-state test and is expressed in units of 
cubic feet per minute of standard air (scfm). For units having a 
variable-speed indoor blower that is disabled during the cyclic 
test, increase ecyc,dry and decrease qcyc,dry 
based on:
    a. The product of [[tau]2-[tau]1] and the 
indoor blower power measured during or following the dry coil 
steady-state test; or,
    b. The following algorithm if the indoor blower ramps its speed 
when cycling.
    1. Measure the electrical power consumed by the variable-speed 
indoor blower at a minimum of three operating conditions: At the 
speed/air volume rate/external static pressure that was measured 
during the steady-state test, at operating conditions associated 
with the midpoint of the ramp-up interval, and at conditions 
associated with the midpoint of the ramp-down interval. For these 
measurements, the tolerances on the airflow volume or the external 
static pressure are the same as required for the section 3.4 steady-
state test.
    2. For each case, determine the fan power from measurements made 
over a minimum of 5 minutes.
    3. Approximate the electrical energy consumption of the indoor 
blower if it had operated during the cyclic test using all three 
power measurements. Assume a linear profile during the ramp 
intervals. The manufacturer must provide the durations of the ramp-
up and ramp-down intervals. If the test setup instructions included 
with the unit by the manufacturer specifies a ramp interval that 
exceeds 45 seconds, use a 45-second ramp interval nonetheless when 
estimating the fan energy.
    3.5.2 Procedures when testing non-ducted systems.
    Do not use airflow prevention devices when conducting cyclic 
tests on non-ducted units. Until the last OFF/ON compressor cycle, 
airflow through the indoor coil must cycle off and on in unison with 
the compressor. For the last OFF/ON compressor cycle--the one used 
to determine ecyc,dry and qcyc,dry--use the 
exhaust fan of the airflow measuring apparatus and the indoor blower 
of the test unit to have indoor airflow start 3 minutes prior to 
compressor cut-on and end three minutes after compressor cutoff. 
Subtract the electrical energy used by the indoor blower during the 
3 minutes prior to compressor cut-on from the integrated electrical 
energy, ecyc,dry. Add the electrical energy used by the 
indoor blower during the 3 minutes after compressor cutoff to the 
integrated cooling capacity, qcyc,dry. For the case where 
the non-ducted unit uses a variable-speed indoor blower which is 
disabled during the cyclic test, correct ecyc,dry and 
qcyc,dry using the same approach as prescribed in section 
3.5.1 for ducted units having a disabled variable-speed indoor 
blower.
    3.5.3 Cooling-mode cyclic-degradation coefficient calculation.
    Use the two dry-coil tests to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. Append ``(k=2)'' to the 
coefficient if it corresponds to a two-capacity unit cycling at high 
capacity. Evaluate CD\c\ using the above results and 
those from the section 3.4 dry-coil steady-state test.
[GRAPHIC] [TIFF OMITTED] TP09NO15.230

the average energy efficiency ratio during the cyclic dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TP09NO15.231

the average energy efficiency ratio during the steady-state dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TP09NO15.232

    Round the calculated value for CD\c\ to the nearest 
0.01. If CD\c\ is negative, then set it equal to zero.
    3.6 Heating mode tests for different types of heat pumps, 
including heating-only heat pumps.
    3.6.1 Tests for a heat pump having a single-speed compressor 
that is tested with a fixed speed indoor blower installed, with a 
constant-air-volume-rate indoor blower installed, or with no indoor 
blower installed.
    Conduct the High Temperature Cyclic (H1C) Test to determine the 
heating mode cyclic-degradation coefficient, CD\h\. Test 
conditions for the four tests are specified in Table 10.

[[Page 69420]]



   Table 10--Heating Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor
                      Blower, a Constant Air Volume Rate Indoor Blower, or No Indoor Blower
----------------------------------------------------------------------------------------------------------------
                                      Air entering indoor unit    Air entering outdoor
                                        temperature ([deg]F)        unit temperature
          Test description           --------------------------         ([deg]F)            Heating air volume
                                                               --------------------------          rate
                                        Dry bulb     Wet bulb     Dry bulb     Wet bulb
----------------------------------------------------------------------------------------------------------------
H1 Test (required, steady)..........           70    60\(max)\           47           43  Heating Full-load.\1\
H1C Test (required, cyclic).........           70    60\(max)\           47           43  (\2\).
H2 Test (required)..................           70    60\(max)\           35           33  Heating Full-load.\1\
H3 Test (required, steady)..........           70    60\(max)\           17           15  Heating Full-load.\1\
----------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4.
\2\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the H1 Test.

    3.6.2 Tests for a heat pump having a single-speed compressor and 
a single indoor unit having either (1) a variable speed, variable-
air-rate indoor blower whose capacity modulation correlates with 
outdoor dry bulb temperature or (2) multiple blowers.
    Conduct five tests: Two High Temperature Tests (H12 
and H11), one Frost Accumulation Test (H22), 
and two Low Temperature Tests (H32 and H31). 
Conducting an additional Frost Accumulation Test (H21) is 
optional. Conduct the High Temperature Cyclic (H1C1) Test 
to determine the heating mode cyclic-degradation coefficient, 
CD\h\. Test conditions for the seven tests are specified 
in Table 11. If the optional H21 Test is not performed, 
use the following equations to approximate the capacity and 
electrical power of the heat pump at the H21 test 
conditions:
[GRAPHIC] [TIFF OMITTED] TP09NO15.233

[GRAPHIC] [TIFF OMITTED] TP09NO15.234

    The quantities Qh\k=2\(47), 
[Edot]h\k=2\(47), Qh\k=1\(47), and 
[Edot]h\k=1\(47) are determined from the H12 
and H11 Tests and evaluated as specified in section 3.7; 
the quantities Qh\k=2\(35) and 
[Edot]h\k=2\(35) are determined from the H22 
Test and evaluated as specified in section 3.9; and the quantities 
Qh\k=2\(17), [Edot]h\k=2\(17), 
Qh\k=1\(17), and [Edot]h\k=1\(17), are 
determined from the H32 and H31 Tests and 
evaluated as specified in section 3.10.

   Table 11--Heating Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.6.2
                                            Indoor Unit Requirements
----------------------------------------------------------------------------------------------------------------
                                      Air entering indoor unit    Air entering outdoor
                                        temperature ([deg]F)        unit temperature
          Test description           --------------------------         ([deg]F)            Heating air volume
                                                               --------------------------          rate
                                        Dry bulb     Wet bulb     Dry bulb     Wet bulb
----------------------------------------------------------------------------------------------------------------
H12 Test (required, steady).........           70    60\(max)\           47           43  Heating Full-load.\1\
H11 Test (required, steady).........           70    60\(max)\           47           43  Heating Minimum.\2\
H1C1 Test (required, cyclic)........           70    60\(max)\           47           43  (\3\).
H22 Test (required).................           70    60\(max)\           35           33  Heating Full-load.\1\
H21 Test (optional).................           70    60\(max)\           35           33  Heating Minimum.\2\
H32 Test (required, steady).........           70    60\(max)\           17           15  Heating Full-load.\1\
H31 Test (required, steady).........           70    60\(max)\           17           15  Heating Minimum.\2\
----------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4.
\2\ Defined in section 3.1.4.5.
\3\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the H11 Test.


[[Page 69421]]

    3.6.3 Tests for a heat pump having a two-capacity compressor 
(see section 1.2, Definitions), including two-capacity, northern 
heat pumps (see section 1.2, Definitions).
    a. Conduct one Maximum Temperature Test (H01), two 
High Temperature Tests (H12and H11), one Frost 
Accumulation Test (H22), and one Low Temperature Test 
(H32). Conduct an additional Frost Accumulation Test 
(H21) and Low Temperature Test (H31) if both 
of the following conditions exist:
    1. Knowledge of the heat pump's capacity and electrical power at 
low compressor capacity for outdoor temperatures of 37[emsp14][deg]F 
and less is needed to complete the section 4.2.3 seasonal 
performance calculations; and
    2. The heat pump's controls allow low-capacity operation at 
outdoor temperatures of 37[emsp14][deg]F and less.
    If the above two conditions are met, an alternative to 
conducting the H21 Frost Accumulation is to use the 
following equations to approximate the capacity and electrical 
power:
[GRAPHIC] [TIFF OMITTED] TP09NO15.235

    Determine the quantities Qh\k=1\ (47) and 
[Edot]h\k=1\ (47) from the H11 Test and 
evaluate them according to Section 3.7. Determine the quantities 
Qh\k=1\ (17) and [Edot]h\k=1\ (17) from the 
H31 Test and evaluate them according to Section 3.10.
    b. Conduct the High Temperature Cyclic Test (H1C1) to 
determine the heating mode cyclic-degradation coefficient, 
CD\h\. If a two-capacity heat pump locks out low capacity 
operation at lower outdoor temperatures, conduct the High 
Temperature Cyclic Test (H1C2) to determine the high-
capacity heating mode cyclic-degradation coefficient, 
CD\h\ (k=2). Table 12 specifies test conditions for these 
nine tests.

                                    Table 12--Heating Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor
                                             temperature ([deg]F)        unit temperature
             Test description             --------------------------         ([deg]F)               Compressor capacity        Heating air volume rate
                                                                    --------------------------
                                             Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..............           70     60 (max)           62         56.5  Low.........................  Heating Minimum.\1\
H12 Test (required, steady)..............           70   60 \(max)\           47           43  High........................  Heating Full-Load.\2\
H1C2 Test (required,\7\ cyclic)..........           70   60 \(max)\           47           43  High........................  (\3\)
H11 Test (required)......................           70   60 \(max)\           47           43  Low.........................  Heating Minimum.\1\
H1C1 Test (required, cyclic).............           70   60 \(max)\           47           43  Low.........................  (\4\)
H22 Test (required)......................           70   60 \(max)\           35           33  High........................  Heating Full-Load.\2\
H21 Test 5 6 (required)..................           70   60 \(max)\           35           33  Low.........................  Heating Minimum.\1\
H32 Test (required, steady)..............           70   60 \(max)\           17           15  High........................  Heating Full-Load.\2\
H31 Test 5 (required, steady)............           70   60 \(max)\           17           15  Low.........................  Heating Minimum.\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Defined in section 3.1.4.4.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 Test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 Test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.3 HSPF calculations.
\6\ If table note #5 applies, the section 3.6.3 equations for Qh\k=1\ (35) and [Edot]h\k=1\ (17) may be used in lieu of conducting the H21 Test.
\7\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures.

    3.6.4 Tests for a heat pump having a variable-speed compressor.
    a. (1) Conduct one Maximum Temperature Test (H01), 
two High Temperature Tests (H12 and H11), one 
Frost Accumulation Test (H2V), and one Low Temperature 
Test (H32). Conducting one or all of the following tests 
is optional: An additional High Temperature Test (H1N), 
an additional Frost Accumulation Test (H22), and an 
additional Low Temperature Test (H42). Conduct the High 
Temperature Cyclic (H1C1) Test to determine the heating 
mode cyclic-degradation coefficient, CD\h\. (2) The 
optional low ambient temperature test (H42) may be 
conducted in place of H12 to allow representation of 
heating performance below 17 [deg]F ambient temperature using the 
results of H42 and H32 rather than the results 
of H32 and H12. This option may not be used 
for units which have a cutoff temperature preventing compressor 
operation below 12 [deg]F. If H42 is conducted, it is 
optional to conduct the H12 test for heating capacity 
rating purposes--H1N can be conducted for heating 
capacity rating purposes. If H12 is not conducted, 
H22 must be conducted.
    Test conditions for the nine tests are specified in Table 13. 
Determine the intermediate compressor speed cited in Table 13 using 
the heating mode maximum and minimum compressors speeds and:
[GRAPHIC] [TIFF OMITTED] TP09NO15.236

Where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed. If the 
H22Test is not done, use the following equations to 
approximate the capacity and electrical power at the H22 
test conditions:

[[Page 69422]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.237

    b. Determine the quantities Qh\k=2\(47) and from 
[Edot]h\k=2\(47) from the H12 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qh\k=2\(17) and [Edot]h\k=2\(17) from the 
H32 Test and evaluate them according to section 3.10. 
Determine the quantities Qh\k=2\(TL) and 
[Edot]h\k=2\(TL) from the H42 Test 
and evaluate them according to section 3.10. For heat pumps where 
the heating mode maximum compressor speed exceeds its cooling mode 
maximum compressor speed, conduct the H1N Test if the 
manufacturer requests it. If the H1N Test is done, 
operate the heat pump's compressor at the same speed as the speed 
used for the cooling mode A2 Test.

                                   Table 13--Heating Mode Test Conditions for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor
                                             temperature ([deg]F)        unit temperature
             Test description             --------------------------         ([deg]F)                Compressor speed          Heating air volume rate
                                                                    --------------------------
                                             Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..............           70   60 \(max)\           62         56.5  Minimum.....................  Heating Minimum.\1\
H1C1 Test (required, cyclic).............           70   60 \(max)\           47           43  Minimum.....................  (\2\).
H12 Test (required, steady)..............           70   60 \(max)\           47           43  Maximum.....................  Heating Full-Load.\3\
H11 Test (required, steady)..............           70   60 \(max)\           47           43  Minimum.....................  Heating Minimum.\1\
H1N Test (optional, steady)..............           70   60 \(max)\           47           43  Cooling Mode Maximum........  Heating Nominal.\4\
H22 Test (optional)......................           70   60 \(max)\           35           33  Maximum.....................  Heating Full-Load.\3\
H2V Test (required)......................           70   60 \(max)\           35           33  Intermediate................  Heating Intermediate.\5\
H32 Test (required, steady)..............           70   60 \(max)\           17           15  Maximum.....................  Heating Full-Load.\3\
H42 Test (optional, steady) \6\..........           70   60 \(max)\        \7\ 2        \7\ 1  Maximum \8\.................  Heating Full-Load.\3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured
  during the H01 Test.
\3\ Defined in section 3.1.4.4.
\4\ Defined in section 3.1.4.7.
\5\ Defined in section 3.1.4.6.
\6\ If the maximum speed is limited below 17 [deg]F, this test becomes required.
\7\ If the cutoff temperature is higher than 2 [deg]F, run at the cutoff temperature.
\8\ If maximum speed is limited by unit control, this test should run at the maximum speed allowed by the control, in such case, the speed is different
  from the maximum speed defined in the definition section.

    c. For multiple-split heat pumps (only), the following 
procedures supersede the above requirements. For all Table 13 tests 
specified for a minimum compressor speed, at least one indoor unit 
must be turned off. The manufacturer shall designate the particular 
indoor unit(s) that is turned off. The manufacturer must also 
specify the compressor speed used for the Table 13 H2V 
Test, a heating mode intermediate compressor speed that falls within 
\1/4\ and \3/4\ of the difference between the maximum and minimum 
heating mode speeds. The manufacturer should prescribe an 
intermediate speed that is expected to yield the highest COP for the 
given H2V Test conditions and bracketed compressor speed 
range. The manufacturer can designate that one or more specific 
indoor units are turned off for the H2V Test.
    3.6.5 Additional test for a heat pump having a heat comfort 
controller.
    Test any heat pump that has a heat comfort controller (see 
section 1.2, Definitions) according to section 3.6.1, 3.6.2, or 
3.6.3, whichever applies, with the heat comfort controller disabled. 
Additionally, conduct the abbreviated test described in section 
3.1.9 with the heat comfort controller active to determine the 
system's maximum supply air temperature. (Note: Heat pumps having a 
variable speed compressor and a heat comfort controller are not 
covered in the test procedure at this time.)
    3.6.6 Heating mode tests northern heat pumps with triple-
capacity compressors.
    Test triple-capacity, northern heat pumps for the heating mode 
as follows:
    a. Conduct one maximum-temperature test (H01), two 
high-temperature tests (H12 and H11), one 
Frost Accumulation test (H22), two low-temperature tests 
(H32, H33), and one minimum-temperature test 
(H43). Conduct an additional Frost Accumulation test 
(H21) and low-temperature test (H31) if both 
of the following conditions exist: (1) Knowledge of the heat pump's 
capacity and electrical power at low compressor capacity for outdoor 
temperatures of 37 [deg]F and less is needed to complete the section 
4.2.6 seasonal performance calculations; and (2) the heat pump's 
controls allow low-capacity operation at outdoor temperatures of 37 
[deg]F and less. If the above two conditions are met, an alternative 
to conducting the H21 Frost Accumulation Test to 
determine Qh\k=1\(35) and [Edot]h\k=1\(35) is 
to use the following equations to approximate this capacity and 
electrical power:
[GRAPHIC] [TIFF OMITTED] TP09NO15.238

In evaluating the above equations, determine the quantities 
Qh\k=1\(47) from the H11 Test and evaluate 
them according to section 3.7. Determine the quantities 
Qh\k=1\(17) and [Edot]h\k=1\(17) from the 
H31 Test and evaluate them according to section 3.10. Use 
the

[[Page 69423]]

paired values of Qh\k=1\(35) and Eh\k=1\(35) 
derived from conducting the H21 Frost Accumulation Test 
and evaluated as specified in section 3.9.1 or use the paired values 
calculated using the above default equations, whichever contribute 
to a higher Region IV HSPF based on the DHR.
    b. Conducting a Frost Accumulation Test (H23) with 
the heat pump operating at its booster capacity is optional. If this 
optional test is not conducted, determine Qh\k=3\(35) and 
[Edot]h\k=3\(35) using the following equations to 
approximate this capacity and electrical power:
[GRAPHIC] [TIFF OMITTED] TP09NO15.239

Determine the quantities Qh\k=2\(47) and 
[Edot]h\k=2\(47) from the H12 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qh\k=2\(35) and [Edot]h\k=2\(35) from the 
H22Test and evaluate them according to section 3.9.1. 
Determine the quantities Qh\k=2\(17) and 
[Edot]h\k=2\(17) from the H32Test, determine 
the quantities Qh\k=3\(17) and 
[Edot]h\k=3\(17) from the H33Test, and 
determine the quantities Qh\k=3\(2) and 
[Edot]h\k=3\(2) from the H43Test. Evaluate all 
six quantities according to section 3.10. Use the paired values of 
Qh\k=3\(35) and [Edot]h\k=3\(35) derived from 
conducting the H23Frost Accumulation Test and calculated 
as specified in section 3.9.1 or use the paired values calculated 
using the above default equations, whichever contribute to a higher 
Region IV HSPF based on the DHR.
    c. Conduct the high-temperature cyclic test (H1C1) to 
determine the heating mode cyclic-degradation coefficient, 
CD\h\. If a triple-capacity heat pump locks out low 
capacity operation at lower outdoor temperatures, conduct the high-
temperature cyclic test (H1C2) to determine the high-
capacity heating mode cyclic-degradation coefficient, 
CD\h\ (k=2). The default CD\h\ (k=2) is the 
same value as determined or assigned for the low-capacity cyclic-
degradation coefficient, CD\h\ [or equivalently, 
CD\h\ (k=1)]. Finally, if a triple-capacity heat pump 
locks out both low and high capacity operation at the lowest outdoor 
temperatures, conduct the low-temperature cyclic test 
(H3C3) to determine the booster-capacity heating mode 
cyclic-degradation coefficient, CD\h\ (k=3). The default 
CD\h\ (k=3) is the same value as determined or assigned 
for the high-capacity cyclic-degradation coefficient, 
CD\h\ [or equivalently, CD\h\ (k=2)]. Table 14 
specifies test conditions for all 13 tests.

                                   Table 14-- Heating Mode Test Conditions for Units With a Triple-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor unit        Air entering outdoor unit
                                             temperature [deg]F               temperature [deg]F
           Test description           -----------------------------------------------------------------   Compressor capacity    Heating air volume rate
                                          Dry bulb        Wet bulb        Dry bulb         Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..........              70       60\(max)\              62             56.5  Low....................  Heating Minimum.\1\
H12 Test (required, steady)..........              70      60 \(max)\              47             43    High...................  Heating Full-Load.\2\
H1C2 Test (required, cyclic).........              70      60 \(max)\              47             43    High...................  (\3\)
H11 Test (required)..................              70      60 \(max)\              47             43    Low....................  Heating Minimum.\1\
H1C1 Test (required, cyclic).........              70      60 \(max)\              47             43    Low....................  (\4\)
H23 Test (optional, steady)..........              70      60 \(max)\              35             33    Booster................  Heating Full-Load.\2\
H22 Test (required)..................              70      60 \(max)\              35             33    High...................  Heating Full-Load.\2\
H21 Test (required)..................              70      60 \(max)\              35             33    Low....................  Heating Minimum.\1\
H33 Test (required, steady)..........              70      60 \(max)\              17             15    Booster................  Heating Full-Load.\2\
H3C3 Test \(max)\5 6 (required,                    70      60 \(max)\              17             15    Booster................  (\7\)
 cyclic).
H32 Test (required, steady)..........              70      60 \(max)\              17             15    High...................  Heating Full-Load.\2\
H31 Test\5\ (required, steady).......              70      60 \(max)\              17             15    Low....................  Heating Minimum.\1\
H43 Test (required, steady)..........              70      60 \(max)\               2              1    Booster................  Heating Full-Load.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Defined in section 3.1.4.4.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 Test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11Test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37[deg]F is needed to
  complete the section 4.2.6 HSPF calculations.

[[Page 69424]]

 
\6\ If table note \5\ applies, the section 3.6.6 equations for Qhk=1(35) and [Edot]hk=1(17) may be used in lieu of conducting the H21 Test.
\7\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H33 Test.

    3.7 Test procedures for steady-state Maximum Temperature and 
High Temperature heating mode tests (the H01, H1, 
H12, H11, and H1N Tests).
    a. For the pretest interval, operate the test room 
reconditioning apparatus and the heat pump until equilibrium 
conditions are maintained for at least 30 minutes at the specified 
section 3.6 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the heat 
pump to obtain and then maintain the indoor air volume rate and/or 
the external static pressure specified for the particular test. 
Continuously record the dry-bulb temperature of the air entering the 
indoor coil, and the dry-bulb temperature and water vapor content of 
the air entering the outdoor coil. Refer to section 3.11 for 
additional requirements that depend on the selected secondary test 
method. After satisfying the pretest equilibrium requirements, make 
the measurements specified in Table 3 of ASHRAE Standard 37-2009 for 
the Indoor Air Enthalpy method and the user-selected secondary 
method. Make said Table 3 measurements at equal intervals that span 
5 minutes or less. Continue data sampling until a 30-minute period 
(e.g., four consecutive 10-minute samples) is reached where the test 
tolerances specified in Table 15 are satisfied. For those 
continuously recorded parameters, use the entire data set for the 
30-minute interval when evaluating Table 15 compliance. Determine 
the average electrical power consumption of the heat pump over the 
same 30-minute interval.

 Table 15--Test Operating and Test Condition Tolerances for Section 3.7
            and Section 3.10 Steady-State Heating Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F:
    Entering temperature................            2.0             0.5
    Leaving temperature.................            2.0   ..............
Indoor wet-bulb, [deg]F:
    Entering temperature................            1.0   ..............
    Leaving temperature.................            1.0   ..............
Outdoor dry-bulb, [deg]F:
    Entering temperature................            2.0             0.5
    Leaving temperature.................         \2\2.0   ..............
Outdoor wet-bulb, [deg]F:
    Entering temperature................            1.0             0.3
    Leaving temperature.................         \2\1.0   ..............
External resistance to airflow, inches              0.12         \3\0.02
 of water...............................
Electrical voltage, % of rdg............            2.0             1.5
Nozzle pressure drop, % of rdg..........            8.0   ..............
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Only applies when the Outdoor Air Enthalpy Method is used.
\3\ Only applies when testing non-ducted units.

    b. Calculate indoor-side total heating capacity as specified in 
sections 7.3.4.1 and 7.3.4.3 of ASHRAE Standard 37-2009. Do not 
adjust the parameters used in calculating capacity for the permitted 
variations in test conditions. Assign the average space heating 
capacity and electrical power over the 30-minute data collection 
interval to the variables Qh\k\ and 
[Edot]h\k\(T) respectively. The ``T'' and superscripted 
``k'' are the same as described in section 3.3. Additionally, for 
the heating mode, use the superscript to denote results from the 
optional H1N Test, if conducted.c. For heat pumps tested 
without an indoor blower installed, increase Qh\k\(T) by
[GRAPHIC] [TIFF OMITTED] TP09NO15.240


and increase [Edot]h\k\(T) by,

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm). 
During the 30-minute data collection interval of a High Temperature 
Test, pay attention to preventing a defrost cycle. Prior to this 
time, allow the heat pump to perform a defrost cycle if 
automatically initiated by its own controls. As in all cases, wait 
for the heat pump's defrost controls to automatically terminate the 
defrost cycle. Heat pumps that undergo a defrost should operate in 
the heating mode for at least 10 minutes after defrost termination 
prior to beginning the 30-minute data collection interval. For some 
heat pumps, frost may accumulate on the outdoor coil during a High 
Temperature test. If the indoor coil leaving air temperature or the 
difference between the leaving and entering air temperatures 
decreases by more than 1.5 [deg]F over the 30-minute data collection 
interval, then do not use the collected data to determine capacity. 
Instead, initiate a defrost cycle. Begin collecting data no sooner 
than 10 minutes after defrost

[[Page 69425]]

termination. Collect 30 minutes of new data during which the Table 
15 test tolerances are satisfied. In this case, use only the results 
from the second 30-minute data collection interval to evaluate 
Qh\k\(47) and [Edot]h\k\(47).
    c. For heat pumps tested without an indoor blower installed, 
increase Qh\k\(T) by
[GRAPHIC] [TIFF OMITTED] TP09NO15.241


and increase [Edot]h\k\(T) by,

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm). 
During the 30-minute data collection interval of a High Temperature 
Test, pay attention to preventing a defrost cycle. Prior to this 
time, allow the heat pump to perform a defrost cycle if 
automatically initiated by its own controls. As in all cases, wait 
for the heat pump's defrost controls to automatically terminate the 
defrost cycle. Heat pumps that undergo a defrost should operate in 
the heating mode for at least 10 minutes after defrost termination 
prior to beginning the 30-minute data collection interval. For some 
heat pumps, frost may accumulate on the outdoor coil during a High 
Temperature test. If the indoor coil leaving air temperature or the 
difference between the leaving and entering air temperatures 
decreases by more than 1.5 [deg]F over the 30-minute data collection 
interval, then do not use the collected data to determine capacity. 
Instead, initiate a defrost cycle. Begin collecting data no sooner 
than 10 minutes after defrost termination. Collect 30 minutes of new 
data during which the Table 15 test tolerances are satisfied. In 
this case, use only the results from the second 30-minute data 
collection interval to evaluate Qh\k\(47) and 
[Edot]h\k\(47).
    d. If conducting the cyclic heating mode test, which is 
described in section 3.8, record the average indoor-side air volume 
rate, Vi, specific heat of the air, Cp,a (expressed on 
dry air basis), specific volume of the air at the nozzles, 
vn' (or vn), humidity ratio at the nozzles, 
Wn, and either pressure difference or velocity pressure 
for the flow nozzles. If either or both of the below criteria apply, 
determine the average, steady-state, electrical power consumption of 
the indoor blower motor ([Edot]fan,1):
    1. The section 3.8 cyclic test will be conducted and the heat 
pump has a variable-speed indoor blower that is expected to be 
disabled during the cyclic test; or
    2. The heat pump has a (variable-speed) constant-air volume-rate 
indoor blower and during the steady-state test the average external 
static pressure ([Delta]P1) exceeds the applicable 
section 3.1.4.4 minimum (or targeted) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more.
    Determine [Edot]fan,1 by making measurements during 
the 30-minute data collection interval, or immediately following the 
test and prior to changing the test conditions. When the above ``2'' 
criteria applies, conduct the following four steps after determining 
[Edot]fan,1 (which corresponds to [Delta]P1):
    i. While maintaining the same test conditions, adjust the 
exhaust fan of the airflow measuring apparatus until the external 
static pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    ii. After re-establishing steady readings for fan motor power 
and external static pressure, determine average values for the 
indoor blower power ([Edot]fan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    iii. Approximate the average power consumption of the indoor 
blower motor if the 30-minute test had been conducted at 
[Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.242

    iv. Decrease the total space heating capacity, 
Qh\k\(T), by the quantity ([Edot]fan,1 - 
[Edot]fan,min), when expressed on a Btu/h basis. Decrease 
the total electrical power, [Edot]h\k\(T) by the same fan 
power difference, now expressed in watts.
    e. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TP09NO15.243

    Each time a subsequent set of temperature differences is 
recorded (if sampling more frequently than every 5 minutes), 
calculate FCD using the most recent seven sets of values. 
Continue these calculations until the 30-minute period is completed 
or until a value for FCD is calculated that falls outside 
the allowable range of 0.94-1.06. If the latter occurs, immediately 
suspend the test and

[[Page 69426]]

identify the cause for the disparity in the two temperature 
difference measurements. Recalibration of one or both sets of 
instrumentation may be required. If all the values for 
FCD are within the allowable range, save the final value 
of the ratio from the 30-minute test as FCD*. If the 
temperature sensors used to provide the primary measurement of the 
indoor-side dry bulb temperature difference during the steady-state 
dry-coil test and the subsequent cyclic dry-coil test are the same, 
set FCD*= 1.
    3.8 Test procedures for the cyclic heating mode tests (the 
H0C1, H1C, H1C1 and H1C2 Tests).
    a. Except as noted below, conduct the cyclic heating mode test 
as specified in section 3.5. As adapted to the heating mode, replace 
section 3.5 references to ``the steady-state dry coil test'' with 
``the heating mode steady-state test conducted at the same test 
conditions as the cyclic heating mode test.'' Use the test 
tolerances in Table 16 rather than Table 9. Record the outdoor coil 
entering wet-bulb temperature according to the requirements given in 
section 3.5 for the outdoor coil entering dry-bulb temperature. Drop 
the subscript ``dry'' used in variables cited in section 3.5 when 
referring to quantities from the cyclic heating mode test. The 
default CD value for heating is 0.25. If available, use 
electric resistance heaters (see section 2.1) to minimize the 
variation in the inlet air temperature. Determine the total space 
heating delivered during the cyclic heating test, qcyc, 
as specified in section 3.5 except for making the following changes:
    (1) When evaluating Equation 3.5-1, use the values of Vi, 
Cp,a,vn', (or vn), and 
Wn that were recorded during the section 3.7 steady-state 
test conducted at the same test conditions.
[GRAPHIC] [TIFF OMITTED] TP09NO15.244

where FCD* is the value recorded during the section 3.7 
steady-state test conducted at the same test condition.
    b. For ducted heat pumps tested without an indoor blower 
installed (excluding the special case where a variable-speed fan is 
temporarily removed), increase qcyc by the amount 
calculated using Equation 3.5-3. Additionally, increase 
ecyc by the amount calculated using Equation 3.5-2. In 
making these calculations, use the average indoor air volume rate 
(Vis) determined from the section 3.7 steady-state 
heating mode test conducted at the same test conditions.
    c. For non-ducted heat pumps, subtract the electrical energy 
used by the indoor blower during the 3 minutes after compressor 
cutoff from the non-ducted heat pump's integrated heating capacity, 
qcyc.
    d. If a heat pump defrost cycle is manually or automatically 
initiated immediately prior to or during the OFF/ON cycling, operate 
the heat pump continuously until 10 minutes after defrost 
termination. After that, begin cycling the heat pump immediately or 
delay until the specified test conditions have been re-established. 
Pay attention to preventing defrosts after beginning the cycling 
process. For heat pumps that cycle off the indoor blower during a 
defrost cycle, make no effort here to restrict the air movement 
through the indoor coil while the fan is off. Resume the OFF/ON 
cycling while conducting a minimum of two complete compressor OFF/ON 
cycles before determining qcyc and ecyc.
    3.8.1 Heating mode cyclic-degradation coefficient calculation.
    Use the results from the cyclic test and the required steady-
state test that were conducted at the same test conditions to 
determine the heating mode cyclic-degradation coefficient 
CD\h\. Add ``(k=2)'' to the coefficient if it corresponds 
to a two-capacity unit cycling at high capacity. For the below 
calculation of the heating mode cyclic degradation coefficient, do 
not include the duct loss correction from section 7.3.3.3 of ASHRAE 
Standard 37-2009 in determining Qh\k\(Tcyc) 
(or qcyc). The tested CD\h\ is calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.245

where,

[GRAPHIC] [TIFF OMITTED] TP09NO15.246

the average coefficient of performance during the cyclic heating 
mode test, dimensionless.
[GRAPHIC] [TIFF OMITTED] TP09NO15.247

the average coefficient of performance during the steady-state 
heating mode test conducted at the same test conditions--i.e., same 
outdoor dry bulb temperature, Tcyc, and speed/capacity, 
k, if applicable--as specified for the cyclic heating mode test, 
dimensionless.

[[Page 69427]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.248

the heating load factor, dimensionless.
    Tcyc, the nominal outdoor temperature at which the 
cyclic heating mode test is conducted, 62 or 47 [deg]F.
    [Delta][tau]cyc, the duration of the OFF/ON 
intervals; 0.5 hours when testing a heat pump having a single-speed 
or two-capacity compressor and 1.0 hour when testing a heat pump 
having a variable-speed compressor.
    Round the calculated value for CD\h\ to the nearest 
0.01. If CD\h\ is negative, then set it equal to zero.

    Table 16--Test Operating and Test Condition Tolerances for Cyclic
                           Heating Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature,\2\             2.0             0.5
 [deg]F.................................
Indoor entering wet-bulb temperature,\2\             1.0  ..............
 [deg]F.................................
Outdoor entering dry-bulb                            2.0             0.5
 temperature,\2\ [deg]F.................
Outdoor entering wet-bulb                            2.0             1.0
 temperature,\2\ [deg]F.................
External resistance to air-flow,\2\                 0.12  ..............
 inches of water........................
Airflow nozzle pressure difference or                2.0         \3\ 2.0
 velocity pressure,\2\% of reading......
Electrical voltage,\4\% of rdg..........             8.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow shall apply
  from 30 seconds after achieving full speed until ramp down begins.
\3\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state test conducted
  at the same test conditions.
\4\ Applies during the interval that at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating, except for the first 30 seconds after compressor start-up.

    3.9 Test procedures for Frost Accumulation heating mode tests 
(the H2, H22, H2V, and H21 Tests).
    a. Confirm that the defrost controls of the heat pump are set as 
specified in section 2.2.1. Operate the test room reconditioning 
apparatus and the heat pump for at least 30 minutes at the specified 
section 3.6 test conditions before starting the ``preliminary'' test 
period. The preliminary test period must immediately precede the 
``official'' test period, which is the heating and defrost interval 
over which data are collected for evaluating average space heating 
capacity and average electrical power consumption.
    b. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals less than one hour, the preliminary 
test period starts at the termination of an automatic defrost cycle 
and ends at the termination of the next occurring automatic defrost 
cycle. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals exceeding one hour, the preliminary 
test period must consist of a heating interval lasting at least one 
hour followed by a defrost cycle that is either manually or 
automatically initiated. In all cases, the heat pump's own controls 
must govern when a defrost cycle terminates.
    c. The official test period begins when the preliminary test 
period ends, at defrost termination. The official test period ends 
at the termination of the next occurring automatic defrost cycle. 
When testing a heat pump that uses a time-adaptive defrost control 
system (see section 1.2, Definitions), however, manually initiate 
the defrost cycle that ends the official test period at the instant 
indicated by instructions provided by the manufacturer. If the heat 
pump has not undergone a defrost after 6 hours, immediately conclude 
the test and use the results from the full 6-hour period to 
calculate the average space heating capacity and average electrical 
power consumption.
    For heat pumps that turn the indoor blower off during the 
defrost cycle, take steps to cease forced airflow through the indoor 
coil and block the outlet duct whenever the heat pump's controls 
cycle off the indoor blower. If it is installed, use the outlet 
damper box described in section 2.5.4.1 to affect the blocked outlet 
duct.
    d. Defrost termination occurs when the controls of the heat pump 
actuate the first change in converting from defrost operation to 
normal heating operation. Defrost initiation occurs when the 
controls of the heat pump first alter its normal heating operation 
in order to eliminate possible accumulations of frost on the outdoor 
coil.
    e. To constitute a valid Frost Accumulation test, satisfy the 
test tolerances specified in Table 17 during both the preliminary 
and official test periods. As noted in Table 17, test operating 
tolerances are specified for two sub-intervals: (1) When heating, 
except for the first 10 minutes after the termination of a defrost 
cycle (Sub-interval H, as described in Table 17) and (2) when 
defrosting, plus these same first 10 minutes after defrost 
termination (Sub-interval D, as described in Table 17). Evaluate 
compliance with Table 17 test condition tolerances and the majority 
of the test operating tolerances using the averages from 
measurements recorded only during Sub-interval H. Continuously 
record the dry bulb temperature of the air entering the indoor coil, 
and the dry bulb temperature and water vapor content of the air 
entering the outdoor coil. Sample the remaining parameters listed in 
Table 17 at equal intervals that span 5 minutes or less.
    f. For the official test period, collect and use the following 
data to calculate average space heating capacity and electrical 
power. During heating and defrosting intervals when the controls of 
the heat pump have the indoor blower on, continuously record the 
dry-bulb temperature of the air entering (as noted above) and 
leaving the indoor coil. If using a thermopile, continuously record 
the difference between the leaving and entering dry-bulb 
temperatures during the interval(s) that air flows through the 
indoor coil. For heat pumps tested without an indoor blower 
installed, determine the corresponding cumulative time (in hours) of 
indoor coil airflow, [Delta][tau]a. Sample measurements 
used in calculating the air volume rate (refer to sections 7.7.2.1 
and 7.7.2.2 of ASHRAE Standard 37-2009) at equal intervals that span 
10 minutes or less. (Note: In the first printing of ASHRAE Standard 
37-2009, the second IP equation for Qmi should read:


[[Page 69428]]


[GRAPHIC] [TIFF OMITTED] TP09NO15.249

Record the electrical energy consumed, expressed in watt-hours, from 
defrost termination to defrost termination, eDEF\k\(35), 
as well as the corresponding elapsed time in hours, 
[Delta][tau]FR.

        Table 17--Test Operating and Test Condition Tolerances for Frost Accumulation Heating Mode Tests
----------------------------------------------------------------------------------------------------------------
                                                                   Test operating tolerance \1\   Test condition
                                                                 --------------------------------  tolerance \1\
                                                                  Sub-interval H  Sub-interval D  Sub-interval H
                                                                        \2\             \3\             \2\
----------------------------------------------------------------------------------------------------------------
Indoor entering dry-bulb temperature, [deg]F....................             2.0         \4\ 4.0             0.5
Indoor entering wet-bulb temperature, [deg]F....................             1.0  ..............  ..............
Outdoor entering dry-bulb temperature, [deg]F...................             2.0            10.0             1.0
Outdoor entering wet-bulb temperature, [deg]F...................             1.5  ..............             0.5
External resistance to airflow, inches of water.................            0.12  ..............        \5\ 0.02
Electrical voltage, % of rdg....................................             2.0  ..............             1.5
----------------------------------------------------------------------------------------------------------------
\1\ See section 1.2, Definitions.
\2\ Applies when the heat pump is in the heating mode, except for the first 10 minutes after termination of a
  defrost cycle.
\3\ Applies during a defrost cycle and during the first 10 minutes after the termination of a defrost cycle when
  the heat pump is operating in the heating mode.
\4\ For heat pumps that turn off the indoor blower during the defrost cycle, the noted tolerance only applies
  during the 10 minute interval that follows defrost termination.
\5\ Only applies when testing non-ducted heat pumps.

    3.9.1 Average space heating capacity and electrical power 
calculations.
    a. Evaluate average space heating capacity, 
Qh\k\(35), when expressed in units of Btu per hour, 
using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.250

Where,

Vi = the average indoor air volume rate measured during Sub-interval 
H, cfm.
Cp,a = 0.24 + 0.444 [middot] Wn, the constant 
pressure specific heat of the air-water vapor mixture that flows 
through the indoor coil and is expressed on a dry air basis, Btu/
lbmda [middot] [deg]F.
vn' = specific volume of the air-water vapor mixture at 
the nozzle, ft\3\/lbmmx.
Wn = humidity ratio of the air-water vapor mixture at the 
nozzle, lbm of water vapor per lbm of dry air.
[Delta][tau]FR = [tau]2 - [tau]1, 
the elapsed time from defrost termination to defrost termination, 
hr.
[GRAPHIC] [TIFF OMITTED] TP09NO15.251

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if 
any) where the indoor blower cycles off.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if 
any) where the indoor blower cycles off.
[tau]1 = the elapsed time when the defrost termination 
occurs that begins the official test period, hr.
[tau]2 = the elapsed time when the next automatically 
occurring defrost termination occurs, thus ending the official test 
period, hr.
vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.

    To account for the effect of duct losses between the outlet of 
the indoor unit and the section 2.5.4 dry-bulb temperature grid, 
adjust Qh\k\(35) in accordance with section 7.3.4.3 of 
ASHRAE Standard 37-2009.
    b. Evaluate average electrical power, [Edot]h\k\(35), 
when expressed in units of watts, using:

[[Page 69429]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.252

    For heat pumps tested without an indoor blower installed, 
increase Qh\k\(35) by,
[GRAPHIC] [TIFF OMITTED] TP09NO15.253

where Vis is the average indoor air volume rate measured 
during the Frost Accumulation heating mode test and is expressed in 
units of cubic feet per minute of standard air (scfm).
    c. For heat pumps having a constant-air-volume-rate indoor 
blower, the five additional steps listed below are required if the 
average of the external static pressures measured during sub-
Interval H exceeds the applicable section 3.1.4.4, 3.1.4.5, or 
3.1.4.6 minimum (or targeted) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more:
    1. Measure the average power consumption of the indoor blower 
motor ([Edot]fan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the Frost Accumulation heating mode test. Make the 
measurement at a time when the heat pump is heating, except for the 
first 10 minutes after the termination of a defrost cycle.
    2. After the Frost Accumulation heating mode test is completed 
and while maintaining the same test conditions, adjust the exhaust 
fan of the airflow measuring apparatus until the external static 
pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    3. After re-establishing steady readings for the fan motor power 
and external static pressure, determine average values for the 
indoor blower power ([Edot]fan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    4. Approximate the average power consumption of the indoor 
blower motor had the Frost Accumulation heating mode test been 
conducted at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.254

    5. Decrease the total heating capacity, Qh\k\(35), by 
the quantity [([Edot]fan,1 - 
[Edot]fan,min)[middot] ([Delta][tau] a/
[Delta][tau]FR], when expressed on a Btu/h basis. 
Decrease the total electrical power, Eh\k\(35), by the 
same quantity, now expressed in watts.
    3.9.2 Demand defrost credit.
    a. Assign the demand defrost credit, Fdef, that is 
used in section 4.2 to the value of 1 in all cases except for heat 
pumps having a demand-defrost control system (see section 1.2, 
Definitions). For such qualifying heat pumps, evaluate 
Fdef using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.255

Where,

[Delta][tau]def = the time between defrost terminations 
(in hours) or 1.5, whichever is greater. A value of 6 must be 
assigned to [Delta][tau]def if this limit is reached 
during a Frost Accumulation test and the heat pump has not completed 
a defrost cycle.
[Delta][tau]max = maximum time between defrosts as 
allowed by the controls (in hours) or 12, whichever is less, as 
provided in the installation manuals included with the unit by the 
manufacturer.

    b. For two-capacity heat pumps and for section 3.6.2 units, 
evaluate the above equation using the [Delta][tau]def 
that applies based on the Frost Accumulation Test conducted at high 
capacity and/or at the Heating Full-load Air Volume Rate. For 
variable-speed heat pumps, evaluate [Delta][tau]def based 
on the required Frost Accumulation Test conducted at the 
intermediate compressor speed.
    3.10 Test procedures for steady-state Low Temperature heating 
mode tests (the H3, H32, H31 and 
H42 Tests).
    Except for the modifications noted in this section, conduct the 
Low Temperature heating mode test using the same approach as 
specified in section 3.7 for the Maximum and High Temperature tests. 
After satisfying the section 3.7 requirements for the pretest

[[Page 69430]]

interval but before beginning to collect data to determine 
Qh\k\(17) and [Edot]h\k\(17), conduct a 
defrost cycle. This defrost cycle may be manually or automatically 
initiated. The defrost sequence must be terminated by the action of 
the heat pump's defrost controls. Begin the 30-minute data 
collection interval described in section 3.7, from which 
Qh\k\(17) and [Edot]h\k\(17) are determined, 
no sooner than 10 minutes after defrost termination. Defrosts should 
be prevented over the 30-minute data collection interval. Defrost 
cycle is not required for H42 Test.
    3.11 Additional requirements for the secondary test methods.
    3.11.1 If using the Outdoor Air Enthalpy Method as the secondary 
test method.
    During the ``official'' test, the outdoor air-side test 
apparatus described in section 2.10.1 is connected to the outdoor 
unit. To help compensate for any effect that the addition of this 
test apparatus may have on the unit's performance, conduct a 
``preliminary'' test where the outdoor air-side test apparatus is 
disconnected. Conduct a preliminary test prior to the first section 
3.2 steady-state cooling mode test and prior to the first section 
3.6 steady-state heating mode test. No other preliminary tests are 
required so long as the unit operates the outdoor fan during all 
cooling mode steady-state tests at the same speed and all heating 
mode steady-state tests at the same speed. If using more than one 
outdoor fan speed for the cooling mode steady-state tests, however, 
conduct a preliminary test prior to each cooling mode test where a 
different fan speed is first used. This same requirement applies for 
the heating mode tests.
    3.11.1.1 If a preliminary test precedes the official test.
    a. The test conditions for the preliminary test are the same as 
specified for the official test. Connect the indoor air-side test 
apparatus to the indoor coil; disconnect the outdoor air-side test 
apparatus. Allow the test room reconditioning apparatus and the unit 
being tested to operate for at least one hour. After attaining 
equilibrium conditions, measure the following quantities at equal 
intervals that span 5 minutes or less:
    1. The section 2.10.1 evaporator and condenser temperatures or 
pressures;
    2. Parameters required according to the Indoor Air Enthalpy 
Method.
    Continue these measurements until a 30-minute period (e.g., four 
consecutive 10-minute samples) is obtained where the Table 8 or 
Table 15, whichever applies, test tolerances are satisfied.
    b. After collecting 30 minutes of steady-state data, reconnect 
the outdoor air-side test apparatus to the unit. Adjust the exhaust 
fan of the outdoor airflow measuring apparatus until averages for 
the evaporator and condenser temperatures, or the saturated 
temperatures corresponding to the measured pressures, agree within 
0.5 [deg]F of the averages achieved when the outdoor 
air-side test apparatus was disconnected. Calculate the averages for 
the reconnected case using five or more consecutive readings taken 
at one minute intervals. Make these consecutive readings after re-
establishing equilibrium conditions and before initiating the 
official test.
    3.11.1.2 If a preliminary test does not precede the official 
test.
    Connect the outdoor-side test apparatus to the unit. Adjust the 
exhaust fan of the outdoor airflow measuring apparatus to achieve 
the same external static pressure as measured during the prior 
preliminary test conducted with the unit operating in the same 
cooling or heating mode at the same outdoor fan speed.
    3.11.1.3 Official test.
    a. Continue (preliminary test was conducted) or begin (no 
preliminary test) the official test by making measurements for both 
the Indoor and Outdoor Air Enthalpy Methods at equal intervals that 
span 5 minutes or less. Discontinue these measurements only after 
obtaining a 30-minute period where the specified test condition and 
test operating tolerances are satisfied. To constitute a valid 
official test:
    (1) Achieve the energy balance specified in section 3.1.1; and,
    (2) For cases where a preliminary test is conducted, the 
capacities determined using the Indoor Air Enthalpy Method from the 
official and preliminary test periods must agree within 2.0 percent.
    b. For space cooling tests, calculate capacity from the outdoor 
air-enthalpy measurements as specified in sections 7.3.3.2 and 
7.3.3.3 of ASHRAE Standard 37-2009. Calculate heating capacity based 
on outdoor air-enthalpy measurements as specified in sections 
7.3.4.2 and 7.3.3.4.3 of the same ASHRAE Standard. Adjust the 
outdoor-side capacity according to section 7.3.3.4 of ASHRAE 
Standard 37-2009 to account for line losses when testing split 
systems. Use the outdoor unit fan power as measured during the 
official test and not the value measured during the preliminary 
test, as described in section 8.6.2 of ASHRAE Standard 37-2009, when 
calculating the capacity.
    3.11.2 If using the Compressor Calibration Method as the 
secondary test method.
    a. Conduct separate calibration tests using a calorimeter to 
determine the refrigerant flow rate. Or for cases where the 
superheat of the refrigerant leaving the evaporator is less than 5 
[deg]F, use the calorimeter to measure total capacity rather than 
refrigerant flow rate. Conduct these calibration tests at the same 
test conditions as specified for the tests in this appendix. Operate 
the unit for at least one hour or until obtaining equilibrium 
conditions before collecting data that will be used in determining 
the average refrigerant flow rate or total capacity. Sample the data 
at equal intervals that span 5 minutes or less. Determine average 
flow rate or average capacity from data sampled over a 30-minute 
period where the Table 8 (cooling) or the Table 15 (heating) 
tolerances are satisfied. Otherwise, conduct the calibration tests 
according to sections 5, 6, 7, and 8 of ASHRAE Standard 23.1-2010; 
sections 5, 6, 7, 8, 9, and 11 of ASHRAE Standard 41.9-2011; and 
section 7.4 of ASHRAE Standard 37-2009 (incorporated by reference, 
see Sec.  430.3).
    b. Calculate space cooling and space heating capacities using 
the compressor calibration method measurements as specified in 
section 7.4.5 and 7.4.6 respectively, of ASHRAE Standard 37-2009.
    3.11.3 If using the Refrigerant-Enthalpy Method as the secondary 
test method.
    Conduct this secondary method according to section 7.5 of ASHRAE 
Standard 37-2009. Calculate space cooling and heating capacities 
using the refrigerant-enthalpy method measurements as specified in 
sections 7.5.4 and 7.5.5, respectively, of the same ASHRAE Standard.
    3.12 Rounding of space conditioning capacities for reporting 
purposes.
    a. When reporting rated capacities, round them off as specified 
in 10 CFR 430.23 (for a single unit) and in 10 CFR 429.16 (for a 
sample).
    b. For the capacities used to perform the section 4 
calculations, however, round only to the nearest integer.
    3.13 Laboratory testing to determine off mode average power 
ratings.
    Conduct one of the following tests after the completion of the 
B, B1, or B2 Test, whichever comes last: If 
the central air conditioner or heat pump lacks a compressor 
crankcase heater, perform the test in section 3.13.1; if the central 
air conditioner or heat pump has compressor crankcase heater that 
lacks controls, perform the test in section 3.13.1; if the central 
air conditioner or heat pump has a compressor crankcase heater 
equipped with controls, perform the test in section 3.13.2.
    3.13.1 This test determines the off mode average power rating 
for central air conditioners and heat pumps that lack a compressor 
crankcase heater, or have a compressor crankcase heater that lacks 
controls.
    a. Configure Controls: Configure the controls of the central air 
conditioner or heat pump so that it operates as if connected to a 
building thermostat that is set to the OFF position. This particular 
test contains no requirements as to ambient conditions within the 
test rooms, and room conditions are allowed to change during the 
test. Ensure that the low-voltage transformer and low-voltage 
components are connected.
    b. Measure P1x: Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P1x, 
the shoulder season total off mode power.
    c. Measure Px for coil-only split systems (that would be 
installed in the field with a furnace having a dedicated board for 
indoor controls) and for blower-coil split systems for which a 
furnace is the designated air mover: Disconnect all low-voltage 
wiring for the outdoor components and outdoor controls from the low-
voltage transformer. Determine the average power from non-zero value 
data measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px.
    d. Calculate P1:
    Single-package systems and blower coil split systems for which 
the designated air mover is not a furnace: Divide the shoulder 
season total off mode power (P1x) by the number of compressors to 
calculate P1, the

[[Page 69431]]

shoulder season per-compressor off mode power. If the compressor is 
a modulating-type, assign a value of 1.5 for the number of 
compressors. Round P1 to the nearest watt and record as both P1 and 
P2, the latter of which is the heating season per-compressor off 
mode power. The expression for calculating P1 is as follows: 
[GRAPHIC] [TIFF OMITTED] TP09NO15.256

    Coil-only split systems (that would be installed in the field 
with a furnace having a dedicated board for indoor controls) and 
blower-coil split systems for which a furnace is the designated air 
mover: Subtract the low-voltage power (Px) from the shoulder season 
total off mode power (P1x) and divide by the number of compressors 
to calculate P1, the shoulder season per-compressor off mode power. 
If the compressor is a modulating-type, assign a value of 1.5 for 
the number of compressors. Round P1 to the nearest watt and record 
as both P1 and P2, the latter of which is the heating season per-
compressor off mode power. The expression for calculating P1 is as 
follows: 
[GRAPHIC] [TIFF OMITTED] TP09NO15.257

    3.13.2 This test determines the off mode average power rating 
for central air conditioners and heat pumps that have a compressor 
crankcase heater equipped with controls.
    a. Configure Controls: Position a temperature sensor to measure 
the outdoor dry-bulb temperature in the air between 2 and 6 inches 
from the crankcase heater temperature sensor or, if no such 
temperature sensor exists, position it in the air between 2 and 6 
inches from the crankcase heater. Utilize the temperature 
measurements from this sensor for this portion of the test 
procedure. Configure the controls of the central air conditioner or 
heat pump so that it operates as if connected to a building 
thermostat that is set to the OFF position. Ensure that the low-
voltage transformer and low-voltage components are connected. Adjust 
the outdoor temperature at a rate of change of no more than 20 
[deg]F per hour and achieve an outdoor dry-bulb temperature of 72 
[deg]F. Maintain this temperature within 2 [deg]F for at 
least 5 minutes, while maintaining an indoor dry-bulb temperature of 
between 75 [deg]F and 85 [deg]F.
    b. Measure P1x: Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P1x, 
the shoulder season total off mode power.
    c. Reconfigure Controls: In the process of reaching the target 
outdoor dry-bulb temperature, adjust the outdoor temperature at a 
rate of change of no more than 20 [deg]F per hour. This target 
temperature is the temperature specified by the manufacturer in the 
DOE Compliance Certification Database at which the crankcase heater 
turns on, minus five degrees Fahrenheit. Maintain this temperature 
within 2 [deg]F for at least 5 minutes, while 
maintaining an indoor dry-bulb temperature of between 75 [deg]F and 
85 [deg]F.
    d. Measure P2x: Determine the average non-zero power of the non-
operating central air conditioner or heat pump over a 5-minute 
interval and designate it as P2x, the heating season total off mode 
power.
    e. Measure Px for coil-only split systems (that would be 
installed in the field with a furnace having a dedicated board for 
indoor controls) and for blower-coil split systems for which a 
furnace is the designated air mover: Disconnect all low-voltage 
wiring for the outdoor components and outdoor controls from the low-
voltage transformer. Determine the average power from non-zero value 
data measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px
    f. Calculate P1:
    Single-package systems and blower coil split systems for which 
the air mover is not a furnace: Divide the shoulder season total off 
mode power (P1x) by the number of compressors to calculate P1, the 
shoulder season per-compressor off mode power. Round to the nearest 
watt. If the compressor is a modulating-type, assign a value of 1.5 
for the number of compressors. The expression for calculating P1 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.258

    Coil-only split systems (that would be installed in the field 
with a furnace having a dedicated board for indoor controls) and 
blower-coil split systems for which a furnace is the designated air 
mover: Subtract the low-voltage power (Px) from the shoulder season 
total off mode power (P1x) and divide by the number of compressors 
to calculate P1, the shoulder season per-compressor off mode power. 
Round to the nearest watt. If the compressor is a modulating-type, 
assign a value of 1.5 for the number of compressors. The expression 
for calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.259


[[Page 69432]]


    h. Calculate P2:
    Single-package systems and blower coil split systems for which 
the air mover is not a furnace: Divide the heating season total off 
mode power (P2x) by the number of compressors to calculate P2, the 
heating season per-compressor off mode power. Round to the nearest 
watt. If the compressor is a modulating-type, assign a value of 1.5 
for the number of compressors. The expression for calculating P2 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.260

    Coil-only split systems (that would be installed in the field 
with a furnace having a dedicated board for indoor controls) and 
blower-coil split systems for which a furnace is the designated air 
mover: Subtract the low-voltage power (Px) from the heating season 
total off mode power (P2x) and divide by the number of compressors 
to calculate P2, the heating season per-compressor off mode power. 
Round to the nearest watt. If the compressor is a modulating-type, 
assign a value of 1.5 for the number of compressors. The expression 
for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.261

4. Calculations of Seasonal Performance Descriptors

    4.1 Seasonal Energy Efficiency Ratio (SEER) Calculations. SEER 
must be calculated as follows: For equipment covered under sections 
4.1.2, 4.1.3, and 4.1.4, evaluate the seasonal energy efficiency 
ratio,

[[Page 69433]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.262

where,

Qc\k=2\(95) = the space cooling capacity determined from 
the A2 Test and calculated as specified in section 3.3, 
Btu/h.
1.1 = sizing factor, dimensionless.

    The temperatures 95 [deg]F and 65 [deg]F in the building load 
equation represent the selected outdoor design temperature and the 
zero-load base temperature, respectively.
    4.1.1 SEER calculations for an air conditioner or heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor blower installed, a constant-air-volume-rate indoor blower 
installed, or with no indoor blower installed.
    a. Evaluate the seasonal energy efficiency ratio, expressed in 
units of Btu/watt-hour, using:
SEER = PLF (0.5) * EERB
Where,
[GRAPHIC] [TIFF OMITTED] TP09NO15.263


[[Page 69434]]


PLF(0.5) = 1 - 0.5 [middot] CD\c\, the part-load 
performance factor evaluated at a cooling load factor of 0.5, 
dimensionless.
    b. Refer to section 3.3 regarding the definition and calculation 
of Qc(82) and [Edot]c(82).
    4.1.2 SEER calculations for an air conditioner or heat pump 
having a single-speed compressor and a variable-speed variable-air-
volume-rate indoor blower.
    4.1.2.1 Units covered by section 3.2.2.1 where indoor blower 
capacity modulation correlates with the outdoor dry bulb 
temperature. The manufacturer must provide information on how the 
indoor air volume rate or the indoor blower speed varies over the 
outdoor temperature range of 67 [deg]F to 102 [deg]F. Calculate SEER 
using Equation 4.1-1. Evaluate the quantity 
qc(Tj)/N in Equation 4.1-1 using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.264

Qc(Tj) = the space cooling capacity of the 
test unit when operating at outdoor temperature, Tj, Btu/
h.
nj/N = fractional bin hours for the cooling season; the 
ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless.
    a. For the space cooling season, assign nj/N as 
specified in Table 18. Use Equation 4.1-2 to calculate the building 
load, BL(Tj). Evaluate Qc(Tj) 
using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.265

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling Minimum Air Volume Rate, 
Btu/h.
[GRAPHIC] [TIFF OMITTED] TP09NO15.266

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling Full-load Air Volume Rate, 
Btu/h.
    b. For units where indoor blower speed is the primary control 
variable, FPc\k=1\ denotes the fan speed used during the 
required A1 and B1 Tests (see section 
3.2.2.1), FPc\k=2\ denotes the fan speed used during the 
required A2 and B2 Tests, and 
FPc(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPc's are similarly defined only now being expressed in 
terms of air volume rates rather than fan speeds. Refer to sections 
3.2.2.1, 3.1.4 to 3.1.4.2, and 3.3 regarding the definitions and 
calculations of Qc\k=1\(82), Qc\k=1\(95), 
Qc \k=2\(82), and Qc\k=2\(95).
[GRAPHIC] [TIFF OMITTED] TP09NO15.267

Where,

PLFj = 1 - CD\c\ [middot] [1 - 
X(Tj)], the part load factor, dimensionless.
[Edot]c(Tj) = the electrical power consumption 
of the test unit when operating at outdoor temperature 
Tj, W.
    c. The quantities X(Tj) and nj/N are the 
same quantities as used in Equation 4.1.2-1.
    d. Evaluate [Edot]c(Tj) using,

[[Page 69435]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.268

the electrical power consumption of the test unit at outdoor 
temperature Tj if operated at the Cooling Full-load Air 
Volume Rate, W.
    e. The parameters FPc\k=1\, and FPc\k=2\, 
and FPc(Tj) are the same quantities that are 
used when evaluating Equation 4.1.2-2. Refer to sections 3.2.2.1, 
3.1.4 to 3.1.4.2, and 3.3 regarding the definitions and calculations 
of [Edot]c\k=1\(82), [Edot]c\k=1\(95), 
[Edot]c\k=2\(82), and [Edot]c\k=2\(95).
    4.1.2.2 Units covered by section 3.2.2.2 where indoor blower 
capacity modulation is used to adjust the sensible to total cooling 
capacity ratio. Calculate SEER as specified in section 4.1.1.
    4.1.3 SEER calculations for an air conditioner or heat pump 
having a two-capacity compressor. Calculate SEER using Equation 4.1-
1. Evaluate the space cooling capacity, 
Qc\k=1\(Tj), and electrical power consumption, 
[Edot]c\k=1\(Tj), of the test unit when 
operating at low compressor capacity and outdoor temperature 
Tj using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.269

where Qc\k=1\(82) and [Edot]c\k=1\(82) are 
determined from the B1 Test, Qc\k=1\(67) and 
[Edot]c\k=1\(67) are determined from the 
F1Test, and all four quantities are calculated as 
specified in section 3.3. Evaluate the space cooling capacity, 
Qc\k=2\(Tj), and electrical power consumption, 
[Edot]c\k=2\(Tj), of the test unit when 
operating at high compressor capacity and outdoor temperature 
Tj using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.501

where Qc\k=2\(95) and [Edot]c\k=2\(95) are 
determined from the A2 Test, Qc\k=2\(82), and 
[Edot]c\k=2\(82), are determined from the 
B2Test, and all are calculated as specified in section 
3.3.
    The calculation of Equation 4.1-1 quantities 
qc(Tj)/N and ec(Tj)/N 
differs depending on whether the test unit would operate at low 
capacity (section 4.1.3.1), cycle between low and high capacity 
(section 4.1.3.2), or operate at high capacity (sections 4.1.3.3 and 
4.1.3.4) in responding to the building load. For units that lock out 
low capacity operation at higher outdoor temperatures, the 
manufacturer must supply information regarding this temperature so 
that the appropriate equations are used. Use Equation 4.1-2 to 
calculate the building load, BL(Tj), for each temperature 
bin.
    4.1.3.1 Steady-state space cooling capacity at low compressor 
capacity is greater than or equal to the building cooling load at 
temperature Tj, Qc\k=1\(Tj) 
>=BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.270

Where,

X\k=1\(Tj) = BL(Tj)/
Qc\k=1\(Tj), the cooling mode low capacity 
load factor for temperature bin j, dimensionless.
PLFj = 1 - CD\c\ [middot] [1 - 
X\k=1\(Tj)], the part load factor, dimensionless.
nj/N, the fractional bin hours for the cooling season; 
the ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless. Obtain the fractional bin hours for 
the cooling season, nj/N, from Table 18. Use Equations 
4.1.3-1 and 4.1.3-2, respectively, to evaluate 
Qc\k=1\(Tj) and 
[Edot]c\k=1\(Tj).

[[Page 69436]]



                Table 18--Distribution of Fractional Hours Within Cooling Season Temperature Bins
----------------------------------------------------------------------------------------------------------------
                                                                                                  Fraction of of
                                                                        Bin       Representative       total
                          Bin number, j                             temperature     temperature     temperature
                                                                   range [deg]F   for bin [deg]F  bin hours, nj/
                                                                                                         N
----------------------------------------------------------------------------------------------------------------
1...............................................................           65-69              67           0.214
2...............................................................           70-74              72           0.231
3...............................................................           75-79              77           0.216
4...............................................................           80-84              82           0.161
5...............................................................           85-89              87           0.104
6...............................................................           90-94              92           0.052
7...............................................................           95-99              97           0.018
8...............................................................         100-104             102           0.004
----------------------------------------------------------------------------------------------------------------

    4.1.3.2 Unit alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building cooling load at 
temperature Tj, Qc\k=1\(Tj) 
j) c\k=2\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.271

X\k=2\(Tj) = 1 - X\k=1\(Tj), the cooling mode, 
high capacity load factor for temperature bin j, dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qc\k=1\(Tj) and 
[Edot]c\k=1\(Tj). Use Equations 4.1.3-3 and 
4.1.3-4, respectively, to evaluate Qc\k=2\(Tj) 
and [Edot]c\k=2\(Tj).
    4.1.3.3 Unit only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the 
building cooling load, BL(Tj) 
c\k=2\(Tj). This section applies to units 
that lock out low compressor capacity operation at higher outdoor 
temperatures.
[GRAPHIC] [TIFF OMITTED] TP09NO15.272

where,

X\k=2\(Tj) = BL(Tj)/
Qc\k=2\(Tj), the cooling mode high capacity 
load factor for temperature bin j, dimensionless.
PLFj = 1-[Cdot]D(\k=2\) * [1-
X\k=2\(Tj)], the part load factor, dimensionless.
[GRAPHIC] [TIFF OMITTED] TP09NO15.273

    4.1.3.4 Unit must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) 
>=Qc\k=2\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.274


[[Page 69437]]


    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qc\k=2\(Tj) and 
[Edot]c\k=2\(Tj).
    4.1.4 SEER calculations for an air conditioner or heat pump 
having a variable-speed compressor. Calculate SEER using Equation 
4.1-1. Evaluate the space cooling capacity, 
Qc\k=1\(Tj), and electrical power consumption, 
[Edot]c\k=1\(Tj), of the test unit when 
operating at minimum compressor speed and outdoor temperature 
Tj. Use,
[GRAPHIC] [TIFF OMITTED] TP09NO15.502

where Qc\k=1\(82) and [Edot]c\k=1\(82) are 
determined from the B1 Test, Qc\k=1\(67) and 
[Edot]c\k=1\(67) are determined from the F1 Test, and all 
four quantities are calculated as specified in section 3.3. Evaluate 
the space cooling capacity, Qc\k=2\(Tj), and 
electrical power consumption, 
[Edot]c\k=2\(Tj), of the test unit when 
operating at maximum compressor speed and outdoor temperature 
Tj. Use Equations 4.1.3-3 and 4.1.3-4, respectively, 
where Qc\k=2\(95) and [Edot]c\k=2\(95) are 
determined from the A2 Test, Qc\k=2\(82) and 
[Edot]c\k=2\(82) are determined from the B2 
Test, and all four quantities are calculated as specified in section 
3.3. Calculate the space cooling capacity, 
Qc\k=v\(Tj), and electrical power consumption, 
[Edot]c\k=v\(Tj), of the test unit when 
operating at outdoor temperature Tj and the intermediate 
compressor speed used during the section 3.2.4 (and Table 7) 
EV Test using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.275

    4.1.4.1 Steady-state space cooling capacity when operating at 
minimum compressor speed is greater than or equal to the building 
cooling load at temperature Tj, 
Qc\k=1\(Tj) >=BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.276

where,

X\k=1\(Tj) = BL(Tj)/
Qc\k=1\(Tj), the cooling mode minimum speed 
load factor for temperature bin j, dimensionless.
PLFj = 1 - CD\c\ [middot] [1 - 
X\k=1\(Tj)], the part load factor, dimensionless.
nj/N, the fractional bin hours for the cooling season; 
the ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qc\k=l\ (Tj) and 
[Edot]c\k=l\ (Tj).
    4.1.4.2 Unit operates at an intermediate compressor speed (k=i) 
in order to match the building cooling load at temperature 
Tj,Qc\k=1\(Tj) j) 
c\k=2\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.277

where,

Qc\k=i\(Tj) = BL(Tj), the space 
cooling capacity delivered by the unit in matching the building load 
at temperature Tj, Btu/h. The matching occurs with the 
unit operating at compressor speed k = i.
[GRAPHIC] [TIFF OMITTED] TP09NO15.278

EER\k=i\(Tj) = the steady-state energy efficiency ratio 
of the test unit when operating at a compressor speed of k = i and 
temperature Tj, Btu/h per W.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 18. For each

[[Page 69438]]

temperature bin where the unit operates at an intermediate 
compressor speed, determine the energy efficiency ratio 
EER\k=i\(Tj) using,
EER\k=i\(Tj) = A + B [middot] Tj + C [middot] 
Tj\2\.
    For each unit, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TP09NO15.279

where,

T1 = the outdoor temperature at which the unit, when 
operating at minimum compressor speed, provides a space cooling 
capacity that is equal to the building load (Qc\k=l\ 
(Tl) = BL(T1)), [deg]F. Determine 
T1 by equating Equations 4.1.3-1 and 4.1-2 and solving 
for outdoor temperature.
Tv = the outdoor temperature at which the unit, when 
operating at the intermediate compressor speed used during the 
section 3.2.4 EV Test, provides a space cooling capacity 
that is equal to the building load (Qc\k=v\ 
(Tv) = BL(Tv)), [deg]F. Determine 
Tv by equating Equations 4.1.4-1 and 4.1-2 and solving 
for outdoor temperature.
T2 = the outdoor temperature at which the unit, when 
operating at maximum compressor speed, provides a space cooling 
capacity that is equal to the building load (Qc\k=2\ 
(T2) = BL(T2)), [deg]F. Determine 
T2 by equating Equations 4.1.3-3 and 4.1-2 and solving 
for outdoor temperature.
[GRAPHIC] [TIFF OMITTED] TP09NO15.280

    4.1.4.3 Unit must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) 
>=Qc\k=2\(Tj). Evaluate the Equation 4.1-1 
quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.281

    as specified in section 4.1.3.4 with the understanding that 
Qc\k=2\(Tj) and 
[Edot]c\k=2\(Tj) correspond to maximum 
compressor speed operation and are derived from the results of the 
tests specified in section 3.2.4.
    4.1.5 SEER calculations for an air conditioner or heat pump 
having a single indoor unit with multiple blowers. Calculate SEER 
using Eq. 4.1-1, where qc(Tj)/N and ec(Tj)/N 
are evaluated as specified in applicable below subsection.
    4.1.5.1 For multiple blower systems that are connected to a 
lone, single-speed outdoor unit. a. Calculate the space cooling 
capacity, Qck\=1\ (Tj), and electrical power consumption, 
[Edot]ck\=1\ (Tj), of the test unit when operating at the cooling 
minimum air volume rate and outdoor temperature Tj using 
the equations given in section 4.1.2.1. Calculate the space cooling 
capacity, Qck\=2\ (Tj), and electrical power consumption, 
[Edot]ck\=2\ (Tj), of the test unit when operating at the cooling 
full-load air volume rate and outdoor temperature Tj 
using the equations given in section 4.1.2.1. In evaluating the 
section 4.1.2.1 equations, determine the quantities Qck\=1\ (82) and 
[Edot]ck\=1\ (82) from the B1 Test, Qck\=1\ (95) and [Edot]ck\=1\ 
(95) from the Al Test, Qck\=2\ (82) and [Edot]ck\=2\ (82) from the 
B2 Test, and Qck\=2\ (95) and [Edot]ck\=2\ (95) from the A2 Test. 
Evaluate all eight quantities as specified in section 3.3. Refer to 
section 3.2.2.1 and Table 5 for additional information on the four 
referenced laboratory tests. b. Determine the cooling mode cyclic 
degradation coefficient, CDc, as per sections 3.2.2.1 and 
3.5 to 3.5.3. Assign this same value to CDc(K=2). c. 
Except for using the above values of Qck\=1\ (Tj), [Edot]ck\=1\ 
(Tj), [Edot]ck\=2\ (Tj), Qck\=2\ (Tj), CDc, and 
CDc (K=2), calculate the quantities 
qc(Tj)/N and ec(Tj)/N as 
specified in section 4.1.3.1 for cases where Qck\=1\ (Tj) >= 
BL(Tj). For all other outdoor bin temperatures, 
Tj, calculate qc(Tj)/N and ec(Tj)/N 
as specified in section 4.1.3.3 if Qck\=2\ (Tj) > BL (Tj) 
or as specified in section 4.1.3.4 if Qck\=2\ (Tj) <= 
BL(Tj).
    4.1.5.2 For multiple blower systems that are connected to either 
a lone outdoor unit having a two-capacity compressor or to two 
separate but identical model single-speed outdoor units. Calculate 
the quantities qc(Tj)/N and ec(Tj)/N as 
specified in section 4.1.3.
    4.2 Heating Seasonal Performance Factor (HSPF) Calculations.
    Unless an approved alternative efficiency determination method 
is used, as set forth in 10 CFR 429.70(e), HSPF must be calculated 
as follows: Six generalized climatic regions are depicted in Figure 
1 and otherwise defined in Table 19. For each of these regions and 
for each applicable standardized design heating requirement, 
evaluate the heating seasonal performance factor using,

[[Page 69439]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.282

Where,

    eh(Tj)/N, the ratio of the electrical 
energy consumed by the heat pump during periods of the space heating 
season when the outdoor temperature fell within the range 
represented by bin temperature Tj to the total number of 
hours in the heating season (N), W. For heat pumps having a heat 
comfort controller, this ratio may also include electrical energy 
used by resistive elements to maintain a minimum air delivery 
temperature (see 4.2.5).
RH(Tj)/N, the ratio of the electrical energy used for 
resistive space heating during periods when the outdoor temperature 
fell within the range represented by bin temperature Tj 
to the total number of hours in the heating season (N), W. Except as 
noted in section 4.2.5, resistive space heating is modeled as being 
used to meet that portion of the building load that the heat pump 
does not meet because of insufficient capacity or because the heat 
pump automatically turns off at the lowest outdoor temperatures. For 
heat pumps having a heat comfort controller, all or part of the 
electrical energy used by resistive heaters at a particular bin 
temperature may be reflected in eh(Tj)/N (see 
4.2.5).
Tj, the outdoor bin temperature, [deg]F. Outdoor 
temperatures are ``binned'' such that calculations are only 
performed based one temperature within the bin. Bins of 5 [deg]F are 
used.
nj/N, the fractional bin hours for the heating season; 
the ratio of the number of hours during the heating season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
heating season, dimensionless.
Obtain nj/N values from Table 19.
j, the bin number, dimensionless.
J, for each generalized climatic region, the total number of 
temperature bins, dimensionless. Referring to Table 19, J is the 
highest bin number (j) having a nonzero entry for the fractional bin 
hours for the generalized climatic region of interest.
Fdef, the demand defrost credit described in section 
3.9.2, dimensionless.
BL(Tj), the building space conditioning load 
corresponding to an outdoor temperature of
Tj; the heating season building load also depends on the 
generalized climatic region's outdoor design temperature and the 
design heating requirement, Btu/h.

                                Table 19--Generalized Climatic Region Information
----------------------------------------------------------------------------------------------------------------
           Region number                 I            II          III           IV           V            VI
----------------------------------------------------------------------------------------------------------------
Heating Load Hours................          562          909        1,363        1,701        2,202      1,974 *
Outdoor Design Temperature, TOD...           37           27           17            5          -10           30
Zero Load Temperature, TZL........           60           58           57           55           55           58
j Tj ([deg]F).....................                           Fractional Bin Hours, nj/N
                                   -----------------------------------------------------------------------------
1 62..............................         .291         .215         .153         .132         .106         .113
2 57..............................         .239         .189         .142         .111         .092         .206
3 52..............................         .194         .163         .138         .103         .086         .215
4 47..............................         .129         .143         .137         .093         .076         .204
5 42..............................         .081         .112         .135         .100         .078         .141
6 37..............................         .041         .088         .118         .109         .087         .076
7 32..............................         .019         .056         .092         .126         .102         .034
8 27..............................         .005         .024         .047         .087         .094         .008
9 22..............................         .001         .008         .021         .055         .074         .003
10 17.............................            0         .002         .009         .036         .055            0
11 12.............................            0            0         .005         .026         .047            0
12 7..............................            0            0         .002         .013         .038            0
13 2..............................            0            0         .001         .006         .029            0
14 -3.............................            0            0            0         .002         .018            0
15 -8.............................            0            0            0         .001         .010            0
16 -13............................            0            0            0            0         .005            0
17 -18............................            0            0            0            0         .002            0
18 -23............................            0            0            0            0         .001            0
----------------------------------------------------------------------------------------------------------------
* Pacific Coast Region.

    Evaluate the building heating load using
    [GRAPHIC] [TIFF OMITTED] TP09NO15.283
    
where,

TOD, the outdoor design temperature, [deg]F. An outdoor 
design temperature is specified for each generalized climatic region 
in Table 19.
DHR, the design heating requirement (see section 1.2, Definitions), 
Btu/h.
Tzl, the zero load temperature, [deg]F

    Calculate the design heating requirements for each generalized 
climatic region as follows:
    For a heat pump that delivers both cooling and heating,

[[Page 69440]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.284

where,

C = 1.3, a multiplier to provide the appropriate slope for the 
heating load line, dimensionless.
Tzl, the zero load temperature, [deg]F
Qc\k=2\(95), the space cooling capacity of the unit as 
determined from the A or A2 Test, whichever applies, Btu/
h.

    For a heating-only heat pump,
    [GRAPHIC] [TIFF OMITTED] TP09NO15.285
    
where,

C = 1.3, a multiplier to provide the appropriate slope for the 
heating load line, dimensionless.
Tzl, the zero load temperature, [deg]F
Qh\k\(47), expressed in units of Btu/h and otherwise 
defined as follows:

    1. For a single-speed heating only heat pump tested as per 
section 3.6.1, Qh\k\(47) = Qh(47), the space 
heating capacity determined from the H1 Test.
    2. For a variable-speed heating only heat pump, a section 3.6.2 
single-speed heating only heat pump, or a two-capacity heating only 
heat pump, Qn\k\(47) = Qn\k=2\(47), the space 
heating capacity determined from the H12 Test.
    For all heat pumps, HSPF accounts for the heating delivered and 
the energy consumed by auxiliary resistive elements when operating 
below the balance point. This condition occurs when the building 
load exceeds the space heating capacity of the heat pump condenser. 
For HSPF calculations for all heat pumps, see either section 4.2.1, 
4.2.2, 4.2.3, or 4.2.4, whichever applies.
    For heat pumps with heat comfort controllers (see section 1.2, 
Definitions), HSPF also accounts for resistive heating contributed 
when operating above the heat-pump-plus-comfort-controller balance 
point as a result of maintaining a minimum supply temperature. For 
heat pumps having a heat comfort controller, see section 4.2.5 for 
the additional steps required for calculating the HSPF.
    4.2.1 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor blower installed, a constant-air-volume-rate indoor blower 
installed, or with no indoor blower installed.
[GRAPHIC] [TIFF OMITTED] TP09NO15.286

whichever is less; the heating mode load factor for temperature bin 
j, dimensionless.
Qh(Tj), the space heating capacity of the heat 
pump when operating at outdoor temperature Tj, Btu/h.
[Edot]h(Tj), the electrical power consumption 
of the heat pump when operating at outdoor temperature 
Tj, W.
[delta](Tj), the heat pump low temperature cut-out 
factor, dimensionless.
PLFj = 1 - CD\h\ [middot] [1 - 
X(Tj)], the part load factor, dimensionless.

    Use Equation 4.2-2 to determine BL(Tj). Obtain 
fractional bin hours for the heating season, nj/N, from 
Table 19.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TP09NO15.287
    

[[Page 69441]]


where,

Toff, the outdoor temperature when the compressor is 
automatically shut off, [deg]F. (If no such temperature exists, 
Tj is always greater than Toff and 
Ton).
Ton, the outdoor temperature when the compressor is 
automatically turned back on, if applicable, following an automatic 
shut-off, [deg]F.

    Calculate Qh(Tj) and 
[Edot]h(Tj) using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.288

[GRAPHIC] [TIFF OMITTED] TP09NO15.289

where,

Qh(47) and [Edot]h(47) are determined from the 
H1 Test and calculated as specified in section 3.7
Qh(35) and [Edot]h(35) are determined from the 
H2 Test and calculated as specified in section 3.9.1
Qh(17) and [Edot]h(17) are determined from the 
H3 Test and calculated as specified in section 3.10.

    4.2.2 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor and a variable-speed, variable-air-
volume-rate indoor blower. The manufacturer must provide information 
about how the indoor air volume rate or the indoor blower speed 
varies over the outdoor temperature range of 65 [deg]F to -23 
[deg]F. Calculate the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.290

in Equation 4.2-1 as specified in section 4.2.1 with the exception 
of replacing references to the H1C Test and section 3.6.1 with the 
H1C1 Test and section 3.6.2. In addition, evaluate the 
space heating capacity and electrical power consumption of the heat 
pump Qh(Tj) and 
[Edot]h(Tj) using
[GRAPHIC] [TIFF OMITTED] TP09NO15.291

where the space heating capacity and electrical power consumption at 
both low capacity

(k=1) and high capacity (k=2) at outdoor temperature Tj are 
determined using
[GRAPHIC] [TIFF OMITTED] TP09NO15.292

    For units where indoor blower speed is the primary control 
variable, FPh\k=1\ denotes the fan speed used during the 
required H11 and H31 Tests (see Table 11), 
FPh\k=2\ denotes the fan speed used during the required 
H12, H22, and H32 Tests, and 
FPh(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPh's are similarly defined only now being expressed in 
terms of air volume rates rather than fan speeds. Determine 
Qh\k=1\(47) and [Edot]h\k=1\(47) from the 
H11 Test, and Qh\k=2\(47) and 
[Edot]h\k=2\(47) from the H12 Test. Calculate 
all four quantities as specified in section 3.7. Determine 
Qh\k=1\(35) and [Edot]h\k=1\(35) as specified 
in section 3.6.2; determine Qh\k=2\(35) and 
[Edot]h\k=2\(35) and from the H22 Test and the 
calculation specified in section 3.9. Determine 
Qh\k=1\(17) and [Edot]h\k=1\(17 from the 
H31 Test, and Qh\k=2\(17) and

[[Page 69442]]

[Edot]h\k=2\(17) from the H32 Test. Calculate 
all four quantities as specified in section 3.10.
    4.2.3 Additional steps for calculating the HSPF of a heat pump 
having a two-capacity compressor. The calculation of the Equation 
4.2-1 quantities differ depending upon whether the heat pump would 
operate at low capacity (section 4.2.3.1), cycle between low and 
high capacity (Section 4.2.3.2), or operate at high capacity 
(sections 4.2.3.3 and 4.2.3.4) in responding to the building load. 
For heat pumps that lock out low capacity operation at low outdoor 
temperatures, the manufacturer must supply information regarding the 
cutoff temperature(s) so that the appropriate equations can be 
selected.
[GRAPHIC] [TIFF OMITTED] TP09NO15.293

    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TP09NO15.294

    b. Evaluate the space heating capacity and electrical power 
consumption (Qh\k=2\(Tj) and 
[Edot]h\k=2\ (Tj)) of the heat pump when 
operating at high compressor capacity and outdoor temperature Tj by 
solving Equations 4.2.2-3 and 4.2.2-4, respectively, for k=2. 
Determine Qh\k=1\(62) and [Edot]h\k=1\(62) 
from the H01 Test, Qh\k=1\(47) and 
[Edot]h\k=1\(47) from the H11 Test, and 
Qh\k=2\(47) and [Edot]h\k=2\(47) from the 
H12 Test. Calculate all six quantities as specified in 
section 3.7. Determine Qh\k=2\(35) and 
[Edot]h\k=2\(35) from the H22 Test and, if 
required as described in section 3.6.3, determine 
Qh\k=1\(35) and [Edot]h\k=1\(35) from the 
H21 Test. Calculate the required 35 [deg]F quantities as 
specified in section 3.9. Determine Qh\k=2\(17) and 
[Edot]h\k=2\(17) from the H32 Test and, if 
required as described in section 3.6.3, determine 
Qh\k=1\(17) and [Edot]h\k=1\(17) from the 
H31 Test. Calculate the required 17 [deg]F quantities as 
specified in section 3.10.
    4.2.3.1 Steady-state space heating capacity when operating at 
low compressor capacity is greater than or equal to the building 
heating load at temperature Tj, 
Qh\k=1\(Tj) >=BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.295

Where,

X\k=1\(Tj) = BL(Tj)/
Qh\k=1\(Tj), the heating mode low capacity 
load factor for temperature bin j, dimensionless.
PLFj = 1 - CD\h\ [middot] [ 1 - 
X\k=1\(Tj) ], the part load factor, dimensionless.
[delta]'(Tj), the low temperature cutoff factor, 
dimensionless.

    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TP09NO15.296
    
Where,

Toff and Ton are defined in section 4.2.1. Use 
the calculations given in section 4.2.3.3, and not the above, if:
(a) The heat pump locks out low capacity operation at low outdoor 
temperatures and
(b) Tj is below this lockout threshold temperature.

    4.2.3.2 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load at a 
temperature Tj, Qh\k=1\(Tj) < 
BL(Tj) < Qh\k=2\(Tj).

[[Page 69443]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.297

Where,

[GRAPHIC] [TIFF OMITTED] TP09NO15.298

X\k=2\(Tj) = 1 - X\k=1\(Tj) the heating mode, 
high capacity load factor for temperature bin j, 
dimensionless.

    Determine the low temperature cut-out factor, 
[delta]'(Tj), using Equation 4.2.3-3.
    4.2.3.3 Heat pump only operates at high (k=2) compressor 
capacity at temperature Tj and its capacity is greater 
than the building heating load, BL(Tj) < 
Qh\k=2\(Tj). This section applies to units 
that lock out low compressor capacity operation at low outdoor 
temperatures.
[GRAPHIC] [TIFF OMITTED] TP09NO15.299

Where,

X\k=2\(Tj)= BL(Tj)/
Qh\k=2\(Tj).
PLFj = 1 - Ch(k = 2) * [1 - X\k=2\(Tj)]

    Determine the low temperature cut-out factor, 
[delta](Tj), using Equation 4.2.3-3.
    4.2.3.4 Heat pump must operate continuously at high (k=2) 
compressor capacity at temperature Tj, BL(Tj) 
>= Qh\k=2\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.400

    4.2.4 Additional steps for calculating the HSPF of a heat pump 
having a variable-speed compressor. Calculate HSPF using Equation 
4.2-1. Evaluate the space heating capacity, 
Qh\k=1\(Tj), and electrical power consumption, 
[Edot]h\k=1\(Tj), of the heat pump when 
operating at minimum compressor speed and outdoor temperature 
Tj using
[GRAPHIC] [TIFF OMITTED] TP09NO15.401

Where,

Qh\k=1\(62) and [Edot]h\k=1\(62) are 
determined from the H01 Test
Qh\k=1\(47) and [Edot]h\k=1\(47) are 
determined from the H11Test,
and all four quantities are calculated as specified in section 3.7.


[[Page 69444]]


    Evaluate the space heating capacity, 
Qh\k=2\(Tj), and electrical power consumption, 
[Edot]h\k=2\(Tj), of the heat pump when 
operating at maximum compressor speed and outdoor temperature 
Tj by solving Equations 4.2.2-3 and 4.2.2-4, 
respectively, for k=2. Determine the Equation 4.2.2-3 and 4.2.2-4 
quantities Qh\k=2\(47) and [Edot]h\k=2\(47) 
from the H12 Test and the calculations specified in 
section 3.7. Determine Qh\k=2\(35) and 
[Edot]h\k=2\(35) from the H22 Test and the 
calculations specified in section 3.9 or, if the H22 Test 
is not conducted, by conducting the calculations specified in 
section 3.6.4. Determine Qh\k=2\(17) and 
[Edot]h\k=2\(17) from the H32 Test and the 
calculations specified in section 3.10. If H42 test is 
conducted, evaluate the space heating capacity, 
Qh\k=2\(Tj), and electrical power consumption, 
[Edot]h\k=2\(Tj), of the heat pump when 
operating at maximum compressor speed and outdoor temperature 
Tj by using the following equation instead of Equations 
4.2.2-3 and 4.2.2-4. Determine the quantities 
Qh\k=2\(Tl) and 
[Edot]h\k=2\(Tl) from the H42 Test 
and the calculations specified in section 3.7.
[GRAPHIC] [TIFF OMITTED] TP09NO15.402

Where Tl is the outdoor temperature where the H42 test is 
conducted.

    Calculate the space heating capacity, 
Qh\k=v\(Tj), and electrical power consumption, 
[Edot]h\k=v\(Tj), of the heat pump when 
operating at outdoor temperature Tj and the intermediate 
compressor speed used during the section 3.6.4 H2V Test 
using
[GRAPHIC] [TIFF OMITTED] TP09NO15.403

Where,

Qh\k=v\(35) and [Edot]h\k=v\(35) are 
determined from the H2V Test and calculated as specified 
in section 3.9. Approximate the slopes of the k=v intermediate speed 
heating capacity and electrical power input curves, MQ 
and ME, as follows:
[GRAPHIC] [TIFF OMITTED] TP09NO15.404

    Use Equations 4.2.4-1 and 4.2.4-2, respectively, to calculate 
Qh\k=1\(35) and [Edot]h\k=1\(35). The 
calculation of Equation 4.2-1 quantities 
eh(Tj)/N and RH(Tj)/N differs 
depending upon whether the heat pump would operate at minimum speed 
(section 4.2.4.1), operate at an intermediate speed (section 
4.2.4.2), or operate at maximum speed (section 4.2.4.3) in 
responding to the building load.

[[Page 69445]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.405

and [delta](Tj) is evaluated using Equation 4.2.3-3 
while,
Qh\k=i\(Tj) = BL(Tj), the space 
heating capacity delivered by the unit in matching the building load 
at temperature (Tj), Btu/h. The matching occurs with the 
heat pump operating at compressor speed k=i.
COP\k=i\(Tj), the steady-state coefficient of performance 
of the heat pump when operating at compressor speed k=i and 
temperature Tj, dimensionless.

    For each temperature bin where the heat pump operates at an 
intermediate compressor speed, determine COP\k=i\(Tj) 
using,

COP\k=i\(Tj) = A + B [middot] Tj + C [middot] 
Tj\2\.
    For each heat pump, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TP09NO15.406

Where,

T3, the outdoor temperature at which the heat pump, when 
operating at minimum compressor speed, provides a space heating 
capacity that is equal to the building load 
(Qh\k=1\(T3) = BL(T3)), [deg]F. 
Determine T3 by equating Equations 4.2.4-1 and 4.2-2 and 
solving for outdoor temperature:
[GRAPHIC] [TIFF OMITTED] TP09NO15.407

Tvh, the outdoor temperature at which the heat pump, when 
operating at the intermediate compressor speed used during the 
section 3.6.4 H2V Test, provides a space heating capacity 
that is equal to the building load 
(Qh\k=v\(Tvh) = BL(Tvh)), [deg]F. 
Determine Tvh by equating Equations 4.2.4-3 and 4.2-2 and 
solving for outdoor temperature.
T4, the outdoor temperature at which the heat pump, when 
operating at maximum compressor speed, provides a space heating 
capacity that is equal to the building load 
(Qh\k=2\(T4) = BL(T4)), [deg]F.

[[Page 69446]]

Determine T4 by equating Equations 4.2.2-3 (k=2) and 4.2-
2 and solving for outdoor temperature.
[GRAPHIC] [TIFF OMITTED] TP09NO15.408

[GRAPHIC] [TIFF OMITTED] TP09NO15.409

    For multiple-split heat pumps (only), the following procedures 
supersede the above requirements for calculating 
COPh\k=i\(Tj). For each temperature bin where 
T3 >Tj >Tvh,
[GRAPHIC] [TIFF OMITTED] TP09NO15.410

    4.2.4.3 Heat pump must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) 
>=Qh\k=2\(Tj). Evaluate the Equation 4.2-1 
quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.411

as specified in section 4.2.3.4 with the understanding that 
Qh\k=2\(Tj) and 
[Edot]h\k=2\(Tj) correspond to maximum 
compressor speed operation and are derived from the results of the 
specified section 3.6.4 tests. If H42 test is conducted 
in place of H12, evaluate 
Qh\k=2\(Tj) and 
[Edot]h\k=2\(Tj) using the following equation 
instead of equations 4.2.2-3 and 4.2.2-4.
[GRAPHIC] [TIFF OMITTED] TP09NO15.412

Where, TL is the ambient dry bulb temperature where 
H42 test is conducted.

    4.2.5 Heat pumps having a heat comfort controller. Heat pumps 
having heat comfort controllers, when set to maintain a typical 
minimum air delivery temperature, will cause the heat pump condenser 
to operate less because of a greater contribution from the resistive 
elements. With a conventional heat pump, resistive heating is only 
initiated if the heat pump condenser cannot meet the building load 
(i.e., is delayed until a second stage call from the indoor 
thermostat). With a heat comfort controller, resistive heating can 
occur even though the heat pump condenser has adequate capacity to 
meet the building load (i.e., both on during a first stage call from 
the indoor thermostat). As a result, the outdoor temperature where 
the heat pump compressor no longer cycles (i.e., starts to run 
continuously), will be lower than if

[[Page 69447]]

the heat pump did not have the heat comfort controller.
    4.2.5.1 Heat pump having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a single-speed 
compressor that was tested with a fixed-speed indoor blower 
installed, a constant-air-volume-rate indoor blower installed, or 
with no indoor blower installed. Calculate the space heating 
capacity and electrical power of the heat pump without the heat 
comfort controller being active as specified in section 4.2.1 
(Equations 4.2.1-4 and 4.2.1-5) for each outdoor bin temperature, 
Tj, that is listed in Table 19. Denote these capacities 
and electrical powers by using the subscript ``hp'' instead of 
``h.'' Calculate the mass flow rate (expressed in pounds-mass of dry 
air per hour) and the specific heat of the indoor air (expressed in 
Btu/lbmda [middot] [deg]F) from the results of the H1 
Test using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.413

Where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 19, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.414

    Evaluate eh(Tj/N), RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1. For each bin calculation, use the space 
heating capacity and electrical power from Case 1 or Case 2, 
whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9), determine Qh(Tj) and 
[Edot]h(Tj) as specified in section 4.2.1 
(i.e., Qh(Tj) = Qhp(Tj) 
and [Edot]hp(Tj) = 
[Edot]hp(Tj)). Note: Even though 
To(Tj) >=Tcc, resistive heating may 
be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) >Tcc, determine 
Qh(Tj) and [Edot]h(Tj) 
using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.415

    NOTE: Even though To(Tj) cc, 
additional resistive heating may be required; evaluate Equation 
4.2.1-2 for all bins.
    4.2.5.2 Heat pump having a heat comfort controller: Additional 
steps for calculating the HSPF of a heat pump having a single-speed 
compressor and a variable-speed, variable-air-volume-rate indoor 
blower. Calculate the space heating capacity and electrical power of 
the heat pump without the heat comfort controller being active as 
specified in section 4.2.2 (Equations 4.2.2-1 and 4.2.2-2) for each 
outdoor bin temperature, Tj, that is listed in Table 19. 
Denote these capacities and electrical powers by using the subscript 
``hp'' instead of ``h.'' Calculate the mass flow rate (expressed in 
pounds-mass of dry air per hour) and the specific heat of the indoor 
air (expressed in Btu/lbmda [middot] [deg]F) from the 
results of the H12 Test using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.416

    Cp,da = 0.24 + 0.444 * Qn

Where ViS, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 19, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.417

    Evaluate eh(Tj)/N, RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 with the exception of replacing 
references to the H1C Test and section 3.6.1 with the 
H1C1 Test and section 3.6.2. For each bin calculation, 
use the space heating capacity and electrical power from Case 1 or 
Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9), determine Qh(Tj) and 
[Edot]h(Tj) as specified in section 4.2.2 
(i.e. Qh(Tj) = Qhp(Tj) 
and [Edot]h(Tj) = 
[Edot]hp(Tj)). Note: Even though 
To(Tj) >=TCC, resistive heating may 
be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) CC, determine 
Qh(Tj) and [Edot]h(Tj) 
using,

[[Page 69448]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.418

    Note: Even though To(Tj) cc, 
additional resistive heating may be required; evaluate Equation 
4.2.1-2 for all bins.
    4.2.5.3 Heat pumps having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a two-capacity 
compressor. Calculate the space heating capacity and electrical 
power of the heat pump without the heat comfort controller being 
active as specified in section 4.2.3 for both high and low capacity 
and at each outdoor bin temperature, Tj, that is listed 
in Table 19. DeNote these capacities and electrical powers by using 
the subscript ``hp'' instead of ``h.'' For the low capacity case, 
calculate the mass flow rate (expressed in pounds-mass of dry air 
per hour) and the specific heat of the indoor air (expressed in Btu/
lbmda [middot] [deg]F) from the results of the 
H11 Test using:
[GRAPHIC] [TIFF OMITTED] TP09NO15.419

Where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 19, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil when operating at low capacity using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.420

    Repeat the above calculations to determine the mass flow rate 
(mda\k=2\) and the specific heat of the indoor air 
(Cp,da\k=2\) when operating at high capacity by using the 
results of the H12 Test. For each outdoor bin temperature 
listed in Table 19, calculate the nominal temperature of the air 
leaving the heat pump condenser coil when operating at high capacity 
using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.421

    Evaluate eh(Tj)/N, RH(Tj)/N, 
X\k=1\(Tj), and/or X\k=2\(Tj), 
PLFj, and [delta]'(Tj) or 
[delta]''(Tj) as specified in section 4.2.3.1. 4.2.3.2, 
4.2.3.3, or 4.2.3.4, whichever applies, for each temperature bin. To 
evaluate these quantities, use the low-capacity space heating 
capacity and the low-capacity electrical power from Case 1 or Case 
2, whichever applies; use the high-capacity space heating capacity 
and the high-capacity electrical power from Case 3 or Case 4, 
whichever applies.
    Case 1. For outdoor bin temperatures where 
To\k=1\(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9), determine Qh\k=1\(Tj) and 
[Edot]h\k=1\(Tj) as specified in section 4.2.3 
(i.e., Qh\k=1\(Tj) = 
Qhp\k=1\(Tj) and 
[Edot]h\k=1\(Tj) = 
[Edot]hp\k=1\(Tj).
    Note: Even though To\k=1\(Tj) 
>=TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    Case 2. For outdoor bin temperatures where 
To\k=1\(Tj) CC, determine 
Qh\k=1\(Tj) and 
[Edot]h\k=1\(Tj) using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.422

    Note: Even though To\k=1\(Tj) 
>=Tcc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.
    Case 3. For outdoor bin temperatures where 
To\k=2\(Tj) is equal to or greater than 
TCC, determine Qh\k=2\(Tj) and 
[Edot]h\k=2\(Tj) as specified in section 4.2.3 
(i.e., Qh\k=2\(Tj) = 
Qhp\k=2\(Tj) and 
[Edot]h\k=2\(Tj) = 
[Edot]hp\k=2\(Tj)).
    Note: Even though To\k=2\(Tj) 
CC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    Case 4. For outdoor bin temperatures where 
To\k=2\(Tj) CC, determine 
Qh\k=2\(Tj) and 
[Edot]h\k=2\(Tj) using,

[[Page 69449]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.423

    Note: Even though To\k=2\(Tj) 
cc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.
    4.2.5.4 Heat pumps having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a variable-
speed compressor. [Reserved]
    4.2.6 Additional steps for calculating the HSPF of a heat pump 
having a triple-capacity compressor. The only triple-capacity heat 
pumps covered are triple-capacity, northern heat pumps.
    For such heat pumps, the calculation of the Eq. 4.2-1 quantities
    [GRAPHIC] [TIFF OMITTED] TP09NO15.424
    
differ depending on whether the heat pump would cycle on and off at 
low capacity (section 4.2.6.1), cycle on and off at high capacity 
(section 4.2.6.2), cycle on and off at booster capacity (4.2.6.3), 
cycle between low and high capacity (section 4.2.6.4), cycle between 
high and booster capacity (section 4.2.6.5), operate continuously at 
low capacity (4.2.6.6), operate continuously at high capacity 
(section 4.2.6.7), operate continuously at booster capacity 
(4.2.6.8), or heat solely using resistive heating (also section 
4.2.6.8) in responding to the building load. As applicable, the 
manufacturer must supply information regarding the outdoor 
temperature range at which each stage of compressor capacity is 
active. As an informative example, data may be submitted in this 
manner: At the low (k=1) compressor capacity, the outdoor 
temperature range of operation is 40 [deg]F <= T <= 65 [deg]F; At 
the high (k=2) compressor capacity, the outdoor temperature range of 
operation is 20 [deg]F <= T <= 50 [deg]F; At the booster (k=3) 
compressor capacity, the outdoor temperature range of operation is -
20 [deg]F <= T <= 30[emsp14][deg]F.
    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using the equations given in 
section 4.2.3 for Qh\k=1\(Tj) and 
[Edot]h\k=1\ (Tj)) In evaluating the section 
4.2.3 equations, Determine Qh\k=1\(62) and 
[Edot]h\k=1\(62) from the H01 Test, 
Qh\k=1\(47) and [Edot]h\k=1\(47) from the 
H11 Test, and Qh\k=2\(47) and 
[Edot]h\k=2\(47) from the H12 Test. Calculate 
all four quantities as specified in section 3.7. If, in accordance 
with section 3.6.6, the H31 Test is conducted, calculate 
Qh\k=1\(17) and [Edot]h\k=1\(17) as specified 
in section 3.10 and determine Qh\k=1\(35) and 
[Edot]h\k=1\(35) as specified in section 3.6.6.
    b. Evaluate the space heating capacity and electrical power 
consumption (Qh\k=2\(Tj) and 
[Edot]h\k=2\ (Tj)) of the heat pump when 
operating at high compressor capacity and outdoor temperature Tj by 
solving Equations 4.2.2-3 and 4.2.2-4, respectively, for k=2. 
Determine Qh\k=1\(62) and [Edot]h\k=1\(62) 
from the H01 Test, Qh\k=1\(47) and 
[Edot]h\k=1\(47) from the H11 Test, and 
Qh\k=2\(47) and [Edot]h\k=2\(47) from the 
H12 Test, evaluated as specified in section 3.7. 
Determine the equation input for Qh\k=2\(35) and 
[Edot]h\k=2\(35) from the H22, evaluated as 
specified in section 3.9.1. Also, determine Qh\k=2\(17) 
and [Edot]h\k=2\(17) from the H32 Test, 
evaluated as specified in section 3.10.
    c. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at booster compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TP09NO15.426

    Determine Qh\k=3\(17) and [Edot]h\k=3\(17) 
from the H33 Test and determine Qh\k=2\(2) and 
[Edot]h\k=3\(2) from the H43 Test. Calculate 
all four quantities as specified in section 3.10. Determine the 
equation input for Qh\k=3\(35) and 
[Edot]h\k=3\(35) as specified in section 3.6.6.
    4.2.6.1 Steady-state space heating capacity when operating at 
low compressor capacity is greater than or equal to the building 
heating load at temperature Tj, 
Qh\k=1\(Tj) >=BL(Tj)., and the heat 
pump permits low compressor capacity at Tj. Evaluate the 
quantities

[[Page 69450]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.427

using Eqs. 4.2.3-1 and 4.2.3-2, respectively. Determine the equation 
inputs X\k=1\(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.1. In 
calculating the part load factor, PLFj, use the low-
capacity cyclic-degradation coefficient CD\h\, [or 
equivalently, CD\h\(k=1)] determined in accordance with 
section 3.6.6.

    4.2.6.2 Heat pump only operates at high (k=2) compressor 
capacity at temperature Tj and its capacity is greater 
than or equal to the building heating load, BL(Tj) 
h\k=2\(Tj). Evaluate the quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.428

as specified in section 4.2.3.3. Determine the equation inputs 
X\k=2\(Tj), PLFj, and [delta]'(Tj) 
as specified in section 4.2.3.3. In calculating the part load 
factor, PLFj, use the high-capacity cyclic-degradation 
coefficient, CD\h\(k=2) determined in accordance with 
section 3.6.6.
    4.2.6.3 Heat pump only operates at high (k=3) compressor 
capacity at temperature Tj and its capacity is greater 
than or equal to the building heating load, BL(Tj) 
<=Qh\k=3\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.429

where
    Xk\=3\(Tj) = BL(Tj)/Qhk\=3\(Tj) and PLFj = 1 - C5h (k = 3) * [1 
- Xk\=3\(Tj)
    Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3. Use the booster-capacity 
cyclic-degradation coefficient, CD\h\(k=3) determined in 
accordance with section 3.6.6.
    4.2.6.4 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load at a 
temperature Tj, Qh\k=1\(Tj) 
j) h\k=2\(Tj). Evaluate the 
quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.430

as specified in section 4.2.3.2. Determine the equation inputs 
X\k=1\(Tj), X\k=2\(Tj), and 
[delta]'(Tj) as specified in section 4.2.3.2.

    4.2.6.5 Heat pump alternates between high (k=2) and booster 
(k=3) compressor capacity to satisfy the building heating load at a 
temperature Tj, Qh\k=2\(Tj) 
j) h\k=3\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.431

and X\k=3\(Tj) = X\k=2\(Tj) = the heating 
mode, booster capacity load factor for temperature bin j, 
dimensionless. Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3.
    4.2.6.6 Heat pump only operates at low (k=1) capacity at 
temperature Tj and its capacity is less than the building 
heating load, BL(Tj) > Qh\k=1\(Tj).
[GRAPHIC] [TIFF OMITTED] TP09NO15.432


[[Page 69451]]


Where the low temperature cut-out factor, [delta]'(Tj), is 
calculated using Eq. 4.2.3-3.

    4.2.6.7 Heat pump only operates at high (k = 2) capacity at 
temperature Tj and its capacity is less than the building heating 
load, BL(Tj) > Qh\k=2\(Tj). Evaluate the 
quantities
[GRAPHIC] [TIFF OMITTED] TP09NO15.433

as specified in section 4.2.3.4. Calculate [delta]''(Tj) using the 
equation given in section 4.2.3.4.

    4.2.6.8 Heat pump only operates at booster (k = 3) capacity at 
temperature Tj and its capacity is less than the building heating 
load, BL(Tj) > Qh\k=3\(Tj). or the 
system converts to using only resistive heating.
[GRAPHIC] [TIFF OMITTED] TP09NO15.434

Where [delta]''(Tj) is calculated as specified in section 4.2.3.4 if 
the heat pump is operating at its booster compressor capacity. If 
the heat pump system converts to using only resistive heating at 
outdoor temperature Tj, set [delta]'(Tj) equal 
to zero.

    4.2.7 Additional steps for calculating the HSPF of a heat pump 
having a single indoor unit with multiple blowers. The calculation 
of the Eq. 4.2-1 quantities eh(Tj)/N and 
RH(Tj)/N are evaluated as specified in applicable below 
subsection.
    4.2.7.1 For multiple blower heat pumps that are connected to a 
singular, single-speed outdoor unit.
    a. Calculate the space heating capacity, Qhk\=1\(Tj), and 
electrical power consumption, [Edot]hk\=1\(Tj), of the heat pump 
when operating at the heating minimum air volume rate and outdoor 
temperature Tj using Eqs. 4.2.2-3 and 4.2.2-4, 
respectively. Use these same equations to calculate the space 
heating capacity, Qhk\=2\ (Tj) and electrical power consumption, 
[Edot]hk\=2\(Tj), of the test unit when operating at the heating 
full-load air volume rate and outdoor temperature Tj. In 
evaluating Eqs. 4.2.2-3 and 4.2.2-4, determine the quantities 
Qhk\=1\ (47) and [Edot]hk\=1\(47) from the H11 Test; 
determine Qhk\=2\ (47) and [Edot]hk\=2\(47) from the H12 
Test. Evaluate all four quantities according to section 3.7. 
Determine the quantities Qhk\=1\(35) and [Edot]hk\=1\(35) as 
specified in section 3.6.2. Determine Qhk\=2\(35) and 
[Edot]hk\=2\(35) from the H22 Frost Accumulation Test as 
calculated according to section 3.9.1. Determine the quantities 
Qhk\=1\(17) and [Edot]hk\=1\(17) from the H31 Test, and 
Qhk\=2\(17) and [Edot]hk\=2\(17) from the H32 Test. 
Evaluate all four quantities according to section 3.10. Refer to 
section 3.6.2 and Table 11 for additional information on the 
referenced laboratory tests.
    b. Determine the heating mode cyclic degradation coefficient, 
CDh, as per sections 3.6.2 and 3.8 to 3.8.1. Assign this 
same value to CDh(k = 2).
    c. Except for using the above values of Qhk\=1\(Tj), 
[Edot]hk\=1\(Tj), Qhk\=2\(Tj), Eihk\=2\(Tj), CDh, and 
CDh(k = 2), calculate the quantities 
eh(Tj)/N as specified in section 4.2.3.1 for 
cases where Qhk\=1\(Tj) >= BL(Tj). For all other outdoor 
bin temperatures, Tj, calculate eh(Tj)/N and 
RHh(Tj)/N as specified in section 4.2.3.3 if Qhk\=2\(Tj) 
> BL(Tj) or as specified in section 4.2.3.4 if Qhk\=2\(Tj) <= 
BL(Tj).
    4.2.7.2 For multiple blower heat pumps connected to either a 
lone outdoor unit with a two-capacity compressor or to two separate 
but identical model single-speed outdoor units. Calculate the 
quantities eh(Tj)/N and RH(Tj)/N as 
specified in section 4.2.3.
    4.3 Calculations of Off-mode Seasonal Power and Energy 
Consumption.
    4.3.1 For central air conditioners and heat pumps with a cooling 
capacity of:
    less than 36,000 Btu/h, determine the off mode rating, PW,OFF, 
with the following equation:
[GRAPHIC] [TIFF OMITTED] TP09NO15.435

    4.3.2 Calculate the off mode energy consumption for both central 
air conditioner and heat pumps for the shoulder season, E1, using: 
E1 = P1 [middot] SSH; and the off mode energy consumption of a CAC, 
only, for the heating season, E2, using: E2 = P2 [middot] HSH; where 
P1 and P2 is determined in Section 3.13. HSH can be determined by 
multiplying the heating season-hours from Table 20 with the 
fractional Bin-hours, from Table 19, that pertain to the range of 
temperatures at which the crankcase heater operates. If the 
crankcase heater is controlled to disable for the heating season, 
the temperature range at which the crankcase heater operates is 
defined to be from 72 [deg]F to five degrees Fahrenheit below a 
turn-off temperature specified by the manufacturer in the DOE 
Compliance Certification Database. If the crankcase heater is 
operated during the heating season, the temperature range at which 
the crankcase heater operates is defined to be from 72 [deg]F to -23 
[deg]F, the latter of which is a temperature that sets the range of 
Bin-hours to encompass all outside air temperatures in the heating 
season.
    SSH can be determined by multiplying the shoulder season-hours 
from Table 20 with the fractional Bin-hours in Table 21.

  Table 20--Representative Cooling and Heating Load Hours and the Corresponding Set of Seasonal Hours for Each
                                           Generalized Climatic Region
----------------------------------------------------------------------------------------------------------------
                                                                      Cooling         Heating        Shoulder
         Climatic region           Cooling load    Heating load    season hours    season hours    season hours
                                    hours CLHR      hours HLHR         CSHR            HSHR            SSHR
----------------------------------------------------------------------------------------------------------------
I...............................           2,400             750           6,731           1,826             203
II..............................           1,800           1,250           5,048           3,148             564
III.............................           1,200           1,750           3,365           4,453             942
IV..............................             800           2,250           2,244           5,643             873
Rating Values...................           1,000           2,080           2,805           5,216             739
V...............................             400           2,750           1,122           6,956             682

[[Page 69452]]

 
VI..............................             200           2,750             561           6,258           1,941
----------------------------------------------------------------------------------------------------------------

                                                                                                  [GRAPHIC] [TIFF OMITTED] TP09NO15.436
                                                                                                  
    Region I: HSH = 2.4348HLH;
    Region II: HSH = 2.5182HLH;
    Region III: HSH = 2.5444HLH;
    Region IV: HSH = 2.5078HLH;
    Region V: HSH = 2.5295HLH;
    Region VI: HSH = 2.2757HLH;
    SSH is evaluated: SSH = 8760 - (CSH + HSH). where CSH = the 
cooling season hours calculated using CSH = 2.8045 [middot] CLH.

  Table 21--Fractional Bin Hours for the Shoulder Season Hours for All
                                 Regions
------------------------------------------------------------------------
                                             Fractional bin hours
             Tj([deg]F)             ------------------------------------
                                      Air conditioners     Heat pumps
------------------------------------------------------------------------
72.................................              0.333             0.167
67.................................              0.667             0.333
62.................................              0                 0.333
57.................................              0                 0.167
------------------------------------------------------------------------

                                                        [GRAPHIC] [TIFF OMITTED] TP09NO15.437
                                                        
    4.3.4 For air conditioners, the annual off mode energy 
consumption, ETOTAL, is: ETOTAL = E1 + E2.
    4.3.5 For heat pumps, the annual off mode energy consumption, 
ETOTAL, is E1.
    4.4 Calculations of the Actual and Representative Regional 
Annual Performance Factors for Heat Pumps.
    4.4.1 Calculation of actual regional annual performance factors 
(APFA) for a particular location and for each 
standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TP09NO15.438

Where,

CLHA = the actual cooling hours for a particular location 
as determined using the map given in Figure 2, hr.
Qc\k\(95) = the space cooling capacity of the unit as 
determined from the A or A2 Test, whichever applies, Btu/
h.
HLHA = the actual heating hours for a particular location 
as determined using the map given in Figure 1, hr.
DHR = the design heating requirement used in determining the HSPF; 
refer to section 4.2 and see section 1.2, Definitions, Btu/h.
C = defined in section 4.2 following Equation 4.2-2, dimensionless.
SEER = the seasonal energy efficiency ratio calculated as specified 
in section 4.1, Btu/W[middot]h.
HSPF = the heating seasonal performance factor calculated as 
specified in section

[[Page 69453]]

4.2 for the generalized climatic region that includes the particular 
location of interest (see Figure 1), Btu/W[middot]h. The HSPF should 
correspond to the actual design heating requirement (DHR), if known. 
If it does not, it may correspond to one of the standardized design 
heating requirements referenced in section 4.2.
P1 is the shoulder season per-compressor off mode power, as 
determined in section 3.13, W.
SSH is the shoulder season hours, hr.
P2 is the heating season per-compressor off mode power, as 
determined in section 3.13, W.
HSH is the heating season hours, hr.

    4.4.2 Calculation of representative regional annual performance 
factors (APFR) for each generalized climatic region and 
for each standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TP09NO15.439

Where,

CLHR = the representative cooling hours for each 
generalized climatic region, Table 22, hr.
HLHR = the representative heating hours for each 
generalized climatic region, Table 22, hr.
HSPF = the heating seasonal performance factor calculated as 
specified in section 4.2 for the each generalized climatic region 
and for each standardized design heating requirement within each 
region, Btu/W.h.

    The SEER, Qc\k\(95), DHR, and C are the same 
quantities as defined in section 4.4.1. Figure 1 shows the 
generalized climatic regions.

    Table 22--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
                 Region                        CLHR            HLHR
------------------------------------------------------------------------
I.......................................            2400             750
II......................................            1800            1250
III.....................................            1200            1750
IV......................................             800            2250
V.......................................             400            2750
VI......................................             200            2750
------------------------------------------------------------------------

    4.5. Rounding of SEER, HSPF, and APF for reporting purposes. 
After calculating SEER according to section 4.1, HSPF according to 
section 4.2, and APF according to section 4.4, round the values off 
as specified in subpart B 430.23(m) of Title 10 of the Code of 
Federal Regulations.

[[Page 69454]]

[GRAPHIC] [TIFF OMITTED] TP09NO15.440

    4.6 Calculations of the SHR, which should be computed for 
different equipment configurations and test conditions specified in 
Table 23.

[[Page 69455]]



                 Table 23 Applicable Test Conditions For Calculation of the Sensible Heat Ratio
----------------------------------------------------------------------------------------------------------------
                                          Reference
       Equipment configuration          Table No. of     SHR computation with            Computed values
                                         Appendix M          results from
----------------------------------------------------------------------------------------------------------------
Units Having a Single-Speed                         4  B Test.................  SHR(B).
 Compressor and a Fixed-Speed Indoor
 blower, a Constant Air Volume Rate
 Indoor blower, or No Indoor blower.
Units Having a Single-Speed                         5  B2 and B1 Tests........  SHR(B1), SHR(B2).
 Compressor That Meet the Section
 3.2.2.1 Indoor Unit Requirements.
Units Having a Two-Capacity                         6  B2 and B1 Tests........  SHR(B1), SHR(B2).
 Compressor.
Units Having a Variable-Speed                       7  B2 and B1 Tests........  SHR(B1), SHR(B2).
 Compressor.
----------------------------------------------------------------------------------------------------------------

    The SHR is defined and calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TP09NO15.441
    
Where both the total and sensible cooling capacities are determined 
from the same cooling mode test and calculated from data collected 
over the same 30-minute data collection interval.

    4.7 Calculations of the Energy Efficiency Ratio (EER). Calculate 
the energy efficiency ratio using,
[GRAPHIC] [TIFF OMITTED] TP09NO15.442

    Where Qc\k\(T) and [Edot]c\k\(T) are the 
space cooling capacity and electrical power consumption determined 
from the 30-minute data collection interval of the same steady-state 
wet coil cooling mode test and calculated as specified in section 
3.3. Add the letter identification for each steady-state test as a 
subscript (e.g., EERA2) to differentiate among the 
resulting EER values.

0
12. Section 430.32 is amended by revising paragraph (c) to read as 
follows:


Sec.  430.32  Energy and water conservation standards and their 
compliance dates.

* * * * *
    (c) Central air conditioners and heat pumps. The energy 
conservation standards defined in terms of the heating seasonal 
performance factor are based on Region IV, the minimum standardized 
design heating requirement, and the provisions of 10 CFR 429.16 of this 
chapter.
    (1) Each basic model of single-package central air conditioners and 
central air conditioning heat pumps and each individual combination of 
split-system central air conditioners and central air conditioning heat 
pumps manufactured on or after January 1, 2015, shall have a Seasonal 
Energy Efficiency Ratio and Heating Seasonal Performance Factor not 
less than:

------------------------------------------------------------------------
                                             Seasonal         Heating
                                              energy         seasonal
              Product class                 efficiency      performance
                                           ratio  (SEER)   factor (HSPF)
------------------------------------------------------------------------
(i) Split-system air conditioners.......              13  ..............
(ii) Split-system heat pumps............              14             8.2
(iii) Single-package air conditioners...              14  ..............
(iv) Single-package heat pumps..........              14             8.0
(v) Small-duct, high-velocity systems...              12             7.2
(vi)(A) Space-constrained products--air               12  ..............
 conditioners...........................
(vi)(B) Space-constrained products--heat              12             7.4
 pumps..................................
------------------------------------------------------------------------

    (2) In addition to meeting the applicable requirements in paragraph 
(c)(2) of this section, products in product class (i) of that paragraph 
(i.e., split-system air conditioners) that are installed on or after 
January 1, 2015, and

[[Page 69456]]

installed in the States of Alabama, Arkansas, Delaware, Florida, 
Georgia, Hawaii, Kentucky, Louisiana, Maryland, Mississippi, North 
Carolina, Oklahoma, South Carolina, Tennessee, Texas, or Virginia, or 
in the District of Columbia, shall have a Seasonal Energy Efficiency 
Ratio not less than 14. The least efficient combination of each basic 
model must comply with this standard.
    (3) In addition to meeting the applicable requirements in 
paragraphs (c)(2) of this section, products in product classes (i) and 
(iii) of paragraph (c)(2) (i.e., split-system air conditioners and 
single-package air conditioners) that are installed on or after January 
1, 2015, and installed in the States of Arizona, California, Nevada, or 
New Mexico shall have a Seasonal Energy Efficiency Ratio not less than 
14 and have an Energy Efficiency Ratio (at a standard rating of 
95[emsp14][deg]F dry bulb outdoor temperature) not less than the 
following:

------------------------------------------------------------------------
                                                              Energy
                      Product class                         efficiency
                                                           ratio  (EER)
------------------------------------------------------------------------
(i) Split-system rated cooling capacity less than 45,000            12.2
 Btu/hr.................................................
(ii) Split-system rated cooling capacity equal to or                11.7
 greater than 45,000 Btu/hr.............................
(iii) Single-package systems............................            11.0
------------------------------------------------------------------------

    The least efficient combination of each basic model must comply 
with this standard.
    (4) Each basic model of single-package central air conditioners and 
central air conditioning heat pumps and each individual combination of 
split-system central air conditioners and central air conditioning heat 
pumps manufactured on or after January 1, 2015, shall have an average 
off mode electrical power consumption not more than the following:

------------------------------------------------------------------------
                                                            Average off
                                                            mode power
                      Product class                         consumption
                                                              PW,OFF
                                                              (watts)
------------------------------------------------------------------------
(i) Split-system air conditioners.......................              30
(ii) Split-system heat pumps............................              33
(iii) Single-package air conditioners...................              30
(iv) Single-package heat pumps..........................              33
(v) Small-duct, high-velocity systems...................              30
(vi) Space-constrained air conditioners.................              30
(vii) Space-constrained heat pumps......................              33
------------------------------------------------------------------------

* * * * *
[FR Doc. 2015-23439 Filed 11-6-15; 8:45 a.m.]
BILLING CODE 6450-01-P