Energy Conservation Program: Test Procedures for Central Air Conditioners and Heat Pumps, 36991-37120 [2016-12592]

Agencies

• DEPARTMENT OF ENERGY

[Federal Register Volume 81, Number 110 (Wednesday, June 8, 2016)]
[Rules and Regulations]
[Pages 36991-37120]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-12592]



[[Page 36991]]

Vol. 81

Wednesday,

No. 110

June 8, 2016

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; Final Rule

Federal Register / Vol. 81 , No. 110 / Wednesday, June 8, 2016 / 
Rules and Regulations

[[Page 36992]]


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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: Final rule.

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SUMMARY: On November 9, 2015, the U.S. Department of Energy (DOE) 
issued a supplemental notice of proposed rulemaking (SNOPR) to amend 
the test procedure for central air conditioners and heat pumps. That 
proposed rulemaking serves as the basis for the final rule. The final 
rule, in addition to satisfying the agency's obligation to periodically 
review its test procedures for covered equipment, amends specific 
certification, compliance, and enforcement provisions related to this 
product. In the final rule DOE makes the following amendments to the 
current test procedure: a new basic model definition as it pertains to 
central air conditioners and heat pumps and revised requirements for 
represented values; revised alternative efficiency determination 
methods; termination of active waivers and interim waivers; procedures 
to determine off mode power consumption; changes to the test procedure 
that would improve test repeatability and reduce test burden; and 
clarifications to ambiguous sections of the test procedure intended 
also to improve test repeatability and reproducibility Some of these 
amendments also include incorporation by reference of updated industry 
standards.

DATES: The effective date of this rule is July 8, 2016. The final rule 
changes will be mandatory for representations of efficiency starting 
December 5, 2016. The incorporation by reference of certain 
publications listed in this rule was approved by the Director of the 
Federal Register on July 8, 2016.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at 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 regulations.gov site. The regulations.gov Web page will 
contain simple instructions on how to access all documents, including 
public comments, in the docket.
    For further information on how to review the docket, contact Ms. 
Brenda Edwards at (202) 586-2945 or by email: 
Brenda.Edwards@ee.doe.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 Jochum, 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.Jochum@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: This final rule incorporates by reference 
into part 430 specific sections, figures, and tables in the following 
industry standards:
    (1) ANSI/AHRI 210/240-2008 with Addenda 1 and 2, (``AHRI 210/240-
2008''): 2008 Standard for Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment, ANSI approved 27 October 
2011;
    (2) ANSI/AHRI 1230-2010 with Addendum 2, (``AHRI 1230-2010''): 2010 
Standard for Performance Rating of Variable Refrigerant Flow (VRF) 
Multi-Split Air-Conditioning and Heat Pump Equipment, ANSI approved 
August 2, 2010;
    Copies of AHRI 210/240-2008 and 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 .
    (3) ANSI/ASHRAE 23.1-2010, (``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, ANSI approved January 28, 2010;
    (4) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37-2009''), 
Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment, ANSI approved June 25, 2009;
    (5) ANSI/ASHRAE 41.1-2013, (``ANSI/ASHRAE 41.1-2013''): Standard 
Method for Temperature Measurement, ANSI approved January 30, 2013;
    (6) ANSI/ASHRAE 41.6-2014, (``ASHRAE 41.6-2014''): Standard Method 
for Humidity Measurement, ANSI approved July 3, 2014;
    (7) ANSI/ASHRAE 41.9-2011, (``ASHRAE 41.9-2011''): Standard Methods 
for Volatile-Refrigerant Mass Flow Measurements Using Calorimeters, 
ANSI approved February 3, 2011
    (8) ANSI/ASHRAE 116-2010, (``ASHRAE 116-2010''): Methods of Testing 
for Rating Seasonal Efficiency of Unitary Air Conditioners and Heat 
Pumps, ANSI approved February 24, 2010.
    (9) ANSI/ASHRAE 41.2-1987 (Reaffirmed 1992), (``ASHRAE 41.2-1987 
(RA 1992)''): ``Standard Methods for Laboratory Airflow Measurement'', 
ANSI approved October 1, 1987.
    Copies of ASHRAE 23.1-2010, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-
2013, ASHRAE 41.6-2014, ASHRAE 41.9-2011, ASHRAE 116-2010, and ASHRAE 
41.2-1987 (RA 1992) can be purchased from ASHRAE's Web site at https://
www.ashrae.org/resources--publications.
    (10) ANSI/AMCA 210-2007, ANSI/ASHRAE 51-2007, (``AMCA 210-2007'') 
Laboratory Methods of Testing Fans for Certified Aerodynamic 
Performance Rating, August 17, 2007;
    Copies of AMCA 210-2007 can be purchased from AMCA's Web site at 
https://www.amca.org/store/index.php.
    For a further discussion of these standards, see section IV.N.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Summary of the Final Rule
III. Discussion
    A. Definitions, Testing, Represented Values, and Compliance of 
Basic Models of Central Air Conditioners and Heat Pumps
    1. Basic Model Definition
    2. Additional Definitions
    3. Determination of Represented Values
    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

[[Page 36993]]

    3. Elimination of the Pre-Approval Requirement
    4. AEDM Validation
    5. AEDM Verification Testing
    6. Failure to Meet Certified Represented Values
    7. Action Following a Determination of Noncompliance
    8. AEDM for Off Mode
    C. Waiver Procedures
    1. Air-to-Water Heat Pumps and Air Conditioners
    2. Clarification of the Test Procedure Pertaining to Multi-
Circuit Products
    3. Clarification of the Test Procedure Pertaining to Multi-
Blower Products
    D. Measurement of Off Mode Power Consumption
    1. Test Temperatures
    2. Calculation and Weighting of P1 and P2
    3. Time Delay Credit and Removal of Calculations for Off Mode 
Energy Consumption and Annual Performance Factor
    4. Impacts on Product Reliability
    5. Off Mode Power Consumption for Intelligent Compressor Heat 
Control
    6. Off Mode Test Voltage for Dual-Voltage Units
    7. Off Mode Test Tolerance
    8. Organization of Off Mode Test Procedure
    9. Certification
    10. Compliance Dates
    E. Test Repeatability Improvement and Test Burden Reduction
    1. Indoor Fan Speed Settings for Blower Coil or Single-Package 
Systems
    2. Air Volume Rate Adjustment for Coil-Only Systems
    3. Requirements for the Refrigerant Lines and Mass Flow Meter
    4. Outdoor Room Temperature Variation
    5. Method of Measuring Inlet Air Temperature on the Outdoor Side
    6. Requirements for the Air Sampling Device
    7. Variation in Maximum Compressor Speed with Outdoor 
Temperature
    8. Refrigerant Charging Requirements
    9. Alternative Arrangement for Thermal Loss Prevention for 
Cyclic Tests
    10. Test Unit Voltage Supply
    11. Coefficient of Cyclic Degradation
    12. Break-in Periods Prior to Testing
    13. Industry Standards that are Incorporated by Reference
    14. References to ASHRAE 116-1995 (RA 2005)
    15. Additional Changes Based on AHRI 210/240-Draft
    16. Damping Pressure Transducer Signals
    17. Clarify Inputs for the Demand Defrost Credit Equation
    18. Improving Test Consistency Associated with Indoor Unit Air 
Inlet Geometry
    F. Clarification of Test Procedure Provisions
    1. Manufacturer Consultation
    2. Incorporation by Reference of AHRI 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
    6. Clarifying the Housing for Uncased Coil
    7. Test Procedure Reprint
    G. Additional Comments from Interested Parties
    1. Wet Coil Performance
    2. Barometric Pressure Correction
    3. Inlet Screen
    H. Compliance with other Energy Policy and Conservation Act 
Requirements
    1. Dates
    2. Measured Energy Use
    3. Test Burden
    4. 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. Congressional Notification
    N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    Title III, Part B \1\ of the Energy Policy and Conservation Act of 
1975 (``EPCA'' or ``the Act''), Public Law 94-163 (42 U.S.C. 6291-6309, 
as codified) sets forth a variety of provisions designed to improve 
energy efficiency and established the Energy Conservation Program for 
Consumer Products Other Than Automobiles.\2\ These products include 
single-phase central air conditioners and central air conditioning heat 
pumps \3\ with rated cooling capacities less than 65,000 British 
thermal units per hour (Btu/h), which are the focus of this Final Rule. 
(42 U.S.C. 6291(1)-(2), (21) and 6292(a)(3))
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    \1\ For editorial reasons, Part B was codified as Part A in the 
U.S. Code.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015, 
Public Law 114-11 (Apr. 30, 2015).
    \3\ Where this notice uses the term ``CAC/HP'', they are in 
reference specifically to central air conditioners and heat pumps as 
defined by EPCA.
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    Under EPCA, DOE's energy conservation program generally consists of 
four parts: (1) testing; (2) labeling; (3) Federal energy conservation 
standards; and (4) certification and enforcement. The testing 
requirements consist of test procedures that manufacturers of covered 
products must use as the basis for: (1) certifying to DOE that their 
products comply with applicable energy conservation standards adopted 
pursuant to EPCA, and (2) making other representations about the 
efficiency of those products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) 
Similarly, DOE must use these test procedures to determine whether 
covered products comply with any relevant standards promulgated under 
EPCA. (42 U.S.C. 6295(s))
    EPCA sets forth criteria and procedures DOE must follow when 
prescribing or amending test procedures for covered products. (42 
U.S.C. 6293(b)(3)) EPCA provides, in relevant part, that any test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results which measure the 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. Id.
    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)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the amended test 
procedure would alter the measured energy efficiency of any covered 
product as determined under the existing test procedure. (42 U.S.C. 
6293(e)(1))
    The Energy Independence and Security Act of 2007 (EISA 2007), 
Public Law 110-140, amended EPCA to require that, at least once every 7 
years, DOE must review test procedures for all covered products and 
either amend the test procedures (if the Secretary determines that 
amended test procedures would more accurately or fully comply with the 
requirements of 42 U.S.C. 6293(b)(3)) or publish a notice in the 
Federal Register of any determination not to amend a test procedure. 
(42 U.S.C. 6293(b)(1)(A))
    DOE last published a test procedure final rule for central air 
conditioners and heat pumps on October 22, 2007. 72 FR 59906. The 
existing DOE test method for central air conditioners and heat pumps 
adopted pursuant to that rule appears at 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''). That

[[Page 36994]]

procedure establishes the currently permitted means for determining 
energy efficiency and annual energy consumption of these products. The 
amendments in this final rule will not alter the measured efficiency of 
central air conditioners and heat pumps.
    EISA 2007 also 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 
final rule includes modifications 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/or 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 final rule amends the test procedure concerning several waivers.

B. Background

    This final rule addresses proposals and comments from three 
separate rulemakings, two guidance documents, and two working groups: 
(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 
(AEDMs) (Docket No. EERE-2011-BT-TP-0024); (3) the recommendations of 
the regional standards enforcement Working Group (Regional Standards 
Enforcement Working Group) (Docket No. EERE-2011-BT-CE-0077); (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) 
stakeholder comments from a request for information regarding energy 
conservation standards as well as the recommendations of the central 
air conditioner and heat pump energy conservation standards Working 
Group (CAC/HP ECS Working Group) (Docket No. EERE-2014-BT-STD-0048).
1. Proposals for Off Mode Test Procedures
    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 (Public Meeting Transcript, Doc. ID. EERE-2009-BT-TP-0004-0005). 
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. Under the June 2011 DFR, central air conditioning and heat 
pump units manufactured on or after January 1, 2015, would be subject 
to the published standard for off mode electrical power consumption. 10 
CFR 430.32(c)(6). However, DOE has issued an enforcement policy 
statement regarding off mode standards for central air conditioners and 
central air conditioning heat pumps \4\ (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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    \4\ 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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2. Proposals for AEDMs
    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 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 (Dec. 31, 2013).
3. Regional Enforcement Standards Working Group and Guidance Documents
    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 Regional Standards Enforcement 
Working Group. 79 FR 33870. On July 16, 2014, the Department published 
a notice of membership announcing the eighteen nominees that were 
selected to serve as members of the Regional Standards Enforcement 
Working Group, in addition to two members from Appliance Standards and 
Rulemaking Federal Advisory Committee (ASRAC), and one DOE 
representative. 79 FR 41456. The Regional Standards Enforcement 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 Regional Standards Enforcement 
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 Regional Standards Enforcement Working Group as set forth in its 
recommendations. (Docket No. EERE-2011-BT-CE-0077-0070, Attachment) The 
amendments in this final rule supplant the August 19 and 20, 2014 draft 
guidance documents; DOE will not finalize the draft guidance documents 
and instead has provided any necessary clarity through this final rule. 
DOE believes the amendments are consistent with the intent of the 
Regional Standards Enforcement Working Group.

[[Page 36995]]

4. Energy Conservation Standards and 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.
    On July 14, 2015, DOE published a notice of intent to establish the 
central air conditioners and heat pumps working group (CAC/HP ECS 
Working Group) to negotiate a notice of proposed rulemaking (NOPR) for 
energy conservation standards. 80 FR 40938. This working group was 
established under ASRAC. Ultimately, the CAC/HP ECS Working Group 
consisted of 15 members, including one member from ASRAC and one DOE 
representative. On January 19, 2016, the CAC/HP ECS Working Group 
successfully reached consensus on amended energy conservation standards 
and the associated compliance date for certain product classes of 
central air conditioners and central air conditioning heat pumps, on 
limited aspects of the proposed, amended test procedure appendix M1, 
and also on a handful of other miscellaneous issues related to the 
standards rulemaking as well as to this test procedure final rule. 
(ASRAC Working Group Term Sheet, Docket No. EERE-2014-BT-STD-0048, No. 
0076)
5. Current Rulemaking
    Prior to the conclusion of the CAC/HP ECS Working Group, on 
November 9, 2015, DOE published a third supplemental notice of proposed 
rulemaking (November 2015 SNOPR) for the test procedure of central air 
conditioners and heat pumps. 80 FR 69278. The SNOPR responded to 
relevant comments from the guidance documents and rulemaking dockets 
discussed in this section.
    This final rule addresses certain comments received in response to 
the November 2015 SNOPR. Some of the provisions of the SNOPR, 
particularly related to changes proposed for appendix M1, will be 
addressed in a separate notice. This final rule, along with the 
separate final rule addressing Appendix M1, will fulfill DOE's 
obligation to periodically review its test procedures under 42 U.S.C. 
6293(b)(1)(A).

II. Summary of the Final Rule

    This final rule clarifies aspects of DOE's test procedure for 
central air conditioners and heat pumps to improve the consistency and 
accuracy of the results generated when using that procedure. The rule 
primarily clarifies how to test for compliance with the current energy 
conservation standards. The rule also amends certain certification, 
compliance, and enforcement provisions. While the changes adopted in 
this rulemaking may impact test burden in certain cases, as discussed 
in section III.H.3, DOE has determined that this final rule will not 
change the measured energy efficiency of central air conditioners and 
heat pumps when compared to the current test procedure. Any proposed 
amendments that would change the measured energy efficiency will be 
addressed as part of the new appendix M1, in a separate notice, which 
will be used in conjunction with amended standards.
    DOE revises the basic model definition, adds additional definitions 
for clarity, makes certain revisions to the testing requirements for 
determination of represented values, adds certain certification 
reporting requirements, revises requirements for determination of 
represented values, and adds product-specific enforcement provisions.
    DOE updates 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 makes the following amendments: (1) Revising the 
nomenclature regarding ARMs; (2) rescinding DOE's pre-approval of an 
ARM prior to use; (3) creating AEDM validation requirements; (4) 
revising the AEDM verification testing process; (5) specifying actions 
a manufacturer could take following a verification test failure; and 
(6) clarifying consequences to manufacturers for invalid represented 
values.
    DOE revises 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 for these products, as 
applicable, regarding these products will terminate 180 days after 
publication of this final rule.
    DOE also terminates the existing waivers for air-to-water heat pump 
products integrated with domestic water heating because, as discussed 
in section III.C.1, DOE has determined that these waivers are not valid 
because they do not provide a method for measurement of the efficiency 
metrics used to determine compliance with applicable standards.
    DOE adopts test methods and calculations for off mode power that do 
not impact the measured energy with respect to the current energy 
conservation standard. Specifically, the adopted test procedure 
includes the following:
    (1) Provision of an option to conduct the off mode tests in a 
temperature-controlled room rather than a psychrometric room;
    (2) Elimination of ambient condition requirements for units whose 
off mode power consumption can be measured without control of ambient 
temperature;
    (3) Alteration of the off mode multiplier for modulated 
compressors;
    (4) Addition of requirements on the heating season off mode power 
measurement for units having a crankcase heater whose controls cycle or 
vary crankcase heater power over time;
    (5) Clarification of test sample set-up and power measurement 
testing methodology and components;
    (6) Addition of requirement to eliminate the time delay effect on 
the off mode power measurement; and
    (7) Elimination of the condition where P2 is equal to zero in the 
off mode power consumption calculation.
    In this final rule DOE also improves the repeatability/
reproducibility and reduces the test burden of the test procedure. 
Specifically, DOE amends the following:
    (1) Clarification of fan speed settings;
    (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;

[[Page 36996]]

    (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) Inclusion of information from the draft AHRI 210/240;
    (14) Addition of provisions regarding damping of pressure 
transducer signals to avoid exceeding test operating tolerances due to 
high frequency fluctuations;
    (15) Clarification of inputs for the demand defrost credit 
equation; and
    (16) Improvement of test consistency associated with indoor unit 
air inlet geometry.
    DOE also provides additional detail and specificity with respect to 
several provisions. Specifically, DOE adds reference to an industry 
standard for testing variable refrigerant flow multi-split systems; 
replaces the informative guidance table for using the test procedure; 
clarifies the definition of multi-split systems; clarifies the 
definition of mini-split systems, which DOE now calls multi-head mini-
split systems; and clarifies the housing for uncased coils.
    Lastly, DOE addresses comments received from stakeholders in 
response to the November 2015 SNOPR that were unrelated to any of DOE's 
proposals. Specifically, this includes the following:
    (1) Water condensation metric;
    (2) Barometric pressure correction ; and
    (3) Inlet screen.
    Given the difficulty of writing amendatory instructions to 
implement the many small changes throughout appendix M, DOE has 
provided a full re-print of appendix M in the regulatory text of this 
final rule.
    DOE revises the test procedure in this final rule as reflected in 
the revised Appendix M to Subpart B of 10 CFR part 430 effective on 
July 8, 2016. The amended test procedure is mandatory for 
representations of efficiency as of December 5, 2016.

III. Discussion

    This final rule amends the test procedure for central air 
conditioners and heat pumps in appendix M to subpart B of Part 430 and 
adds new product-specific certification and enforcement provisions in 
10 CFR 429.12, 429.16, 429.70, and 429.134. The rule also amends 
certain definitions found in 10 CFR 430.2 and updates certain materials 
incorporated by reference in 10 CFR 430.3.
    In response to the November 2015 SNOPR, the following 25 interested 
parties submitted written comments: Advanced Distributor Products LLC; 
Air-Conditioning, Heating, and Refrigeration Institute (AHRI); American 
Council for an Energy Efficient Economy (ACEEE); Appliance Standards 
Awareness Project (ASAP); First Co.; Goodman Global, Inc.; Heating, Air 
Conditioning & Refrigeration Distributors International (HARDI); 
Ingersoll Rand; Johnson Controls Inc. (JCI); Lennox International Inc; 
LG Electronics U.S.A., Inc; Mitsubishi Electric Cooling & Heating; 
Natural Resources Defense Council (NRDC); Nortek Global HVAC; Northwest 
Energy Efficiency Alliance (NEEA); Northwest Power and Conservation 
Council (NPCC); Pacific Gas and Electric Company (PG&E); Rheem 
Manufacturing Company (Rheem); San Diego Gas and Electric Company 
(SDG&E); Southern California Edison (SCE); Southern California Gas 
Company (SCG); Unico, Inc.; United Refrigeration, Inc. (URI); United 
Technologies Climate, Controls & Security (UTC), also known as Carrier 
Corporation. NEEA and NPCC submitted a joint comment. PG&E, SDG&E, SCG, 
and SCE, hereafter referred to as the California Investor-Owned 
Utilities (California IOUs), also submitted a joint comment. ACEEE, 
ASAP, and NRDC, hereafter referred to as the Efficiency Advocates, also 
submitted a joint comment.
    Interested parties provided comments on a range of issues, 
including those DOE identified in the November 2015 SNOPR, as well as 
several other pertinent issues related to DOE's proposal. Commenters 
also offered thoughts on further opportunities to improve the clarity 
of the test procedure. These issues, as well as DOE's responses to them 
and the resulting changes to DOE's proposal, are discussed in the 
subsequent sections. A parenthetical reference at the end of a comment 
quotation or paraphrase provides the location of the item in the public 
record.\5\
---------------------------------------------------------------------------

    \5\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to amend the 
test procedures for central air conditioners and heat pumps. (Docket 
No. EERE-2009-BT-TP-0004, which is maintained at https://www.regulations.gov/#!docketDetail;D=EERE-2009-BT-TP-0004). The 
references are arranged as follows: (commenter name, comment docket 
ID number, page of that document).
---------------------------------------------------------------------------

A. Definitions, Testing, Represented Values, 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 
were discussed in the November 2015 SNOPR. DOE 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). DOE 
makes additional modifications in this final rule in response to 
comment on the November 2015 SNOPR as well as the recommendations of 
the CAC/HP ECS Working Group (Docket No. Docket No. EERE-2014-BT-STD-
0048, No. 76). The adopted changes supplant the two draft guidance 
documents; DOE will not finalize the draft guidance documents and has 
instead provided any necessary clarity through this final rule.
1. Basic Model Definition
    In the November 2015 SNOPR, DOE proposed modifying its basic model 
definition for central air conditioners and heat pumps. 80 FR at 69282-
4 (Nov. 9, 2015). Under DOE's proposal, manufacturers could consider 
each individual model/combination its own basic model, or manufacturers 
could 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 
proposed to further define (for both single-package units and split 
systems) the physical characteristics necessary to assign individual 
models or

[[Page 36997]]

combinations to the same basic model. 80 FR 69278, 69282-83 (Nov. 9, 
2015).
    DOE proposed that, if a manufacturer chooses to assign each 
individual model or combination to its own basic model, the 
manufacturer must test each individual model/combination--and that an 
AEDM could not be applied. 80 FR 69278, 69283 (Nov. 9, 2015). 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 proposed that each individual combination within a 
basic model must be certified with a rating determined for that 
individual combination. However, only one individual combination in 
each basic 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. 80 FR 69278 at 69283 (Nov. 9, 
2015).
    Comments on these proposals are discussed in the following 
sections.
a. Basic Model Framework
    The Joint Advocates of ACEEE, NRDC and ASAP (``Joint Advocates'') 
supported the proposed changes to the definition of a basic model and 
related testing and certification requirements. The Joint Advocates 
stated that they believe that the clarified testing requirements would 
reduce testing burden on manufacturers. (ACEEE, NRDC and ASAP, No. 72 
at p. 1) Nortek supported DOE's proposal that manufacturers would have 
a choice in how to assign individual models or combinations to basic 
models. (Nortek, No. 58 at p. 3) ADP and Lennox supported the use of 
the basic model as the basis for any enforcement action as discussed in 
Section III.A.8 (80 FR 69278, 69297 (Nov. 9, 2015)) and the proposed 10 
CFR 429. (ADP, No. 59 at p. 7; Lennox, No. 61 at p. 14)
    NEEA and NPCC commented that DOE's proposed approach that all 
combinations within the basic model are deemed noncompliant if only one 
of the combinations within a basic model fails does not align with the 
other aspects of DOE's current proposal, in which each and every 
combination has its own certified rating. (NEEA and NPCC, No. 64 at p. 
2-3)
    Carrier/UTC expressed the concern that if one combination amongst 
potentially hundreds of combinations rated with a given outdoor unit 
fails then the entire basic model will be removed from the market and 
claimed that it is excessively punitive. Further, Carrier/UTC 
recommended a provision for saving the remaining indoor combinations of 
the basic model such as testing the tested combination and one (or 
more) other random indoor combinations. Carrier/UTC stated that the de-
listing of the product should be limited to the combination that 
failed, not the entire basic model. (Carrier/UTC, No. 62 at pp. 5-6)
    NEEA and NPCC further commented that they presume that DOE's 
ratings guidance of August 19 and 20, 2014, would also be impacted by a 
requirement to rate all outdoor and indoor unit combinations and the 
proposal with regard to testing-derived versus AEDM-derived ratings. 
They asserted that the proposal would seem to require the rating of 
both coil-only and blower coil combinations, with the choice of either 
using the highest sales volume combination being tested (and all other 
combinations rated using an AEDM), or testing each combination as its 
own basic model. (NEEA and NPCC, No. 64 at p. 2-3)
    In response to NEEA and NPCC, DOE disagrees that DOE cannot make a 
determination of compliance on a basic model basis simply because DOE 
permits the manufacturer to make different representations for 
combinations within a basic model. In response to NEAA, NPCC, and UTC/
Carrier, DOE notes that it developed the proposal for the basic model 
framework in an effort to balance manufacturer test burden and risk. 
The determination of compliance with the standard is made at the basic 
model level, and the manufacturer may choose how to group models into 
basic models and whether or not to make use of an AEDM for represented 
values of combinations. DOE expects that the individual combinations 
grouped into a single basic model would have similarities that would 
make validation of one of the individual model/combination's 
represented values a strong indication of the accuracy of the 
represented values of the other models/combinations--if the represented 
values are indeed different. DOE also notes that when manufacturers use 
an AEDM and DOE finds an invalid rating, manufacturers can conduct re-
testing to re-certify the individual model/combination, as described in 
section 429.70.
    DOE also notes that, as stated in the November 2015 SNOPR, this 
final rule will supplant DOE's draft ratings guidance documents, which 
will not be finalized. Finally, DOE notes in response to NEEA and NPCC 
that the basic model framework itself does not determine whether both 
coil-only and blower coil combinations must be rated; this is further 
discussed in section III.A.3.a. Given the support for the basic model 
framework voiced by many of the commenters, DOE adopts the framework as 
proposed in the SNOPR.
b. General Definition Comments
    AHRI and several manufacturers including UTC/Carrier, ADP, Lennox, 
Nortek, and Unico agreed generally with DOE's proposal to modify its 
basic model definition. (AHRI, No. 70 at p. 3; UTC/Carrier, No. 62 at 
p. 5-6; ADP, No. 59 at p. 7; Lennox, No. 61 at p. 14; Nortek, No. 58 at 
p. 3; Unico, No. 63 at p. 4) Rheem recommended that DOE adopt the 
industry standard definition for basic model, as defined by AHRI. 
(Rheem, No. 69 at p. 4) As described below, several commenters 
requested additional modifications to DOE's proposed definitions; these 
comments are discussed below, along with revisions to the proposed 
definitions.
c. Split Systems Manufactured by OUMs and Single-Package Systems
    For split systems manufactured by OUMs and single-package systems, 
AHRI, Lennox, Ingersoll Rand, Rheem, and Nortek recommended the removal 
of ``the auxiliary refrigeration system components if present (e.g., 
expansion valve) and controls'' from the proposed basic model 
definition. Lennox and Nortek commented that adding these components to 
the definition can greatly expand the number of basic models. (AHRI, 
No. 70 at p. 3; Lennox, No. 61 at p. 4; Ingersoll Rand, No. 65 at p. 
11; Rheem, No. 69 at p. 4; Nortek, No. 58 at p. 3) Additionally, Lennox 
and Nortek suggested that there would not be a benefit to expanding the 
definition of basic model beyond the currently accepted industry 
practice as outlined in AHRI's certification program. (Lennox, No. 61 
at p. 4; Nortek, No. 58 at p. 3) DOE understands Lennox and Nortek are 
referring to the concept of a ``basic model group'' as the term is 
described in the AHRI Operations Manual for Unitary Small Air-
Conditioners and Air-Source Heat Pumps, in section 1.5, ``Basic Model 
Groups (BMGs).''
    After reviewing the comments, DOE acknowledges that while use of 
different auxiliary refrigeration system components may impact measured 
performance, it may not do so significantly--for example, measurements 
made using two different thermostatic expansion valves that both 
maintain the same superheat should not be different. In an effort to 
balance manufacturer test burden with the

[[Page 36998]]

regulatory needs of the program to establish an appropriate basic model 
definition, DOE has not included the phrase ``auxiliary refrigeration 
system components if present (e.g., suction accumulator, reversing 
valve, expansion valve) and controls'' in the ``basic model'' 
definition for split systems manufactured by OUMs or for single-package 
systems. DOE notes, however, that each manufacturer is responsible for 
minor variations in efficiency differences resulting from such changes 
in design.
    For the definition of a basic model for OUMs, Goodman agreed with 
DOE's overall direction. However, Goodman commented that DOE's proposed 
definition was too rigid and would not provide enough design 
flexibility to manufacturers. Specifically, Goodman cited the 
importance of the ability for a manufacturer to vary many aspects of 
its outdoor coils (e.g., style and fin depth) and to source components, 
such as compressors, from multiple component manufacturers. Goodman 
asserted that this flexibility in design would allow manufacturers to 
provide combinations that optimize their product offering to consumers, 
while still yielding similar performance and therefore meriting 
classification under a single basic model. Goodman suggested revised 
basic model definitions for split systems manufactured by OUMs and 
single-package systems in which the list of parameters affecting 
performance (e.g., compressor and outdoor coil properties) that had 
been proposed to define a distinct model be instead provided as 
guidance for the OUM to consider when deciding whether two variations 
of a design should have the same model number. (Goodman, No. 73 at pp. 
2-3)
    In response to Goodman, DOE recognizes the importance of allowing 
manufacturers flexibility in design. DOE agrees with Goodman that, for 
instance, using compressors from different compressor manufacturers in 
two different models should not require the manufacturer to classify 
these models as two separate basic models, if the models can still 
reasonably be described as having ``essentially identical 
characteristics.'' However, DOE believes that Goodman's suggested 
revised definitions, by providing guidance but no requirements, would 
allow widely varying characteristics under the same model of outdoor 
unit or single-package unit. Rather than moving to definitions that 
provide flexibility limited only by guidance, DOE has instead modified 
the definitions to allow some design flexibility, while assuring that a 
large departure from a given design would require that the OUM 
establish a new basic model. In the definitions established in this 
final rule for basic model for split systems manufactured by OUMs and 
single-package systems, DOE has removed certain requirements proposed 
in the November 2015 SNOPR, and added tolerances for the remaining 
requirements. Specifically, these modifications from the proposal 
include: (1) Establishing a five percent tolerance for compressor 
displacement, capacity, and power input; (2) removing requirements for 
several outdoor coil parameters; (3) adding a five percent tolerance to 
the face area and total fin surface area of the outdoor coil; (4) 
adding a ten percent tolerance on outdoor airflow, and (5) for single-
package systems, allowing a ten percent tolerance on indoor airflow and 
a twenty percent tolerance on power input to the indoor fan motor.
    In the basic model definition proposed in the November 2015 SNOPR 
for split systems manufactured by OUMs and single-package systems, DOE 
specified that all individual models or combinations in a basic model 
must have the same or comparably performing compressor(s) with the 
``same displacement rate (volume per time) and same capacity and power 
input when tested under the same operating conditions.'' 80 FR 69278, 
69341 (Nov. 9, 2015). In order to promote design flexibility, DOE is 
adopting less stringent requirements in the basic model definition 
amended in this final rule by adding a five percent tolerance to the 
displacement rate and capacity and power input. DOE's research suggests 
that comparable compressors made by different manufacturers vary by 
less than two percent in displacement rate and capacity and power input 
when tested under the same conditions. Therefore, DOE believes that a 
five percent tolerance allows manufacturers the option to use 
comparably performing compressors from different manufacturers in 
models without having to classify the models as separate basic models. 
Additionally, in the definition established in this final rule, DOE 
explains that the tolerances on compressor parameters refer to the 
values rated by the compressor manufacturer, not the performance of 
individual compressors.
    In this final rule, DOE is adopting less stringent requirements for 
classifying as comparably performing outdoor coil(s) in the basic model 
definition for split systems manufactured by OUMs and single-package 
systems. To provide more flexibility to manufacturers, DOE is not 
adopting specifications in the basic model definitions for: Coil depth, 
fin style (e.g., wavy, louvered), fin density (fins per inch), tube 
pattern, tube diameter, tube wall thickness, and tube internal 
enhancement. However, DOE has added a five percent tolerance to the 
face area and total fin surface area for outdoor coils. This tolerance 
on the outdoor coil areas will allow manufacturers to vary their 
designs while achieving similar performance, such as adding another row 
perpendicular to the airflow direction to the outdoor coil to 
compensate for using a more energy-consuming compressor.
    Additionally, DOE is adding tolerances to the requirements for 
classifying as comparably performing outdoor fan(s) in the basic model 
definition for split systems manufactured by OUMs and single-package 
systems. DOE is adding a ten percent tolerance on outdoor fan airflow. 
DOE believes that this tolerance will allow manufacturers to make 
adjustments to the fans, such as increasing the number, diameter, or 
design of fan blades, without classifying comparably performing models 
as separate basic models.
    UTC/Carrier agreed with DOE's proposal to align the basic model 
definition with that used by AHRI; however, they asserted that the list 
of additional reporting requirements is excessive and burdensome. 
Specifically, UTC/Carrier stated that some of these components do not 
affect the performance of the system, are considered proprietary, and 
need not be reported. Additionally, they stated that some of these 
minor components may change due to sourcing availability. UTC/Carrier 
recommended that DOE align the basic model exactly with AHRI's basic 
model group definition: Compressor model, outdoor coil face area, and 
outdoor airflow, and not require any additional data to be reported. 
(UTC/Carrier, No. 62 at p. 2)
    For split systems manufactured by OUMs, Lennox recommended that the 
proposed OUM basic model definition be revised to more closely align 
with industry practices and recommended that the definition of outdoor 
coil be revised to protect business sensitive information. (Lennox, No. 
61 at p. 4) Specifically, Lennox requested that the definition of 
outdoor coil-only include the words ``same face area and depth, 
style.'' Lennox suggested that DOE remove the remaining specification 
requirements for outdoor coils so that this sensitive business 
information could not be made available to the public and industry 
competitors through a FOIA request. (Lennox, No. 61 at pp. 3-4)

[[Page 36999]]

    DOE acknowledges the importance of avoiding disclosure of 
proprietary or sensitive business information; however, in the November 
2015 SNOPR DOE did not propose any additional certification 
requirements or supplemental test instruction reporting that would 
require disclosure of these parameters about which UTC/Carrier and 
Lennox cited concern. 80 FR 69278, 69338-39 (Nov. 9, 2015). 
Requirements for reporting are limited to those items listed in section 
429.16(e), and mention of a parameter as the basis for distinguishing a 
model does not by itself imply that the value of that parameter must be 
reported in certification reports. DOE notes that it is not requiring 
that manufacturers report the sensitive information such as surface 
area or coil depth for which their basic model determinations are made.
    In response to UTC/Carrier, DOE recognizes that minor components 
may vary in manufacturer designs based on availability from component 
manufacturers. However, DOE believes that the tolerances established in 
this final rule (as previously discussed) around most of the 
requirements in DOE's definition of basic model allow for variation in 
component models and manufacturers. DOE also believes that the 
requirements included in DOE's definition of basic model are necessary 
to ensure units are similar enough to be classified as the same basic 
model. DOE also notes that the definition established in this final 
rule includes tolerances on the compressor model ratings, outdoor coil 
face area, and outdoor airflow; therefore DOE's definition allows more 
flexibility for outdoor coil face area and outdoor airflow than does 
the definition of a split-system model group in the AHRI Operations 
Manual.\6\
---------------------------------------------------------------------------

    \6\ 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--March 2015). 
Available at www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/USE_OM.pdf (Last accessed March 31, 2016.)
---------------------------------------------------------------------------

    In response to Lennox, as previously discussed, DOE has removed 
references to fin material, style, or density or tube thickness in the 
basic model definition established in this final rule, which will 
provide manufacturers with more flexibility in offering a varied 
product offering to consumers while limiting the testing burden.
d. Requirements for Independent Coil Manufacturers
    Several commenters expressed concern about the impact of the 
proposed definition of basic model on ICM test burden. Therefore 
comments regarding the ICM basic model definition are addressed in the 
context of testing required to determine represented values in section 
III.A.3.d.
e. Off-Mode
    Revisions to the test procedure as stated in section III.D of this 
final rule enable the determination of off mode power consumption, 
which reflects the operation of the contributing components: crankcase 
heater and low-voltage controls. In the November 2015 SNOPR, DOE 
proposed 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. Under 
this proposal, if a manufacturer wished to also make representations 
for less consumptive off mode options for the same individual 
combination, the manufacturer could provide separate ratings as long as 
the manufacturer differentiated the individual model numbers for these 
ratings. These individual combinations would be within the same basic 
model. 80 FR 69278, 69284 (Nov. 9, 2015).
    In their comments, NEEA and NPCC strongly supported DOE's proposal 
to require manufacturers to either rate and certify all combinations 
using the most consumptive off-mode power controls and systems, or to 
differentiate models they wish to certify with different off-mode power 
controls and/or systems with different model numbers, each with its own 
certified rating. (NEEA and NPCC, No. 64 at p. 4)
    DOE received no other comments on this proposal and adopts it in 
this final rule.
f. Central Air Conditioner Definition
    In the November 2015 SNOPR, DOE proposed 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 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 proposed 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. 80 FR 69278, 69284 (Nov. 9, 2015).
    Lennox and ADP expressed concern that modifying the CAC/HP 
definition to include ``an indoor unit'' only may have significant 
unintended consequences with additional regulation now applying to 
indoor units. They stated that the indoor unit has no heating or 
cooling capability without being installed as a part of the system, 
that by itself, it is a component, and that the proposed definition is 
factually incorrect and contradicts the DOE's previous position that 
they do not have authority to regulate components of air conditioners. 
Lennox recommended DOE keep the existing definition. (Lennox, No. 61 at 
p. 10; ADP, No. 59 at p. 4)
    DOE notes that the modification of the CAC/HP definition does not 
change the scope of DOE's product coverage and is in line with the 
current certification requirements for CAC/HP. Specifically, ICMs are 
currently responsible for testing and certifying models of indoor units 
they manufacture as part of a split-system combination. DOE received no 
other comment on this topic. For these reasons, DOE is adopting the 
CAC/HP definition as proposed.
2. Additional Definitions
    In the November 2015 SNOPR, in order to specify differences in the 
proposed basic model definition for ICMs and OUMs, DOE proposed 
definitions for an ICM and an OUM. With respect to any given basic 
model, a manufacturer could be an ICM or an OUM. 80 FR 69278, 69284 
(Nov. 9, 2015).
    DOE also proposed to define variable refrigerant flow (VRF) systems 
that are single-phase and less than 65,000 Btu/h as a kind of multi-
split central air conditioner and central air conditioning heat pump 
system. Id.
    Additionally, DOE proposed 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. DOE also proposed to remove entirely 
the definitions for ``condenser-evaporator coil combination'' and 
``coil family,'' as those terms no longer appear in the proposed 
regulations. Id.
    DOE did not receive any comments on these definitions and related 
changes and adopts the proposals in this final rule.
a. Indoor Unit
    In the November 2015 SNOPR, DOE proposed modifying the definition 
of indoor unit to read as follows: ``indoor unit transfers heat between 
the refrigerant and the indoor air, and

[[Page 37000]]

consists of an indoor coil and casing and may include a cooling mode 
expansion device and/or an air moving device.'' 80 FR 69278, 69284 
(Nov. 9, 2015).
    Goodman commented that the definition for indoor unit does not 
fully account for the range of indoor units sold in the market. 
Specifically, Goodman stated that including the casing in the proposed 
indoor unit definition is inconsistent with many industry offerings. 
Goodman also suggested a new definition for indoor unit. (Goodman, No. 
73 at p. 3-5)
    AHRI and Nortek proposed a definition for indoor units that does 
not include casing and/or an expansion device. AHRI and Nortek 
expressed concern that the uncased coil would no longer be within the 
scope of regulation, which could open the doors for a loophole in the 
regulation, or that manufacturers would not be able to list an uncased 
coil with an outdoor unit, resulting in an illegal installation. AHRI 
and Nortek proposed definitions for uncased coil, cased coil, and 
service coil. (AHRI, No. 70 at p. 8; Nortek, No. 58 at p. 3-4). 
Further, AHRI stated that DOE should make clear that service coils will 
not be rated in the future. (AHRI, No. 70 at p. 8)
    UTC/Carrier commented that the exclusion of uncased coils from DOE 
certification represents a significant loophole as uncased coils are 
often installed in various new construction scenarios and should be 
certified. According to UTC/Carrier, DOE should further define the 
replacement component service coils that are used only when the current 
coils fail and are considered service parts and, thus, should not be 
certified to DOE; the treatment of uncased coils in commerce by 
manufacturers as service-only is problematic. (UTC/Carrier, No. 62 at 
p. 3)
    JCI commented that, while some manufacturers use uncased service 
coils, others supply service coils with casings on them. In addition, 
JCI commented that not all uncased coils are service coils. According 
to JCI, there are product families of uncased coils very often sold for 
new construction installations, or installation of new A/C systems in 
the northern parts of the United States. For example, JCI noted that 
often in the northern United States, a new home may be constructed with 
only a furnace for heating and no cooling, and that cooling may be 
added later by installing an uncased coil into the ductwork itself. JCI 
commented that the uncased coil market is a vital part of the northern 
U.S. market, and uncased coils need to be allowed to be rated as valid 
matches with a basic outdoor model. (JCI, No. 66 at p. 12-13). JCI also 
suggested definitions for uncased coil, cased coil, service coil, and 
indoor unit. (JCI, No. 66 at p. 13)
    The California IOUs requested that DOE allow manufacturers to rate 
uncased coils with outdoor condensing units. They reported that 
California Building Energy Efficiency Standards (Title 24) define the 
replacement of any component containing refrigerant to be a system 
alteration requiring verification of refrigerant charge and airflow 
through the coil. (see California Code of Regulations, Title 24, Part 
1, Article 1, Section 150.2(b)(1)F) The California IOUs stated that the 
replacement of an indoor coil is an alteration whether the coil is 
cased or uncased. DOE asserted that DOE's proposal to define uncased 
coils as repair parts and to not require them to be part of a rated 
model would create a compliance problem for contractors in California 
because without ratings, the energy efficiency of the system with an 
uncased coil is not known. The California IOUs stated that in 
applications where the existing coil is removed from the existing case 
and replaced with a new coil, which is then connected to a new outdoor 
unit, the efficiency rating is required to meet Title 24. Therefore, 
the California IOUs requested that DOE allow ratings of combinations 
having uncased indoor coils so that compliance with Title 24 can be 
verified. (California IOUs, No. 67 at p. 2)
    ADP and Lennox commented that they understand the intent of 
excluding uncased coils is to differentiate between indoor units used 
for legacy replacements and new installations, but believe that DOE's 
proposal would create a significant loophole. ADP and Lennox commented 
that uncased coils are used for new installations in a significant 
number of markets in the upper Midwest of the United States where a 
long tradition of skilled sheet metal workers exists. Additionally, 
they asserted that Canada is a predominately uncased coil market and 
relies on manufacturer ratings that have been certified with DOE and 
AHRI. Instead, ADP suggests that DOE require replacement coils not 
subject to certification to carry a different model number than those 
sold for installation as a part of new, certified systems. (ADP, No. 59 
at p. 4-5; Lennox, No. 61 at p. 10)
    After consideration of the comments that uncased coils may be used 
for new installations and that the exclusion of uncased coils from the 
indoor unit definition could result in a significant loophole, DOE is 
adopting a revised definition for an indoor unit such that it ``may or 
may not include . . . (e) external cabinetry''. To distinguish newly 
installed cased and uncased coils from replacement cased and uncased 
coils, DOE has added a definition for service coils and explicitly 
excluded them in the indoor unit definition.
    Indoor unit means part of a split-system air conditioner or heat 
pump that includes (a) an arrangement of refrigerant-to-air heat 
transfer coil(s) for transfer of heat between the refrigerant and the 
indoor air and (b) a condensate drain pan, and may or may not include 
(c) sheet metal or plastic parts not part of external cabinetry to 
direct/route airflow over the coil(s), (d) a cooling mode expansion 
device, (e) external cabinetry, and (f) an integrated indoor blower 
(i.e. a device to move air including its associated motor). A separate 
designated air mover that may be a furnace or a modular blower (as 
defined in Appendix AA to the subpart) may be considered to be part of 
the indoor unit. A service coil is not an indoor unit.
    Service coil means an arrangement of refrigerant-to-air heat 
transfer coil(s) and condensate drain pan that may or may not include 
sheet metal or plastic parts to direct/route airflow over the coil(s), 
external cabinetry, and/or a cooling mode expansion device, and is sold 
exclusively to replace an uncased coil or cased coil that has already 
been placed into service and is labeled accordingly.
    DOE also acknowledges the benefit of including definitions for both 
cased and uncased coils, and adopts the following definitions:
    Cased coil means a coil-only indoor unit with external cabinetry.
    Uncased coil means a coil-only indoor unit without external 
cabinetry.
    In the November 2015 SNOPR, DOE proposed to specify 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 thermostatic expansion valve (TXV). 80 FR 
69278, 69284 (Nov. 9, 2015).
    Goodman commented that DOE should not assume the use of TXV if a 
metering (expansion) device is not specified by the manufacturer. 
Goodman commented that the majority of systems installed today use 
fixed orifice rather than TXV expansion devices. (Goodman, No. 73 at p. 
3-5)
    DOE agrees that many product offerings use fixed orifice or piston 
expansion devices as standard equipment and that it may be more 
suitable to use a fixed orifice or piston

[[Page 37001]]

device if there are no detailed instructions provided in installation 
instructions regarding selection of an expansion device. This is 
because a system installed in the field without such instructions may 
very well perform poorly if an optimized device is not selected. 
Because a TXV generally is likely to provide better performance over a 
range of operating conditions, DOE believes the use of a fixed orifice 
is more consistent with this potential for poor field performance. 
Therefore, DOE is modifying its proposal and requiring instead that a 
fixed orifice or piston expansion device be used if the installation 
instructions do not specify a metering (expansion) device.
b. Blower Coil and Coil-Only Indoor Units
    In the November 2015 SNOPR, DOE proposed definitions for blower 
coil indoor unit and coil-only indoor unit. The motivation was to 
simplify the description of the test requirements by referring to 
blower coil units instead of units ``with an indoor fan installed'' and 
to coil-only units instead of units ``without an indoor fan 
installed''.
    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. 80 FR 69278, 69286 (Nov. 9, 2015).
    ADP and UTC/Carrier agreed with the proposed definitions for blower 
coil and coil-only indoor units. (ADP, No. 59 at p. 6; UTC/Carrier, No. 
62 at p. 3) Lennox agreed with the proposed definitions with the 
exceptions noted in other sections. (Lennox, No. 61 at p. 13) Unico 
agreed with the coil-only indoor definition, except recommended 
removing the word ``modular'' as there is no definition. Unico 
commented that the blower can be anywhere in the system. (Unico, No. 63 
at p. 2) JCI suggested definitions for air handler, blower coil, and 
coil-only. (JCI, No. 66 at p. 13)
    Rheem commented that the proposed definitions for blower coil and 
coil-only indoor units exclude the customary practice in the Northwest 
United States where an uncased coil is installed in a plenum for space-
constrained installations. Rheem stated that under DOE's proposal, a 
certified rating for this system configuration would no longer be 
available to consumers. Rheem noted that there are building inspectors 
who require an AHRI or DOE certified combination including the 
evaporator coil for replacements. (Rheem, No. 69 at p. 5)
    DOE acknowledges that by excluding indoor units without a casing, 
the customary practice identified by Rheem would not be included. As 
noted in the previous section, DOE has addressed this by expanding the 
indoor unit definition to include units which may or may not have 
external cabinetry. The blower coil and coil-only indoor unit 
definitions then build on this updated indoor unit definition. Further, 
DOE has removed, from both the blower coil and coil-only indoor unit 
definitions, language redundant with the indoor unit definition and is 
adopting amended definitions:
    In response to Unico's comment regarding ``modular'', the 
definition explicitly refers to the definition of ``modular blower'' in 
appendix AA. In response to JCI's comment requesting a definition for 
``air handler'', DOE feels that this is not necessary because there are 
few distinctions in the test procedure between test requirements for 
blower coil indoor units that are air handlers (as defined by JCI) and 
blower coil indoor units that are not. In cases where a distinction is 
needed, the regulatory language adequately provides the distinction, 
for example in section 3.13.1.d, ``blower coil split systems for which 
a furnace or a modular blower is the dedicated air mover . . .'', which 
refers to blower coil split systems whose indoor units are not ``air 
handlers''.
3. Determination of Represented Values
    In the November 2015 SNOPR, DOE proposed several regulatory changes 
regarding the relationship between represented values and an effective 
enforcement plan. The changes are described in the following sections.
a. Single-Split-System Air Conditioners Rated by OUMs
    DOE proposed to make changes to 10 CFR 429.16 to revise the testing 
and rating requirements for single-split system air conditioners. These 
changes were proposed to occur in two phases. In the first phase, prior 
to the compliance date of any amended energy conservation standards, 
DOE proposed only a slight change to the current requirements. 
Specifically, DOE proposed that for single-split system air 
conditioners with single speed 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 speed 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. Therefore, both single speed 
and other than single speed 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. 80 FR 69278, 69285-86 (Nov. 9, 2015).
    In the second phase, DOE anticipated that any amended energy 
conservation standards would be based on blower coil ratings. 
Therefore, DOE proposed 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. This proposed change 
would also be accounted for in the parallel energy conservation 
standards rulemaking, and would be contingent upon any proposed amended 
standards being based on blower coil ratings. Id.
    DOE noted 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. Id.

[[Page 37002]]

    DOE also proposed that in the certification report, manufacturers 
state whether each rating is for a coil-only or blower coil 
combination. 80 FR 69278, 69286 (Nov. 9, 2015).
    Following publication of the November 2015 SNOPR, DOE held meetings 
of the CAC/HP ECS Working Group. The CAC/HP ECS Working Group 
recommended consensus energy conservation standards based on coil-only 
ratings rather than blower coil ratings, making the second phase of 
DOE's proposal no longer applicable. Many of the stakeholders who 
submitted comments on DOE's proposal were also members of the CAC/HP 
ECS Working Group, and as a result, their positions may have changed 
over the course of the negotiations. For these reasons, DOE has 
included the consensus recommendations of the CAC/HP ECS Working Group 
that pertain to DOE's proposal but has not included the comments of 
members of the CAC/HP ECS Working Group on the November 2015 SNOPR 
where the scope of the Working Group recommendation encompassed the 
scope of the comment.
    With respect to the coil-only and blower coil requirements, ADP 
agreed with the proposed requirements of the first phase approach. 
(ADP, No. 59 at p. 5-6;)
    JCI agreed with the single speed requirements in Appendix M but did 
not agree with DOE's proposed requirement for two-stage units or multi-
stage units to be tested with a coil-only indoor unit, if any coil-only 
indoor units are listed with that outdoor unit. JCI recommended that 
there should be no change in the current regulatory text for two-stage 
or modulating equipment, and asserted that the spirit of the current 
regulation is met with blower coils remaining as the highest sales 
volume tested combination, even if there are limited loose coil or 
coil-only ratings available. (JCI, No. 66 at p. 5)
    ADP had concerns that testing the highest sales volume combination 
(HSVC) with a blower coil in the second phase (in appendix M1) would 
make it more difficult for ICMs to accurately rate their products 
because of the added uncertainty of the indoor blower watts and airflow 
performance. Under the proposed second phase, with a blower coil indoor 
unit as HSVC, the indoor blower watt value is unknown by the ICM, 
forcing the ICM to estimate the watts, which introduces additional 
uncertainty to ICM ratings. Although ADP and Lennox recognized that 
ICMs could test the HSVC blower coil, they considered this to be an 
unreasonable testing burden on ICMs. (ADP, No. 59 at p. 5-6) ADP 
proposed that DOE require the reporting of indoor watt data, indoor air 
volume rates, and indoor air mover settings and require that they be 
made publicly available. (ADP, No. 59 at p. 5-6) Unico stated that it 
preferred that the HSVC be a coil-only indoor unit so that they would 
be able to properly account for the fan power when rating their 
products. (Unico, No. 63 at p. 2)
    Lennox; the Joint Advocates of ACEEE, NRDC, and ASAP; UTC/Carrier; 
Goodman; and Rheem had submitted comments in regard to the two-phase 
proposal related to coil-only and blower coil requirements. As noted 
previously, these stakeholders were members of the CAC/HP ECS Working 
Group, and as such the comments are not included here.
    JCI commented that the current language used in Appendix M denoting 
the HSVC match cannot be determined with exact statistics and that it 
actually inhibits the adoption of new and promising advancements in 
product design. (JCI, No. 66 at p. 4) In contrast, Unico commented 
that, as an indoor coil manufacturer, it believes it to be important 
that the outdoor unit manufacturer continue to test and rate the HSVC, 
as this is an integral requirement for their AEDM to maintain accuracy. 
(Unico, No. 63 at p. 2)
    UTC/Carrier also submitted a comment related to removal of the HSVC 
requirement. As noted previously, UTC/Carrier was a member of the CAC/
HP ECS Working Group, and as such the comment is not included here.
    In the term sheet, the CAC/HP ECS Working Group recommended that 
DOE implement the following requirements for single-split system air 
conditioners and suggested some implementing regulatory text:
     Every combination distributed in commerce must be rated.
    [cir] Every single-stage and two-stage condensing unit distributed 
in commerce (other than a condensing unit for a 1-to-1 mini split) must 
have at least 1 coil-only rating that is representative of the least 
efficient coil distributed in commerce with a particular condensing 
unit.
     Every condensing unit distributed in commerce must have at 
least 1 tested combination.
    [cir] For single-stage and two-stage condensing units (other than 
condensing units for a 1-to-1 mini split), this must be a coil-only 
combination.
     All other combinations distributed in commerce for a given 
condensing unit may be rated based on the application of an AEDM or 
testing in accordance with the applicable sampling plan.

(Docket No. EERE-2014-BT-STD-0048, No. 76, Recommendation #7)

    DOE notes that this recommendation is similar to DOE's Phase 1 
proposal, as it is based primarily on coil-only values. In particular, 
single-stage and two-stage condensing units may not ever have only a 
blower coil represented value. The Working Group recommendation is 
consistent with ADP and Unico's comments requesting that the tested 
combination be a coil-only unit but inconsistent with JCI's request 
that two-stage units be tested with a blower coil. Given the 
preponderance of stakeholders supporting the recommendation, and the 
fact that multi-stage units may be tested and rated with a blower coil, 
DOE believes that adopting the Working Group recommendation best 
addresses the majority of stakeholder concerns. For these reasons, and 
given that there is no longer a need for a second-phase, DOE is 
adopting the recommendation in the term sheet, which will become 
effective 180 days after publication of this final rule. DOE notes that 
while 1-to-1 mini-splits are not expected to have a coil-only 
represented value, this exception does not appear explicitly in the 
regulatory text. DOE clarifies that since ductless mini-splits are 
never distributed in commerce as coil-only units, there is no coil-only 
value that would be representative. Therefore these units only require 
blower coil represented values. DOE also notes that the Working Group 
recommendation that every condensing unit distributed in commerce have 
at least one tested combination was based on the premise that 
manufacturers would group multiple individual combinations with a 
single model of outdoor unit into a basic model, as allowed in the 
adopted basic model definition. If manufacturers instead choose to make 
every individual combination (using the same model of outdoor unit) a 
separate basic model, each individual combination would be required to 
be tested. This aligns with the basic model framework discussed in 
section III.A.1.a.
    DOE also adopts these recommendations for space-constrained split-
system air conditioners given that they are subject to the same test 
procedure provisions and sampling plans as non-space-constrained 
single-split-system air conditioners.
    DOE notes that both the current test procedure and the test 
procedure proposed in the November 2015 SNOPR requires that the test 
conditions used for testing coil-only units be the same as

[[Page 37003]]

those used for units with single-speed compressors. For example, 
section 3.2.1 of the current Appendix M indicates that these tests, 
listed in Table 4 of Appendix M as proposed, are, ``. . . for a unit . 
. . with no indoor blower installed.'' Because the regulatory approach 
finalized in this notice requires that two-stage condensing units have 
a coil-only test, DOE has removed ``coil-only units'' from the 
description of the units that must be tested using the Table 4 tests.
    DOE notes that the CAC/HP ECS Working Group recommendation also 
removes the requirement that the tested combination be the HSVC. DOE 
believes the Working Group recommendation adequately addresses JCI's 
concern about using the highest sales volume as a tested combination, 
but is inconsistent with Unico's request that OUMs test and rate the 
HSVC. DOE will address this aspect of the recommendation in the 
separate notice and has not adopted it in this final rule.
    Goodman commented that DOE has not adequately accounted for the 
inherent variability and uncertainty existing in the psychrometric test 
procedures in determining that the proposed change requiring two-stage 
units to be tested as coil-only would not affect the certified values. 
Goodman commented that the test methods specified by DOE, AHRI and 
ASHRAE have an uncertainty for steady state testing of approximately 6-
8%. Goodman also noted that ISO 16491:2012 Annex B lists several 
factors associated with the indoor air enthalpy method that contribute 
to uncertainty. Moreover, Table A.3 of ISO 16491:2012 indicates that 
for typical cooling capacity methods, relative expanded uncertainty 
might be 6.8%. Goodman commented that even at 0.05 SEER or 0.05 EER 
below the regional requirements, new test data would therefore either 
require the OUM to test additional samples or would cause a 
once[hyphen]compliant unit to be marked as non[hyphen]compliant for the 
regional standards. (Goodman, No. 73 at p. 17)
    In response to Goodman's concern about this change impacting 
measured energy use, DOE notes that current regulations require testing 
with the evaporator coil that has the largest volume of retail sales 
with the particular model of condensing unit. DOE understands that, for 
two-stage units, this is typically a coil-only combination since many 
homeowners do not replace the furnace at the same time when they 
replace their split-system air conditioning system and therefore that 
manufacturers should represent two-stage units as coil-only 
combinations. At the manufacturer's discretion, the two-stage units 
could also be represented as blower-coil combinations. Therefore, DOE 
does not believe the adopted requirements for two-stage units will 
change the impacted energy use,
b. Split-System Heat Pumps and Space-Constrained Split-System Heat 
Pumps
    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.
    In the November 2015 SNOPR, DOE proposed to slightly modify the 
wording explaining the testing requirement for split-system heat pumps 
to refer to the ``evaporator coil'' and condensing unit'' as the 
``indoor unit'' and ``outdoor unit'', as the word ``outdoor unit'' is 
more appropriate for heat pumps than ``condensing unit''. DOE also 
proposed to apply this same test requirement to space-constrained 
split-system heat pumps. 80 FR 69278, 69286-87 (Nov. 9, 2015).
    DOE received no comment on this proposal, and in this final rule, 
DOE adopts the wording modifications. However, in the separate notice 
regarding Appendix M1, DOE will consider additional modifications based 
on the recommendations of the CAC/HP ECS Working Group with regard to 
split-system air conditioners.
c. Multi-Split, Multi-Circuit, and Multi-Head Mini-Split Systems
    The current requirements in 10 CFR 429.16(a)(2)(ii) specify that 
multi-split systems and mini-split systems designed for installation 
with more than one indoor unit be tested using a ``tested combination'' 
as defined in 10 CFR 430.2.
    In the November 2015 SNOPR, DOE proposed a slight modification to 
the testing requirements for single-zone-multiple-coil\7\ and multi-
split systems and proposed to add similar requirements for testing 
multi-circuit systems (see section III.C.2 for more information about 
these systems). DOE also explained that these requirements apply to VRF 
systems that are single-phase and less than 65,000 Btu/h. For all 
multi-split, multi-circuit, and single-zone-multiple-coil split 
systems, DOE proposed 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, DOE proposed a second 
``tested combination'' composed entirely of short-ducted indoor units 
would be required to be tested. DOE also proposed that a manufacturer 
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. 80 FR 69278, 69287 (Nov. 9, 2015).
---------------------------------------------------------------------------

    \7\ The November 2015 SNOPR defined a single-zone-multiple-coil 
split system as 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. 
In this final rule, DOE has adopted the term multi-head mini-split 
system instead.
---------------------------------------------------------------------------

    Under the November 2015 SNOPR 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 something like ``* * *'' 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 two units of a short-ducted combination, and 
also rates a mixed combination, the manufacturer should specify ``4'' 
as the test sample size for the basic model, while providing the rating 
for each combination. DOE also proposed 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 would provide the individual model numbers for 
the indoor units rather than stating a generic model, such as ``* * 
*''.
    DOE also proposed adding a requirement that, for any models of 
outdoor units also sold with models of small-duct, high velocity (SDHV) 
indoor units, a ``tested combination'' composed entirely of SDHV indoor 
units must be used for testing and rating. However, such a system would 
be certified as a different basic model. 80 FR 69278, 69287 (Nov. 9, 
2015).
    In the November 2015 SNOPR, DOE noted that multi-split systems 
consisting of a model of outdoor unit paired with models of non-ducted 
or short-ducted units should 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 SDHV indoor units 
should meet SDHV standards. DOE also proposed requirements for models 
of outdoor units that were rated and distributed in combinations that 
span multiple product classes to be tested and certified

[[Page 37004]]

as compliant with the applicable standard for each product class. Even 
if a manufacturer would sell a combination including models of both 
SDHV and other non-ducted or short-ducted indoor units, DOE proposed 
that the manufacturer should not provide a mixed rating for such 
combinations. 80 FR 69278, 69287-88 (Nov. 9, 2015).
Use of Term ``Short-Ducted''
    DOE received several comments regarding its use of short-ducted 
systems as well as requests for low-static and mid-static terminology 
and comments regarding conventional ducted systems. Many of these 
systems and ESP requirements were recommended as part of the CAC/HP ECS 
Working Group term sheet and will be discussed in a separate notice.
    In this final rule, DOE has not adopted use of the term short-duct 
and instead refers only to ducted units.
Mixed Represented Values for SDHV and Other Indoor Units
    Several stakeholders commented on whether they supported 
represented values for mixed multi-split systems including models of 
both SDHV and non-ducted or ducted indoor units, and if so, how they 
should be rated and whether the SDHV or split-system standard would be 
most appropriate.
    Nortek commented that some manufacturers publish ratings in the 
AHRI Directory for SDHV and non-ducted as an average value and that it 
is appropriate to maintain this practice for this product as it is for 
the mixed (ducted and non-ducted) indoor multi-split ratings. (Nortek, 
No. 58 at p. 13)
    Unico commented that they publish multi-split ratings for SDHV 
indoor units, non-ducted indoor units and a mixture of SDHV and non-
ducted indoor units. The mixed rating is calculated as an average of 
the other two, which are based on tests. This is the same procedure 
used for ducted (``short-ducted'') and non-ducted indoor units. Unico 
requested the same consideration as all other manufacturers that have 
mixed (ducted and non-ducted) indoor multi-split ratings. (Unico, No. 
63 at p. 3)
    UTC/Carrier questioned whether there is any data available on the 
frequency of application of mixed SDHV and non-ducted, ducted or short 
duct unit systems to determine the need for a separate system rating. 
Lacking this data, UTC/Carrier recommended not supporting mixed multi-
split system ratings for these systems. (UTC/Carrier, No. 62 at p. 4)
    Goodman agreed that SDHV should not be intermixed with 
non[hyphen]ducted or other ducted indoor units, and that SDHV ICMs 
should be required to rate and certify such systems based upon the 
external static pressure associated with the SDHV indoor units. 
(Goodman, No. 73 at p. 13-14)
    Unico agreed with DOE that the SDHV test standard is appropriate 
for testing the multi-split SDHV indoor units. However, Unico asserted 
that, in doing this, it is not necessary to apply a standard for the 
mixed indoor combinations since the ratings are based on other ratings 
that already meet their appropriate standard. (Unico, No. 63 at p. 3)
    NEEA and NPCC supported the rating and certification of systems 
that are distributed in combinations that span more than one product 
class (such as multi-split and SDHV) and stated that these systems must 
be tested and rated so as to meet the standards for all product classes 
represented by the various available combinations. NEEA and NPCC 
suggested that each class rating be listed separately, in accordance 
with the testing and rating requirements for that class, and be so 
identified in the ratings documentation. (NEEA and NPCC, No. 64 at p. 
4)
    After reviewing the comments, DOE has determined that given that 
current industry practice includes mixed represented values for SDHV 
and other non-ducted or ducted indoor units, DOE will explicitly allow 
these mixed represented values based on an average of the represented 
values for each of the homogenous indoor systems. DOE has clarified 
this in 429.16. As noted in the November 2015 SNOPR, SDHV represented 
values must be a separate basic model. Any represented values for a 
mixed system including SDHV and another style of unit (non-ducted or 
ducted) must be in the same basic model as the SDHV model.
Ability To Test Mixed Systems
    Several stakeholders commented on whether they supported having the 
ability to test mixed systems (i.e., systems including both non-ducted 
and ducted indoor units) using the test procedure rather than using an 
average of the other tested systems.
    UTC/Carrier did not support mixed system ratings nor test averaging 
due to consumer confusion, proliferation of ratings, and too many 
permutations. (UTC/Carrier, No. 62 at p. 4) The California IOUs 
commented that for all types of split systems, it is important to not 
have averaged ratings and cited as an example that, for the California 
Building Energy Efficiency Code (Title 24), the rating of the system 
being installed is needed to demonstrate compliance. For incentive 
programs managed by Energy Efficiency Program Administrators such as 
the California IOUs, calculation and tracking of energy savings require 
that the installed system be known and its rating is available. 
(California IOUs, No. 67 at p. 3)
    AHRI and Nortek commented that averaging of ducted and non-ducted 
ratings has been a long-standing industry practice. According to AHRI 
and Nortek, the kind of indoor ducted unit should be identified as part 
of the rating so that the mixed ratings could then be based on ratings 
for the specific kinds of indoor units. (AHRI, No. 70 at p. 16; Nortek, 
No. 58 at p. 13)
    In response to UTC/Carrier, DOE notes that given the test 
requirements to make representations for individual combinations other 
than the ``tested combination''(as discussed later in this section), 
and the limited amount of permutations currently listed in the AHRI 
directory, proliferation of represented values is not expected. In 
response to the California IOUs, DOE notes that the averaged 
represented values are based on represented values for kinds of 
individual systems (i.e., ducted or non-ducted). As a result, an 
additional averaged represented value does not take away the 
availability of non-averaged represented values.
    AHRI and Nortek also commented that, in industry practice, multi-
split ratings with mixed indoor unit types are the numerical average of 
the ratings for each of the homogeneous indoor systems. They stated 
that the most common mixture is ducted and non-ducted indoor units. 
They asserted that there is no test procedure that could adequately 
test these combinations. (AHRI, No. 70 at p. 16; Nortek, No. 58 at p. 
13)
    Unico did not support testing mixed multi-split systems and 
commented that there is no adequate test procedure. Unico commented 
that using a numerical average of the individual (all ducted or all 
non-ducted) ratings is the best method to develop a rating for a mixed 
multi-split system. (Unico, No. 63 at p. 3)
    Rheem commented that manufacturers should be permitted to test 
mixed systems instead of using an average to capture the interaction of 
the compressor with the multiple styles of indoor units. (Rheem, No. 69 
at p. 5)
    NEEA and NPCC commented that, given that the rating method for 
mixed multi-split systems will almost invariably produce a rating that 
is unrelated to how they actually operate in the field, they see no 
value in additional testing. However, NEEA and NPCC have no objection 
to

[[Page 37005]]

manufacturers testing such systems if the manufacturers believe the 
ratings would be better or more reliable with additional testing. (NEEA 
and NPCC, No. 64 at p. 4)
    DOE acknowledges that testing mixed systems could capture 
interactions not captured in an average; however Rheem did not provide 
suggestions for how to develop such a test procedure. Given that 
several other stakeholders believe there is not currently an adequate 
test procedure to do so, DOE declines to add one at this time.
Options for Averaging
    Several stakeholders commented on whether they support determining 
represented values for mixed systems using other than a straight mean, 
such as a weighting by the number of non-ducted or short-ducted units.
    Unico did not support weighting mixed multi-split systems. Unico 
commented that indoor units are made in various sizes so the number of 
indoor units is not indicative of the load split. In addition, Unico 
stated that indoor units are designed to provide a range of capacities 
so the load split is dependent mostly on the application rather than 
the indoor unit size. (Unico, No. 63 at p. 3)
    NEAA and NPCC expressed ambivalence regarding the use of weighting 
by the number of ducted and non-ducted units in the system. They 
asserted that any alignment of the actual performance of such multi-
zone variable capacity systems in the field and their weighted ratings 
would be purely accidental. (NEEA and NPCC, No. 64 at p. 4)
    Given the lack of interest in weighting mixed systems, DOE will 
continue to allow mixed represented values only as a straight average 
of two individual systems represented values containing homogenous 
kinds of indoor units (i.e., non-ducted, ducted, or SDHV) tested with 
the appropriate method of test in the DOE test procedure.
Determining Represented Values for Specific Individual Combinations
    Several stakeholders commented on whether DOE's proposed definition 
in the June 2010 NOPR for ``tested combination'' would be appropriate 
for determining represented values for specific individual 
combinations, or whether manufacturers prefer more flexibility, such as 
ability to test more than 5 indoor units. See 75 FR 31223, 31231 (June 
2, 2010).
    UTC/Carrier commented that rating multi-split systems with more 
than 5 units is unnecessary, because all manufacturers offer indoor 
units with a nominal capacity of up to at least 12,000 BTU/hr. (UTC/
Carrier, No. 62 at p. 5)
    Mitsubishi commented that the original intent of the proposed 
``tested combination'' definition was to provide variable-speed multi-
split (VSMS) system manufacturers with a method to provide efficiency 
and capacity ratings that would be representative of all the 
combinations associated with a specific outdoor unit. Mitsubishi stated 
that DOE based the ``tested combination'' concept on the fact that the 
outdoor unit is the primary driver for efficiency and capacity and that 
DOE recognized that, if a manufacturer had ``specific'' combinations 
that had higher efficiencies than the ``tested combination,'' then the 
manufacturer could test and rate that ``specific'' combination and 
enter it into the AHRI VSMS Directory of Certified Products. Mitsubishi 
recommended that DOE continue this process because it provides the VSMS 
manufacturer with the best opportunity to highlight top-performing 
combinations. (Mitsubishi, No. 68 at p. 3)
    Unico supported the proposed DOE definition of ``tested 
combination'' and stated that there is no need to rate individual 
combinations unless the manufacturer chooses to rate all possible 
combinations (for example, if a manufacturer has a limited number of 
indoor models). Unico commented that single-split systems (one indoor 
unit) using the same outdoor unit used for multi-split systems should 
continue to be rated individually. (Unico, No. 63 at p. 4)
    NEEA and NPCC acknowledged that combinations that might fall 
outside the current definition of ``tested combination'' systems do 
exist and are installed on a regular basis. The testing burden would be 
relatively small, as only the largest-capacity systems are capable of 
operating with more than 5 indoor units. (NEEA and NPCC, No. 64 at p. 
4)
    AHRI and Nortek commented that they do not believe the tested 
combination approach is appropriate for rating specific individual 
models. (AHRI, No. 70 at p. 16; Nortek, No. 58 at p. 13)
    Rheem commented that the benefits of mix match ratings for multi-
split systems are the same as those provided by mix match ratings for 
split systems. Rheem stated that consumers expect the ratings provided 
by DOE to reflect the operation of the system in their home and 
concluded that outdoor units should be rated to the worst case scenario 
and manufacturers should use an AEDM to determine the other 
combinations of indoor and outdoor units. On the other hand, DOE notes 
that Rheem also commented that a configuration that represents the 
highest sales volume should be established for multi-split systems. 
(Rheem, No. 69 at p. 5)
    After reviewing the comments, DOE maintains its proposal to allow 
manufacturers to rate individual combinations as additional basic 
models beyond the required tested combinations. DOE agrees with Rheem 
and Mitsubishi that consumers and utilities often find benefit for 
having represented values for a wide variety of combinations that are 
available for installation.
    DOE also agrees with Unico that single-split systems (one indoor 
unit) using the same outdoor unit used for multi-split systems must 
continue to be rated individually.
Sample Size
    Several stakeholders commented on DOE's request for 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 represented values based on a single unit sample in order 
to account for variability.
    Lennox commented that multi-split products are subject to the same 
type of variability as a conventional unit in areas such as compressor 
variation, coil performance variation, charging, airflow, expansion 
device, etc. Lennox did not support an allowance for OUM manufacturers 
of multi-split products to be rated based on a single unit test while 
OUM manufacturers of conventional products are required to test a 
minimum of two samples to meet statistical confidence levels. Lennox 
asserted that all OUM-manufactured products should be required to meet 
the same minimum test requirements. (Lennox, No. 61 at p. 14)
    Mitsubishi and Rheem also recommended that the ratings be 
established based on the testing of at least two samples. (Mitsubishi, 
No. 68 at p. 3; Rheem, No. 69 at p. 6)
    The California IOUs commented that, in addition to manufacturing 
variances, controls software creates an additional source of 
variability in the performance of multi-split systems. The California 
IOUs asserted that software drives the performance of these variable 
capacity units based on the input from indoor and outdoor sensors. They 
stated that, until DOE-vetted data is available for these controls, the 
use of results from a single unit test for rating is inadvisable. 
(California IOUs, No. 67 at p. 4)

[[Page 37006]]

    Unico commented that a single unit test is adequate provided the 
manufacturer rates a system conservatively. Specifically, Unico said 
that a manufacturer should not be permitted to rate a product directly 
using the result of the single test; instead, the manufacturer can 
generate a rating from a single test through derating the measured 
performance. Unico gave the example that the rated capacity and 
efficiency of a system should be at least 95 percent less than the 
single test result. If two or more tests are conducted, then Unico 
suggested that the rating could be the mean value or less. (Unico, No. 
63 at p. 4)
    Goodman suggested that, if DOE mandates that ratings for a single 
given kind of air conditioner (ducted, non[hyphen]ducted or mixed) be 
based on two sample systems, then OUMs should be able to use AEDMs to 
rate some of the kinds of systems. Goodman stated that, because many 
multi[hyphen]split and multi[hyphen]head mini[hyphen]split systems use 
the same indoor products for multiple sizes (e.g., a 2[hyphen]ton 
system may use two 1[hyphen]ton indoor units while a 3[hyphen]ton 
system may use three of the exact same 1[hyphen]ton indoor units), a 
method to use an AEDM should be developed for rating non[hyphen]tested 
systems. Goodman gave the example that, if one OUM chose to test two 
sample systems of non[hyphen]ducted indoor units, it should be able to 
rate ducted and mixed systems based on an AEDM. Goodman asserted that, 
if the OUM chose to have a single rating for all combinations of ducted 
indoor units, then the AEDM would obviously have to be used to rate the 
combination of ducted indoor units with the lowest efficiency rating. 
Goodman gave a contrasting example that, if another OUM chose to rate 
multiple different combinations of ducted indoor units, then each 
combination would be rated using an AEDM. (Goodman, No. 73 at p. 13)
    AHRI and Nortek recommended that DOE maintain consistency with its 
AEDM approach used in the commercial HVAC equipment such that, at a 
minimum, manufacturers would test two low static units and apply the 
AEDM to derive ratings for the high static and mixed ratings. (AHRI, 
No. 70 at p. 16; Nortek, No. 58 at p. 13)
    As previously noted, Rheem stated that outdoor units should be 
rated to the worst case scenario and manufacturers should use an AEDM 
to determine the other combinations of indoor and outdoor units. 
(Rheem, No. 69 at p. 5)
    After reviewing the comments, DOE found that commenters did not 
provide data on manufacturing and testing variability that would 
support DOE moving to a single unit sample approach. In response to 
Goodman, AHRI, Nortek, and Rheem, DOE notes that DOE's current 
regulations require that represented values for a single kind of system 
be based on testing a sample of at least two units representative of 
production units. For these reasons, DOE is not moving to a single unit 
sample approach and also declines to require only the represented 
values of a single kind of system to be based on testing while allowing 
other kinds of systems to be represented using an AEDM, given that the 
adopted testing requirements do not increase test burden compared to 
the current regulations. DOE is allowing use of an AEDM for off-mode, 
as discussed in section III.B.8.
Summary
    In summary, Table III.2 provides an example of allowable 
represented values for multi-split, multi-circuit, and multi-head mini-
split systems.

                                             Table III.2--Example Represented Values for Multi-Split Systems
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                    Non-
                                    Individual model       Individual        Sample     Ducted     ducted    Mix rep.  SDHV rep.   Mix rep.    Mix rep.
           Basic model               (outdoor unit)     model(s) (indoor      size       rep.       rep.    value (D/    value       Value       value
                                                              unit)                     value      value       ND)                 (SDHV/D)    (SDHV/ND)
--------------------------------------------------------------------------------------------------------------------------------------------------------
ABC.............................  ABC................  ***...............          4         14         15       14.5  .........  ..........  ..........
ABC-ND1.........................  ABC................  2-A123; 3-JH746...          2  .........         17  .........  .........  ..........  ..........
ABC-SDHV........................  ABC................  ***...............          6  .........  .........  .........       11.5       12.75       13.25
--------------------------------------------------------------------------------------------------------------------------------------------------------

d. Basic Models Rated by ICMs
    In the November 2015 SNOPR, DOE proposed to require ICMs to 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. 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. 80 FR 69278, 
69288 (Nov. 9, 2015).
    AHRI, ADP, Lennox, Mortex, and First Co. commented that DOE's 
proposed changes to the definition of ``basic model'' with respect to 
ICMs, along with the proposed requirement to test at least one 
combination within each basic model, presents a significant testing 
burden to ICMs. (First Co., No. 56 at p. 1; AHRI, No. 70 at p. 3; ADP, 
No. 59 at p. 1; Lennox, No. 61 at p. 4) In order to avoid this burden, 
AHRI, ADP, Lennox, and Mortex recommended DOE adopt and define the term 
``Similarity Group,'' a group of ICM basic models within a defined 
range of coil geometries, with performance substantiated by the same 
validation test, and require testing of a Similar Group rather than 
testing of each basic model. The range of coil geometries within a 
Similarity Group would be defined by: face area within  1 
square feet (e.g. 2-4, 4-6, etc.), fin material (e.g. aluminum, 
copper), fin style (e.g. wavy, louvered), fin density within  1 fin per inch (e.g. 10-12, 13-15, etc.), number of rows, tube 
pattern (e.g. 1 x 0.625, 1 x 0.75, etc.), tube size (e.g. outer 
diameter for round tube, channel characteristic size for microchannel), 
and tube internal enhancement (e.g. smooth or enhanced). (AHRI, No. 70 
at p. 5; ADP, No. 59 at p. 2-3; Mortex, No. 71 at p. 4-6; Lennox, No. 
61 at p. 5) AHRI, ADP, Mortex, and Lennox noted that in the proposed 
framework, Similarity Groups may span AC and HP operations as well as 
coil-only and blower coil combinations. (AHRI, No. 70 at p. 6; ADP, No. 
59 at p. 3; Mortex, No. 71 at p. 6; Lennox, No. 61 at p. 6)
    However, the commenters noted that the proposed Similarity Group 
concept would not replace the concept or definition of an ICM basic 
model. Instead, a Similarity Group would be a group of basic models for 
defining AEDM validation test requirements, and the ICM basic model 
would still be used for other aspects of the certification and 
enforcement scheme as noted in the SNOPR. (AHRI, No. 70 at p. 7; ADP, 
No. 59 at p. 4; Mortex, No. 71 at p. 7; Lennox, No. 61 at p. 7)

[[Page 37007]]

    With regard to DOE's proposed definition of basic model for ICMs, 
Lennox requested that tube wall thickness not be required as part of a 
certification report as to protect business sensitive design 
information. (Lennox, No. 61 at p. 3)
    UTC/Carrier, Rheem, and the Joint Advocates of ACEEE, NRDC, and 
ASAP supported DOE's 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. (UTC/Carrier, No. 62 at p. 6; Rheem, 
No. 69 at p. 6; ACEEE, NRDC, ASAP, No. 72 at p. 2) UTC/Carrier 
appreciated leveling the playing field closing this loophole advantage 
for ICMs. (UTC/Carrier, No. 62 at p. 6)
    On the other hand, AHRI, ADP, Lennox, and Mortex commented that 
testing is necessary to validate product performance and each ICM's 
AEDM, but that the requirement to test every basic model presents an 
excessive burden on ICMs. (AHRI, No. 70 at p. 3; ADP, No. 59 at p. 1; 
Mortex, No. 71 at p. 3; Lennox, No. 61 at p. 4) First Co. also 
commented that the result of DOE's proposal is excessive testing. 
(First Co., No. 56 at p. 1)
    AHRI analyzed data from the AHRI Directory of Certified Product 
Performance, considering air conditioning, heat pump, coil-only and air 
handler ratings, but omitting due to time limitations air flow, 
external static pressure and power input. The results indicated that 
each ICM has between 287 and 604 basic models for which they would have 
to bear the cost of testing, which AHRI estimated would increase 
several-fold if accounting for the additional parameters. AHRI stated 
that it used an estimate of testing costs for one system at an 
independent lab of $7,400 for AC and $10,000 for HP because many ICMs 
do not have their own labs. Therefore, by AHRI's calculations, the ICM 
with the smallest number of basic models from their analysis would be 
required to perform 574 tests for an estimated $5,740,000 in testing 
costs. In addition, a test takes approximately one day, so 574 tests 
would take approximately two years to complete. (AHRI, No. 70 at p. 4-
5)
    For these reasons, AHRI, ADP, Mortex, and Lennox recommended that 
DOE require all ICM ratings to be based on an AEDM, where the ICM would 
test and rate at least one combination of an outdoor unit with the 
lowest SEER that complies with standard per Similarity Group. They also 
recommended that the ICM perform at least one full-system test per 
Similarity Group, or if the ICM was rating HP combinations, the ICM 
test one-third of the Similarity Groups with HP systems in both heating 
and cooling modes; and certify all combinations before they are 
distributed in commerce. (AHRI, No. 70 at p. 5-6; ADP, No. 59 at p. 2-
3; Mortex, No. 71 at p. 4-6; Lennox, No. 61 at p. 5) AHRI, ADP, Mortex, 
and Lennox noted that applying this scheme to the AHRI Directory 
results in between 26 and 64 tests for the same ICM companies analyzed 
above. AHRI, ADP, Mortex, and Lennox believed that their suggested 
method provides for an extremely high level of AEDM validation while 
creating a manageable testing burden on ICMs. (AHRI, No. 70 at p. 6; 
ADP, No. 59 at p. 3-4; Mortex, No. 71 at p. 6; Lennox, No. 61 at p. 6-
7)
    First Co. and Unico also supported AHRI's approach. First Co. 
commented that the use of a Similarity Group would be a more realistic 
and workable approach that would enable ICMs to reduce testing for 
comparably performing indoor coils and to validate performance for the 
group by the same test. (First Co., No. 56 at p. 1) Unico recommended 
that DOE require the OUM to have at least two tests for each basic 
model (the outdoor unit) and the ICM to have at least one test from 
each Similarity Group in order to validate the AEDM. Unico also noted 
that the ICM testing requirements would increase significantly compared 
to what they are today even under AHRI's suggestion. (Unico, No. 63 at 
p. 4-5)
    After reviewing the comments, DOE agrees with the manufacturers 
that its proposed definition of basic model with respect to ICMs, 
combined with the proposed testing requirements, may result in a 
significant test burden for ICMs. In order to balance the burden of 
testing with the risk of enforcement action, DOE is adopting aspects of 
the suggested ``Similarity Group'' as a replacement to its proposed 
definition of basic model. Hence, the basic model definition for ICMs 
established in this final rule includes all individual combinations 
having comparably performing indoor coil(s) [plus or minus one square 
foot face area, plus or minus one fin per inch fin density, and the 
same fin material, tube material, number of tube rows, tube pattern, 
and tube size].
    DOE also agrees that manufacturers should test one combination per 
what the AHRI and manufacturer calls ``Similarity Group'', and what DOE 
will call a basic model for ICMs. However, DOE does not agree that 
testing should only serve to validate AEDMs. In order to accurately 
rate these non-engineered-to-order products by capturing the 
variability in the manufacturing processes, all combinations required 
to be tested must be tested according to the sampling plan in 429.16, 
which generally requires a sample of at least two units of the basic 
model. DOE notes that AHRI's calculation of burden assumes that ICMs 
have not been testing under current regulations, which is not 
consistent with existing DOE regulations. In addition, by changing the 
proposed definition of basic model to align with the similarity group 
proposal, DOE has significantly reduced the proposed test burden on 
ICMs.
    DOE notes that because basic models do not span product classes, 
unlike in the stakeholders' proposal, each Similarity Group is limited 
to either air conditioners or heat pumps; however, in response to the 
stakeholders' request that only one-third of Similarity Groups need be 
tested in both cooling and heating mode, DOE is not requiring testing 
for basic models of heat pumps as long as an equivalent basic model of 
air conditioner has been tested.
    DOE also notes that while off-mode power consumption requirements 
apply to ICMs, the represented values for off-mode may be based on the 
results of testing by the OUM according to the requirements in 429.16.
    In response to Lennox's request to remove tube wall thickness from 
the definition of basic model, DOE notes that the Similarity Group 
requirements DOE is adopting in its basic model definition for ICMs do 
not include tube wall thickness; in addition, as noted in section 
III.A.1.c, DOE did not propose that manufacturers report this 
information regardless of its inclusion in this definition.
e. Single-Package Systems
    In the current regulations, 10 CFR 429.16(a)(2)(i) states that each 
single-package system must have a sample of sufficient size tested in 
accordance with the applicable provisions of Subpart B. In the November 
2015 SNOPR, DOE proposed that the lowest SEER individual model within 
each basic model must be tested. DOE expected that in most cases, each 
single-package system would represent its own basic model. However, 
based on the definition of basic model in section III.A.1, this may not 
always be the case. DOE noted that regardless, AEDMs do not apply to 
single-package systems--manufacturers may either test and rate each 
individual single-package system or, if multiple individual models are 
assigned to the same basic model per the proposed requirements in the 
basic model definition, test only the lowest SEER individual model 
within the basic model and use that to determine the

[[Page 37008]]

rating for the basic model. 80 FR 69278, 69288 (Nov. 9, 2015).
    DOE also proposed to specify this same requirement for space-
constrained single-package air conditioners and heat pumps. 80 FR 
69278, 69288 (Nov. 9, 2015).
    DOE requested 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 
requested 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.
    In response, Lennox commented that the use of basic models that 
meet the defined requirements should not be restricted to split-system 
products because allowing groupings in a basic model may allow the use 
of AEDMs for single-package products to reduce testing burden. (Lennox, 
No. 61 at p. 14) UTC/Carrier supported that different options would be 
assigned to [individual models within] the same basic model and 
supported the ability to have unique ratings for units with different 
options without additional testing. (UTC/Carrier, No. 62 at p. 6-7)
    JCI stated that it, in general, would prefer to test single-package 
units, especially the single-phase models. For 3-phase (commercial) 
products, JCI would opt to utilize an AEDM. (JCI, No. 66 at p. 15)
    Rheem disagreed that manufacturers should not be allowed to use 
AEDM to rate packaged units; Rheem would want to use an AEDM to rate 
other individual models within the basic model for packaged units. 
(Rheem, No. 69 at p. 3, 6-7)
    In response to these comments, DOE is modifying the regulations to 
permit the use of AEDMs for models of single-package units in cases 
where multiple individual models are assigned to the same basic model. 
The lowest SEER individual model in the basic model still will be 
required to be tested. DOE believes that the lowest SEER model will 
typically be similar to the highest sales volume model.
f. Replacement Coils
    In the November 2015 SNOPR, DOE noted 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 of a central air conditioner or 
heat pump. Hence, they would not need to be tested or certified as 
meeting the standard. 80 FR 69278, 69289 (Nov. 9, 2015).
    DOE received several comments in response to this proposal. These 
comments have been addressed as part of DOE's definition of ``indoor 
unit,'' discussed in section III.A.2.
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 or HSVC). 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 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 determination of represented values 
of new HCFC-22 combinations cannot be conducted using the existing test 
procedure.
    Accordingly, DOE proposed a test procedure that may be used for 
determining represented values and certifying the compliance of these 
outdoor units. DOE proposed to specify coil characteristics to be used 
when testing models of outdoor units that do not have a HSVC. 
Specifically, these requirements included limitations on indoor coil 
tube geometries and dimensions and coil fin surface area. In the 
November 2015 SNOPR, DOE proposed to require the normalized gross 
indoor fin surface (NGIFS) calculated for the indoor unit used for the 
test to be no more than 1.15. 80 FR 69278, 69289 (Nov. 9, 2015). NGIFS 
is the fin surface area divided by the unit's capacity. By imposing a 
limit on this value, the size of the indoor coil would be consistent 
with older model designs that would likely be installed in the field 
and that do not include a common design approach for improving 
efficiency, i.e. use of larger coils. Attaining a given efficiency 
level when testing a combination having a lower-NGIFS indoor unit 
requires use of a more efficient outdoor unit to compensate. These 
outdoor unit models must meet applicable Federal standards when tested 
with the specified indoor units.
General Comments
    AHRI, URI, Nortek, HARDI, Goodman, UTC/Carrier, Rheem, and JCI 
submitted comments against adding the test procedure provisions for 
outdoor units with no match. (AHRI, No. 70 at p. 2; United 
Refrigeration, Inc., No. 60 at p. 3-4; Nortek, No. 58 at p. 2; HARDI, 
No. 57 at p. 2; Goodman, No. 73 at p. 17-18; UTC/Carrier, No. 62 at p. 
22-23; Rheem, No. 69 at p. 3; JCI, No. 66 at p. 5)
    Nortek and UTC/Carrier expressed concern that offering a test 
procedure for units with no match could potentially open up a larger 
loophole than what DOE is attempting to fix with this proposal. 
(Nortek, No. 58 at p. 2; UTC/Carrier, No. 62 at p. 23) Similarly, 
Nortek and HARDI noted that there have been no instances of a company 
trying to sell an outdoor unit without match that failed to meet 
existing standards. (Nortek, No. 58 at p. 2; HARDI No. 57 at p.1)
    Conversely, Lennox, NEEA, NPCC, and the Joint Advocates of ACEEE, 
NRDC and ASAP concurred with DOE's proposal to require testing and 
rating of dry-ship units. (Lennox, No. 61 at p. 2; NEEA and NPCC, No. 
64 at p. 3; ACEEE, NRDC and ASAP, No. 72 at p. 2)
    DOE acknowledges these comments and responds to particular concerns 
about its proposal in subsequent sections.
    URI commented that the Department's proposal not only would ban the 
manufacture of new replacement units, it also would impose significant 
cost burdens on manufacturers and distributors of replacement HCFC-22 
components. URI suggested that under DOE's proposal, replacement unit 
manufacturers that tested and certified HCFC-22 products in good faith 
reliance of the various test procedure guidance documents issued by the 
Department would be unable to advertise or sell these units. URI 
requested that DOE evaluate the impacts of replacing rather than 
repairing and maintaining an HCFC-22 unit, particularly on those 
consumers who live on a fixed income, and that DOE assess whether, as a 
practical matter, this test procedure amendment would adversely impact 
the availability of replacement components for the installed base of 
HCFC-22 units.

[[Page 37009]]

(United Refrigeration, Inc., No. 60 at p. 8-9)
    In response to URI, DOE's approach in developing the test procedure 
requirements for outdoor units with no match is based on the concept 
that the test should produce results that measure energy efficiency 
during a representative average use cycle. (42 U.S.C. 6293 (b)(3)) 
Further, the test procedure addresses the fact that these units have no 
match. Unmatched outdoor units are primarily used as a low-cost 
alternative to replacement of an entire legacy system when the outdoor 
unit is no longer operational. Specifically, in such installations, 
only the outdoor unit would be replaced, rather than both the outdoor 
unit and indoor unit. In addition, such units would be installed using 
HCFC-22, which is no longer legal for use in new systems.
    DOE developed this amended test procedure with the goal of ensuring 
that the unmatched outdoor unit should be compliant when tested with an 
indoor unit that is representative of indoor units in the field with 
which the outdoor unit could be paired. DOE's goal was to provide a 
method of test, consistent with the current standards, that meets the 
statutory requirement of measuring a representative average use cycle. 
Hence, the indoor unit specifications are intended to represent among 
the lesser-efficient units that could be paired with a given outdoor 
unit with no match. DOE believes this approach is consistent with the 
requirement that the represented value for a basic model reflect the 
performance of the poorest-performing model that is part of the basic 
model.
    In response to URI's comments regarding evaluation of cost burdens 
and impacts of the test procedure change, DOE notes that its energy 
conservation standard rulemakings have already evaluated the costs and 
benefits of specific efficiency levels for central air conditioners and 
heat pumps. This test procedure provides a mechanism of assessing the 
performance of unmatched outdoor units, which can then be used to 
provide a reasonable level of assurance that all field-match 
combinations of the new, unmatched outdoor units will achieve the 
established efficiency levels. DOE is now adopting the November 2015 
SNOPR approach for testing and determining represented values for 
unmatched outdoor units based on stakeholder comment.
    Goodman had concerns about unforeseen and unintended consequences 
when moving forward with alternate refrigerants at some date in the 
future, especially as the requirements for applying air conditioners 
and heat pumps with these likely A2L refrigerants is unknown. Goodman 
stated that it expects that, with currently known alternate 
refrigerants, there may be a need for certain low[hyphen]income and 
elderly consumers to have cost-effective replacement air conditioners. 
Goodman also noted that it has apprehensions that providing a test 
procedure provides a path for HCFC[hyphen]22 ``dry ship'' products to 
continue in the marketplace. (Goodman, No. 73 at p. 18)
    DOE responds that it cannot set test procedure requirements based 
on speculation about the potential cost impact of future refrigerant 
changes on air-conditioning product costs. In response to the second 
comment, DOE points out the suggestion of commenters that DOE's 
proposal will limit sales of these units--URI for example indicated 
that the test procedure will effectively end the manufacturer of such 
components (URI, No. 60 at p. 2). While DOE does not agree with this 
assessment, DOE also does not believe that the approach will increase 
manufacturer of such units.
DOE Authority
    In its comments, JCI stated that it was not certain that DOE has 
the authority under EPCA to create a test procedure to allow for units 
with no match. (JCI, No. 66 at p. 6)
    URI commented that the DOE's November 2015 SNOPR test procedure, if 
finalized, would violate EPCA, as amended, as well as the 
Administrative Procedure Act. URI asserted that DOE had proposed a 
restriction on representations for already manufactured and certified 
units and that the proposal would invalidate the expectation-backed 
investments of manufacturers and distributors, constituting a violation 
of the Fifth Amendment to the U.S. Constitution. URI characterized 
DOE's proposal as an effective ban on condensing units using HCFC-22 
that also would impose significant cost burdens on consumers. (United 
Refrigeration, Inc., No. 60 at p. 2, 3-5)
    URI also commented that a test procedure change for replacement 
HCFC-22 systems is not needed, and that DOE has not articulated a valid 
basis for its proposal, as required by EPCA. URI argued that DOE's 
proposed test procedure change for replacement HCFC-22 systems would 
violate the Administrative Procedure Act, which requires an agency to 
``examine the relevant data and articulate a satisfactory explanation 
for its action including a `rational connection between the facts found 
and the choice made.''' 5 U.S.C. 553, Motor Vehicle Manufacturers Ass'n 
v. State Farm Mutual Automobile Insurance Co., 463 U.S. 29 (1983)). URI 
said that the DOE did not only fail to explain why the change to the 
test procedure for replacement units is necessary, but also failed to 
acknowledge the de facto ban it is proposing for such units. URI argued 
that DOE does not have the authority to impose a ban on replacement 
units and asserted that, even assuming that DOE has the authority to 
impose such a ban, that EPCA prohibits the Department from implementing 
such an action through a test procedure amendment. (United 
Refrigeration, Inc., No. 60 at p. 5)
    URI also argued that DOE could not circumvent the prohibition 
against retroactive effect by belatedly ``clarifying'' that HCFC-22 
condensing components are basic models in and of themselves, even 
assuming that the EPCA would allow such a comprehensive revision of the 
``basic model'' via test procedure rulemaking. (United Refrigeration, 
Inc., No. 60 at p. 9)
    Contrary to URI's assertions, DOE is not, in this rule, imposing a 
de facto ban on condensing units using HCFC-22. DOE is amending a test 
procedure and, in accordance with the applicable provisions of EPCA, is 
ensuring that the test procedure is reasonably designed to measure the 
energy efficiency and energy use of unmatched outdoor units in a manner 
that is comparable to that of other complete systems. DOE clearly 
articulated the basis for its proposal and has explained again here the 
need for a test procedure applicable to unmatched outdoor units. 
Regarding the amended definition of basic model in today's rule, DOE is 
not proposing that the definition, as amended, be applied 
retroactively.
Test Procedure Details Including Specification of Indoor Unit
    Stakeholders provided a range of comments regarding whether the 
proposed details of the test for outdoor units with no match are 
suitable.
    Nortek, Ingersoll Rand, and Goodman questioned how DOE determined 
the proposed value for NGIFS and that the default coefficient of cyclic 
degradation should be used for these units, and requested that DOE 
provide supporting evidence. (Nortek, No. 58 at p. 2; Ingersoll Rand, 
No. 65 at p. 12; Goodman, No. 73 at p. 18)
    URI commented that it is simply impossible for any HCFC-22 
replacement component to meet the 13

[[Page 37010]]

SEER standard using the amended test procedure, stating that the 
proposed coil size limitation makes no sense as such coils were used in 
HCFC-22 units rated to 10 SEER. URI also asserted that the proposed 
coefficient of cyclic degradation improperly excludes units that use 
thermostatic expansion valves, rather than orifice tubes, to control 
the flow of refrigerants, thus penalizing the efficiency rating 
approximately 6% (for example, a 13 SEER unit with a thermostatic 
expansion valve would instead rate at 12.2 SEER). (United 
Refrigeration, Inc., No. 60 at p. 2, 7)
    Goodman noted that by specifically choosing the 1.15 maximum NGIFS 
(especially without deference to the type of fin used), DOE is choosing 
indoor coils that are smaller, but not smallest, in size. Goodman 
commented that based on the information it has, the value of 1.15 would 
favor one manufacturer, which has all of its ``no[hyphen]match'' units 
rated with indoor coils having less than 1.15 NGIFS, while at least two 
manufacturers have zero ``no[hyphen]match'' units rated with indoor 
coils having less than 1.15 NGIFS. Goodman commented that DOE should 
not ignore fin surface type in the NGIFS calculation, and that if DOE's 
intent is intent is to specify an indoor coil size such that it is 
virtually impossible for an OUM to have an outdoor unit with no match 
that can achieve 13 or 14 SEER as a system, then DOE should choose an 
NGIFS in the range of 0.90 or less using the proposed NGIFS formula. 
(Goodman, No. 73 at p. 18-19)
    JCI commented for a 10 SEER product, the value of NGIFS of 1.15 is 
too small. The NGIFS of 10 SEER products made by JCI was 1.25, and 
these products will have been out of production for 10 years by the 
time this SNPOR is effective. JCI said that, at this point, when an 
outdoor unit fails, approximately 40% to 50% would be 13 SEER plus 
equipment. A reasonable NGIFS for 13 SEER equipment would be 1.30, 
which is the average for JCI's 13 SEER HCFC-22 product when the EPA ban 
on new produced equipment shipped with HCFC-22 took effect in 2010: 
averaging the 10 SEER and 13 SEER values leaves a value of 1.28. JCI 
believes this value to be a more representative value for NGIFS and 
recommends DOE adopt it. (JCI, No. 66 at p. 5-6)
    Ingersoll Rand provided data on the 61 HCFC-22 systems that they 
had on the market before HCFC-22 was phased out. For the HSVCs of these 
61 models, the NGIFS ranged from 0.9784 to 1.9082 with a mean of 1.2692 
and a standard deviation of 0.2215. Ingersoll Rand recommended a value 
of 1.75 for the final rule. (Ingersoll Rand, No. 65 at p. 12)
    JCI commented that modern heat exchanger technology such as that 
found in microchannel heat exchangers significantly reduces the 
refrigerant charge and thus reduces the cycling losses, resulting 
consistently in degradation coefficient values under 0.10 with piston 
metering (expansion) devices, or non-bleed TXVs. JCI recommended that 
rather than requiring use of the default degradation coefficient value, 
DOE should specify the type of expansion device it believes would be 
used in the legacy indoor units, which in most instances would be a 
piston or fixed orifice construction. (JCI, No. 66 at p. 6)
    As mentioned above, DOE's approach in developing the test procedure 
requirements for outdoor units with no match is based on the concept 
that the test should produce results which measure energy efficiency 
during a representative average use cycle (see 42 U.S.C. 6293(b)(3)) 
while also ensuring that they will generally meet the standard. By 
their nature, however, neither the manufacturer nor DOE knows exactly 
what the paired system will be. DOE evaluated indoor unit 
specifications representing units across the spectrum that would likely 
be paired with the ``no match'' units. To ensure compliance, DOE 
proposed indoor unit specifications that it believed to be 
representative of a less efficient unit that could be paired with the 
given outdoor unit with no match.
    In developing its proposal, DOE developed the indoor unit 
specifications (1.15 NGIFS and coefficient of cyclic degradation equal 
to the default) through reverse engineering 13 SEER split-system blower 
coil air conditioners designed to use HCFC-22. The 1.15 value is 
representative of the indoor units associated with the evaluated 
systems. All of these units had single-capacity compressors, and the 
indoor units had PSC fan motors. Although the NGIFS for these units 
ranged from 1.0 to 1.7, almost identical to the range of the data 
provided by Ingersoll Rand, DOE does not feel that establishing an 
NGIFS range is a valid approach, since this would be equivalent to 
setting the limit equal to the highest end of the range. In any case, 
both of these datasets are at odds with URI's claim that the 1.15 NGIFS 
makes attaining 13 SEER impossible. Regarding JCI's claim that the 
value is too small, the selected value is for an indoor unit that was 
part of an HCFC-22 unit rated at 13 SEER, hence it is certainly 
representative of the indoor units that may be installed in the field. 
In fact, DOE's selection of 1.15 did not consider the 10 SEER units 
whose indoor units are still in the field as well. In addition, the 
actual performance of the non-replaced legacy indoor units, represented 
in terms of NGIFS, generally will be significantly degraded. 
Degradation of indoor unit performance can be caused by numerous 
factors, including foulants coating external coil surfaces, caustic 
environments attacking fin material and/or fin/tube contact, inadequate 
air flow, and degraded oil fouling the internal tube surfaces. 
Consistent with the use of unmatched outdoor units for such system 
repairs as a low-cost alternative, it is questionable whether 
installation consistently addresses optimization of the system for 
operation at the diminished efficiency potential of the degraded legacy 
indoor unit. Consequently it is expected that laboratory testing of new 
models of unmatched outdoor units significantly overestimates the 
efficiency of these units when paired with old legacy indoor units in 
the field. The proposed maximum NGIFS of the indoor unit to be used in 
such a test is in the range of the values for legacy indoor units, but, 
because of the non-optimum field conditions, choosing a value that is 
an average or median for such legacy indoor units is not 
representative. Based on all of these considerations, DOE has decided 
to lower the required NGIFS for the test to 1.0. This level 
acknowledges degradation of indoor unit performance over time, 
questions regarding optimization of the indoor/outdoor unit match and 
of the installation, and that the range of indoor units in the field 
would also include 10 SEER units. This value is representative of the 
13 SEER systems of both DOE's and Ingersoll Rand's datasets. DOE notes 
that the comments have not shown that this value is unrepresentative of 
the potential indoor unit pairings of no-match outdoor units. 
Furthermore, given that DOE believes this value is representative and 
that an NGIFS range is not a valid approach, DOE does not believe there 
is a need for AEDM for these units.
    DOE understands that the type of fin surface has an impact on coil 
performance, as Goodman pointed out in its comment. Most of the fins of 
the evaporator coils of DOE's dataset were enhanced, having lanced or 
louvered surfaces, so DOE's assessment has considered the possibility 
that the fin surfaces would be enhanced. DOE believes that selecting 
the NGIFS limit based on enhanced-fin information is appropriate 
because any manufacturer conducting such a test would do so using an 
indoor unit that has enhanced

[[Page 37011]]

fins, which would provide an advantage to the manufacturers.
    DOE notes JCI's comment that when an outdoor unit fails, 40% to 50% 
of the indoor units would have been rated 13 SEER or higher. This 
suggests that at least half would have been rated lower than 13 SEER. 
JCI also suggested that NGIFS might be 0.05 lower for a 10 SEER indoor 
unit than for 13 SEER. The Ingersoll Rand comment indicates that the 
NGIFS of their HCFC-22 models on the market prior to the refrigerant's 
phase-out was as low as 0.9784. Since the 13 SEER standard took effect 
in 2006, DOE presumes that these units all had a SEER value no lower 
than 13.
    DOE agrees with JCI that advanced heat exchanger technology might 
improve system efficiency. In particular, microchannel heat exchangers 
may reduce refrigerant charge sufficiently to reduce degradation of 
performance associated with unit cycling. However, DOE is not convinced 
that the expansion devices, be they thermostatic expansion valves, 
pistons, or fixed-orifice devices, of all legacy indoor units are 
replaced with orifices optimized for the new paired combination using 
the intended refrigerant. DOE agrees that a degradation coefficient 
less than the default value may be achievable in a laboratory test 
while using a fixed orifice device, but is not convinced that this will 
consistently be achieved with field-paired combinations. JCI did not 
comment on the consistency of the replacement of the expansion devices 
in unmatched outdoor unit installations, so DOE cannot determine how 
many such installations include expansion devices that are optimized 
for the outdoor/indoor unit combination. It is reasonable to expect 
that numerous such installations do not involve installation of an 
optimized expansion device, since unmatched outdoor units are sold as a 
low-cost alternative to purchase of an entirely new system, and use of 
the existing expansion device would also reduce cost. Further, DOE 
notes that reduction of the cyclic degradation coefficient, as proposed 
in the November 2015 SNOPR, was based on the observation that most 
modern systems achieve degradation coefficients well below 0.2. DOE did 
not intend to assign this same value as the default for outdoor units 
without a match. Based on the same arguments regarding lack of 
optimization of the expansion devices, DOE does not believe it is 
appropriate to adopt the new-test default of 0.2 for these units and 
therefore is retaining the current degradation coefficient for them at 
0.25.
Waiver Process and Change in the Measurement
    Nortek, Goodman, and HARDI commented that manufacturers who would 
like to sell a condensing unit with no match should request a waiver 
from DOE. (Nortek, No. 58 at p. 2; Goodman, No. 73 at p. 18; HARDI, No. 
57 at p. 2)
    URI commented that the notice is silent on how the proposed coil 
limitation or NGIFS will improve the measured energy efficiency of 
replacement HCFC-22 condensing units and that DOE's view that these 
units should have been tested pursuant to a waiver doesn't make sense 
in light of guidance DOE issued in 2010, 2012, and 2014 . URI 
separately indicated that DOE has not clarified whether the test 
procedure change will alter the measurement and/or whether the standard 
would have to be adjusted as required by EPCA. (United Refrigeration, 
Inc., No. 60 at p. 6)
    In response to Nortek, Goodman, and HARDI, DOE notes that the 
waiver process is a step towards establishing new procedure provisions 
in the CFR that address the test procedure issues raised by the waiver. 
In this case, as mentioned by some commenters, at the time of 
publication of the November 2015 SNOPR, there had been no petitions for 
waivers for outdoor units with no match. Test procedure waivers are not 
a long-term solution, however. DOE's regulations require DOE to amend 
its test procedure to address an issue raised through the waiver 
process. Therefore, even though DOE has not received any petitions for 
waivers for outdoor units with no match, DOE has long recognized the 
difficulty of reconciling the current test procedure language with the 
reality that manufacturers have no highest sales volume combination due 
to EPA regulations and proposed a test method to eliminate the 
regulatory incongruity between EPA's and DOE's regulations. DOE is 
finalizing a test procedure to eliminate the issue.
    In response to URI, DOE acknowledges that its guidance document 
indicated that an individual condensing unit must meet the current 
Federal standard when paired with the appropriate other new part to 
make a system when tested in accordance with the DOE test procedure and 
sampling plan. However, as noted in the November 2015 SNOPR, 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. Nothing in the 
guidance documents indicated that this would not have been the case for 
these units.
    In response to URI's comment suggesting that measured energy use 
must improve under a waiver procedure, DOE notes that a test procedure 
waiver is not intended to impact measured energy efficiency. Instead, a 
test procedure waiver provides a manufacturer with an alternative 
method of test that will yield results comparable to the test procedure 
in the DOE regulations. Test procedures are not a mechanism to impact 
the efficiency of a product, which is why DOE has carefully evaluated 
the characteristics of a paired system so as to avoid impacting 
measured efficiency relative to the current test procedure.
Transition From Coverage Under the Guidance Documents
    URI commented that the test procedure would effectively end the 
manufacture of such components six months after the revised test 
procedure goes into effect. URI contended that it also would be 
prohibited from selling or distributing its existing inventory of 
properly certified and rated HCFC-22 replacement condensing units six 
months after the effective date because the notice makes clear that 
``any representations, including compliance certifications,'' about the 
energy cost and efficiency of replacement condensing units must be 
based on the revised test procedure. (United Refrigeration, Inc., No. 
60 at p. 2)
    URI submitted that DOE should clarify in the preamble and 
regulatory text of a final test procedure that the restriction on 
representations does not apply to HCFC-22 condensing units that were 
manufactured and certified pursuant to the preceding DOE guidance. 
(United Refrigeration, Inc., No. 60 at p. 2)
    In a letter to the Secretary of Energy, Lennox requested DOE to 
promptly issue guidance to prevent the entry of newly designed 14 SEER 
HCFC-22 dry-charge products into the southern and southwestern regions 
that do not meet the requirements of the DOE test procedure. Lennox 
commented that DOE action on these issues is particularly critical by 
early 2016, as manufacturers ramp up production for the 2016 summer 
air-conditioning sales season in that timeframe. (Lennox, No. 61 at p. 
2)
    Lennox requested DOE include mechanisms in the final rule to 
facilitate a quick and orderly market transition from legacy dry-
shipped outdoor split-system central air conditioners and heat pumps 
certified to DOE as compliant

[[Page 37012]]

that are not rated in accordance with the test procedure final rule by 
requiring manufacturers to discontinue all non-compliant ratings 180 
days after the final rule's publication. (Lennox, No. 61 at p. 2-3)
    JCI recommended that no later than February 1, 2016, DOE should 
issue enforcement guidance stating that DOE will not seek civil 
penalties or injunctive relief for the distribution in commerce of a 
dry charged HCFC-22 unit (unit with no match), or for the labeling 
requirements of that unit, if the unit is manufactured prior to a date 
that is 30 days after the date of publication of the enforcement 
guidance. (JCI, No. 66 at p. 7)
    On December 16, 2015, DOE issued an enforcement policy stating that 
it would begin investigating the methods manufacturers were using to 
rate split-system central air conditioners that do not have a highest 
sales volume combination. Those investigations are ongoing. DOE also 
stated that it would seek civil penalties for violations related to 
units manufactured on or after February 1, 2016, that had not been 
tested and properly certified as compliant with the applicable 
standards. As DOE indicated in the policy statement, DOE will continue 
to use its discretion in determining whether or to what extent 
penalties are appropriate, including an evaluation of a manufacturer's 
good faith efforts to comply with the regulations. DOE notes that this 
test procedure final rule does not have retroactive application; 
however, the units at issue have been subject to the energy 
conservation standards and certification requirements since 2006.
    DOE also notes that following the close of the comment period for 
the November 2015 SNOPR, on December 1, 2015, an ex parte meeting 
occurred between AHRI, manufacturers, and DOE regarding outdoor units 
with no match. Representatives from Nortek, Mitsubishi, Carrier, 
Lennox, Trane, Rheem, JCI, ADM, Goodman, and Allied Air attended. 
During this meeting, the attendees requested that DOE require that 
ratings of existing dry R-22 units must be discontinued 180 days after 
the date of the publication of the amended test procedure in the 
Federal Register. (Docket No. EERE-2009-BT-TP-0004-0074) This 
recommendation indicates that existing ratings for outdoor units with 
no match are invalid and supports the need for a test procedure as 
finalized in this notice. DOE is implementing this recommendation 
consistent with EPCA, as discussed in section III.H.1.
4. Compliance With Federal (National or Regional) Standards
    In the November 2015 SNOPR, DOE proposed to add requirements to the 
relevant provisions of section 430.32 that the least-efficient 
combination within each basic model must comply with the regional SEER 
and EER standards. 80 FR 69278, 69290 (Nov. 9, 2015). In addition, as 
noted in section III.A.1, DOE proposed 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 proposed 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). Further,

----------------------------------------------------------------------------------------------------------------
                                 Individual model #     Individual model #      Certified rep.
          Basic model              (outdoor unit)         (indoor unit)        value (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
----------------------------------------------------------------------------------------------------------------

    DOE proposed to require that 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, under DOE's proposal, it 
must have a unique individual model number for distribution in each 
region. 80 FR at 69290 (Nov. 9, 2015).
    For example:
    The Joint Advocates of ACEEE, NRDC and ASAP commented that the 
approach proposed by DOE is workable and provides clear requirements 
for OUM rating systems. The Joint Advocates also commented that 
requiring a specific model number for outdoor units that are certified 
only in combinations that meet regional standard(s), and therefore 
permitted to be installed in those regions, will aid enforcement. The 
Joint Advocates also commented that DOE should clarify the requirements 
for ICMs, specifically how DOE would treat an ICM that attempts to 
certify a combination with a rating below 14 SEER using an outdoor unit 
model that otherwise meets 14 SEER in all combinations certified by the 
OUM. (ACEEE, NRDC and ASAP, No. 72 at p. 3)
    Based on this comment, DOE adopts the limitation as proposed, with 
wording modifications for clarity. DOE has not added a limitation on 
ICMs certifying a combination below an OUM represented value, given 
that such a value would reflect the performance the consumer would 
experience. DOE has not modified 430.32 in this rulemaking and will 
instead do so in the regional standards enforcement rulemaking.
5. Certification Reports
    To maximize test repeatability and reproducibility for assessment 
and enforcement testing, DOE proposed a number of amendments to the 
certification reporting requirements. 80 FR 69278, 69290 (Nov. 9, 
2015).
    Among these requirements, DOE proposed to clarify what basic model 
number and individual model numbers must be reported for central air 
conditioners and heat pumps. 80 FR 69278, 69290-91 (Nov. 9, 2015). DOE 
proposed to require the reporting of the sensible heat ratio (SHR) 
value calculated based on full-load cooling test conditions at the 
outdoor ambient conditions: 82[emsp14][deg]F dry bulb and 
65[emsp14][deg]F wet bulb. 80 FR at 69326 (Nov. 9, 2015). Finally, DOE 
also proposed to require certain product-specific information at 10 CFR 
429.16(c)(4) that would not be

[[Page 37013]]

displayed in DOE's public database. 80 FR at 69291 (Nov. 9, 2015).
    NEEA and NPCC supported DOE's proposals for certification reports, 
specifically noting the importance that all combinations of individual 
model numbers within a basic model group can be identified and to 
identify the outdoor and indoor mini-split and multi-split system units 
that are rated as combinations. (NEEA and NPCC, No. 64 at p. 3) DOE 
adopts this provision in the final rule.
    Regarding the basic model provision, AHRI commented that ICMs 
should be required to identify in the certification report the 
Similarity Group to which each indoor unit belongs. (AHRI, No. 70 at p. 
5-6) DOE notes that it has adopted the Similarity Group structure 
recommended by AHRI as the basis for the basic model for ICMs. Hence, 
identification of the Similarity Group is not necessary.
    The California IOUs commented that the proposal to require 
reporting of SHR is a good precedent for providing other data from 
tests and requested that results also be reported for all the tests 
that are the inputs to calculation of SEER and HSPF, as well as the 
results of the AHRI maximum operational conditions test.\8\ (California 
IOUs, No. 67 at p. 4) On the other hand, AHRI, Lennox, ADP, UTC/
Carrier, JCI, Goodman, and Nortek believe that SHR should not be 
reported as part of a certification report. (AHRI, No. 70 at p. 10; 
Lennox, No. 61 at p. 9; ADP, No. 59 at p. 7; UTC/Carrier, No. 62 at p. 
8; JCI, No. 66 at p. 15-16; Goodman, No. 73 at p. 14; Nortek, No. 58 at 
p. 7) JCI noted that the publication of SHR should be left to the 
manufacturer as part of their technical literature, and UTC/Carrier 
noted that that information is already provided in the manufacturer's 
product data. (JCI, No. 66 at p. 12; UTC/Carrier, No. 62 at p. 7) AHRI, 
Lennox, ADP, Goodman, Nortek, and Rheem commented that the requirement 
to add reporting of SHR adds an excessive burden. (AHRI, No. 70 at p. 
10; Lennox, No. 61 at p. 9; ADP, No. 59 at p. 7; Goodman, No. 73 at p. 
14; Nortek, No. 58 at p. 7: Rheem, No. 69 at p. 8) ADP further 
commented that adding a requirement for SHR is significant for those 
OUM and ICM ratings developed by AEDMs, as manufacturers may not have 
this capability in their current AEDM. (ADP, No. 59 at p. 7) JCI 
further commented that the agreement made between AHRI members and 
advocates (presumably referring to the agreement in advance of the 2011 
Direct Final Rule) was intended to encourage manufacturers to list SHR 
in manufacturer technical literature, not to make it a certified value. 
(JCI, No. 66 at p. 15-16)
---------------------------------------------------------------------------

    \8\ This test is conducted with 115 [deg]F air entering the 
outdoor coil, see AHRI 210/240-2008, Table 13.
---------------------------------------------------------------------------

    After reviewing these comments, DOE agrees that the joint proposal 
from stakeholders that served as the basis for the 2011 Direct Final 
Rule regarding central air conditioners stated that manufacturers would 
make the SHR at 82 [deg]F (at the rated airflow) available in in 
manufacturer technical literature and Web sites but that the SHR would 
not be verified or certified by AHRI. The parties agreed that DOE did 
not need to take regulatory action to implement this information 
sharing. (Docket No. EERE-2011-BT-STD-0011, No. 16 at p. 7) DOE did not 
account for this agreement in the November 2015 SNOPR, and in response 
to stakeholder comment within this docket, proposed to require 
reporting of SHR. However, given the existing stakeholder agreement 
that underlay the 2011 Direct Final Rule, DOE is not adopting the 
proposed requirement to certify SHR.
    AHRI, ADP, Lennox, UTC/Carrier, Ingersoll Rand, JCI, Nortek, Rheem, 
Goodman, and Mitsubishi did not support the additional reporting 
requirements proposed by DOE and commented that they are a significant 
burden on manufacturers. (AHRI, No. 70 at p. 13-15; ADP, No. 59 at p. 
7; Lennox, No. 61 at p. 14-15; UTC/Carrier, No. 62 at p. 7; Ingersoll 
Rand, No. 65 at p. 12; JCI, No. 66 at p. 15; Nortek, No. 58 at p. 11; 
Rheem, No. 69 at p. 7; Goodman, No. 73 at p. 14, 19; Mitsubishi, No. 68 
at p. 2-3) AHRI, Lennox, UTC/Carrier, Nortek, JCI, Rheem, Goodman, and 
Mitsubishi also commented that some of the required data is proprietary 
and puts the manufacturer at risk. (AHRI, No. 70 at p. 13-15; Lennox, 
No. 61 at p. 14-15; UTC/Carrier, No. 62 at p. 7; Nortek, No. 58 at p. 
11; JCI, No. 66 at p. 12; Rheem, No. 69 at p. 7; Goodman, No. 73 at p. 
14, 19; Mitsubishi, No. 68 at p. 2) JCI and Mitsubishi expressed 
concern that confidential information could be revealed in a FOIA 
request. (JCI, No. 66 at p. 12; Mitsubishi, No. 68 at p. 2)
    AHRI and Lennox each provided a list of information that they 
support DOE requiring. (AHRI, No. 70 at p. 13-14; Lennox, No. 61 at p. 
14-15) Unico agreed in its comments with AHRI's position on the 
reporting burden associated with the certification reporting 
requirements. (Unico, No. 63 at p. 6) Nortek commented that it supports 
DOE requiring information that is already being submitted to AHRI for 
purposes of certification. (Nortek, No. 58 at p. 10-11) Mitsubishi 
commented that manufacturers should not be required to provide any 
physical information that is not needed to test the system. 
(Mitsubishi, No. 68 at p. 3) JCI commented that the only additional 
reporting information that should be added to the certification report 
is the off mode standby metric, and that no other unregulated items 
should be added. (JCI, No. 66 at p. 12)
    Some stakeholders listed specific information that DOE should not 
require manufacturers to report. AHRI, Rheem, and JCI commented that 
DOE should not require manufacturers to report the orientation of a 
product's indoor coils and that, rather than reporting the process for 
manually entering the defrost cycle to DOE, manufacturers should 
describe that process in the product instructions. (AHRI, No. 70 at p. 
13; Rheem, No. 69 at p. 7-8; JCI, No. 66 at p. 12) AHRI commented that 
for variable speed products, compressor frequency set points are 
proprietary to the manufacturer and therefore should not be reported to 
DOE. (AHRI, No. 70 at p. 15) Rheem commented that variable speed heat 
pump minimum and maximum speed blocks are proprietary and therefore 
should not be reported. (Rheem, No. 69 at p. 7-8) Goodman commented 
that their product nameplates do not explicitly state nominal capacity, 
nor do the majority of their competitors' products. Goodman recommended 
that the manufacturer provide the specific model numbers of the indoor 
unit tested rather than nominal capacity of each indoor unit. (Goodman, 
No. 73 at p. 6) Goodman also suggested that, instead of requiring 
manufacturers to solely report the general type of expansion device, 
DOE should require that manufacturers submit the same information (for 
fixed orifices, the orifice inside dimension (I.D.) and length; or, for 
expansion valves, the part number or model number) manufacturers 
currently submit to AHRI for each individual combination of a 
split[hyphen]system air conditioner or split[hyphen]system heat pump. 
(Goodman, No. 73 at p. 3-5)
    Rheem commented that the addition of the requirement to certify 
airflow and CD is a significant certification burden on 
manufacturers. Rheem noted that the documentation of the values 
measured during the test of a single sample cannot be applied to a 
second test, and that the averages of multiple measured values are even 
less applicable. Rheem stated that the certification of CD 
requires that manufacturers provide a conservative value that would be 
applied to multiple test samples. Rheem suggested that the 
certification of a product should be based on actual product 
performance, as the use of a certified value of CD would

[[Page 37014]]

increase the variability of the test procedure and require more 
conservative ratings and redesign of minimum efficiency equipment. 
(Rheem, No. 69 at p. 7)
    After reviewing the stakeholders' comments, DOE maintains that the 
certification reporting requirements proposed in the November 2015 
SNOPR, except for SHR as previously discussed, are necessary for DOE to 
be able to conduct testing. None of the commenters indicated how DOE 
could properly conduct testing without the requested information. In 
the November 2015 NOPR, DOE proposed that this information would not be 
made available on the DOE public Web site. While the information may be 
subject to Freedom of Information Act (FOIA), DOE will seek to protect 
this information to the extent legally permissible.
    For these reasons, DOE has adopted these requirements in the final 
rule, with minor modifications as discussed in relevant sections. In 
response to Goodman, DOE notes that the model numbers of indoor units 
are required in addition to nominal capacity, which is needed to verify 
appropriate unit selection used for certification testing. DOE also 
declines to require additional information beyond the type of expansion 
device, as DOE does not need this information to conduct testing. In 
response to Rheem, as noted in section III.A.7, DOE is only requiring 
manufacturers to report whether they used a default value for 
CD or whether they conducted the optional test; 
manufacturers do not have to report the CD value used.
    In their comments, the California IOUs requested that DOE require 
the reporting of all test results that are inputs to the calculation of 
SEER and HSPF. In addition, they requested that DOE collect the results 
of the AHRI Maximum Operational Conditions tests, which they 
acknowledge would require adding these tests to Appendix M/M1. As in 
the case of SHR, they argued that this would not add to the test 
burden; it would only add the additional reporting of results, because 
all the measurements required to calculate SHR (e.g., indoor air flow 
and indoor entering and leaving air conditions) are required as part of 
the current test. The California IOUs argued that consumers, incentive 
programs, and energy efficiency building codes need to have SEER and 
HSPF values that are calculated for specific climatic regions to 
enhance the value of the published SEER and HSPF that are calculated 
for climatic region 4. They said this would support the fair comparison 
of system performance and annual energy use costs. (California IOUs, 
No. 67 at p. 3-4)
    In this final rule, DOE declines to add the additional reporting 
requirements recommended by the California IOUs as these are not 
necessary for DOE testing, and existing programs currently operate 
without the additional detail requested.
6. Represented Values
    In the November 2015 SNOPR, DOE proposed to make several additions 
to the represented value requirements in 10 CFR 429.16. First, DOE 
proposed adding a requirement that the represented values of cooling 
capacity, heating capacity, and sensible heat ratio (SHR) must be the 
mean of the values measured for the sample. Second, DOE proposed 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. DOE proposed minor changes to the 
calculations of annual operating cost to address other changes proposed 
in Appendix M. 80 FR 69278, 69291 (Nov. 9, 2015).
    Lennox, ADP, and UTC/Carrier commented that SHR is currently 
published by manufacturers and that there is no benefit to adding a 
single point SHR as a represented value potentially subject to 
enforcement. (Lennox, No. 61 at p. 9; ADP, No. 59 at p. 7; UTC/Carrier, 
No. 62 at p. 8) On the other hand, Unico supported the requirement to 
submit SHR but only for reporting purposes, not for testing and 
enforcement. (Unico, No. 63 at p. 6)
    Although DOE has determined that manufacturers should not be 
required to report SHR (see section III.A.5), DOE is adopting 
requirements on the represented values for SHR as proposed, in order to 
generate consistency in any representations of SHR made by industry.
    AHRI, Lennox, JCI, Ingersoll Rand, Goodman, UTC/Carrier, and Nortek 
disagreed with the requirement that the represented capacity values 
must be the mean of the tested values, and recommended that DOE allow 
manufacturers to rate capacity conservatively. (AHRI, No. 70 at p. 10; 
Lennox, No. 61 at p. 8, 15; JCI, No. 66 at p. 15-16; Ingersoll Rand, 
No. 65 at p. 5; Goodman, No. 73 at p. 15; UTC/Carrier, No. 62 at p. 8; 
Nortek, No. 58 at p. 6) Rheem similarly commented that the addition of 
the requirement to certify cooling capacity and heating capacity is a 
significant certification burden and does not allow for manufacturers 
to rate capacity conservatively. (Rheem, No. 69 at p. 8) Nortek 
commented that DOE's proposal adds significant and unnecessary 
increased risk to a manufacturer due to increased exposure from 
enforcement testing. (Nortek, No. 58 at p. 6)
    In its comments, Goodman noted that there is variability from 
sample to sample in any population of units. (Goodman, No. 73 at p. 15) 
Lennox commented that DOE's proposed use of mean values adds 
unnecessary risk and complexity in associated voluntary industry 
certification programs (VICP), such as AHRI. Lennox commented that 
manufacturers face stringent penalties through the AHRI VCIP program in 
the event of failure, and that manufacturers manage their financial and 
market risk through conservative ratings. Although DOE and VICPs may 
have different parameters for capacity metrics, Lennox believed DOE's 
proposal adds unnecessary complexity, which may confuse the consumer 
and bring into question the validity of different represented capacity 
values in the VICP program versus the DOE CCMS value. (Lennox, No. 61 
at p. 8-9)
    AHRI, Lennox, and JCI disagreed with DOE's proposal, stating that 
eliminating the conservative rating capacity would impact current 
ratings, which would require re-rating products. They contended that 
this requirement represents a significant and unnecessary burden that 
has no value to the consumer. (AHRI, No. 70 at p. 10; Lennox, No. 61 at 
p. 8; JCI, No. 66 at p. 7)
    Several commenters recommended alternatives to DOE's proposal. 
Ingersoll Rand recommended that the average capacity on which to base 
the appropriate standard be determined using the same statistical 
method as used for determining SEER, but that the manufacturers be 
allowed to claim up to 5 percent lower in their rating. (Ingersoll 
Rand, No. 65 at p. 5) UTC/Carrier commented that the current procedure 
of using the mean or the statistically adjusted mean should be used and 
manufacturers should be able to de-rate the certified values as 
necessary to account for testing uncertainties in the audit facility as 
well as the manufacturer's test facility. (UTC/Carrier, No. 62 at p. 8) 
AHRI and Nortek commented that instead of implementing the mean of 
measured values for capacity, any represented value of the energy 
efficiency or other measure of energy consumption for which consumers 
would favor higher values should be less than or equal to the lower of: 
(1) The mean of the sample, or (2) the lower 90 percent confidence 
limit (LCL) of the true mean divided by 0.95. (AHRI, No. 70 at p. 10;

[[Page 37015]]

Nortek, No. 58 at p. 6-7) DOE understands that AHRI and Nortek 
supported DOE applying this approach to capacity as well.
    After reviewing the comments, DOE is updating its proposal from the 
November 2015 SNOPR, which required represented values of cooling and 
heating capacity to be the mean of the sample. In this Final Rule, DOE 
is requiring the represented value of cooling (or heating) capacity to 
be a self-declared value that is no less than 95 percent of the mean of 
the cooling (or heating) capacities measured for the units in the 
sample selected for testing. This will allow manufacturers the 
flexibility to derate capacity with conservative values as requested by 
multiple commenters, while still providing consumers with information 
that is reasonably close to the performance they may expect when 
purchasing a system.
    Goodman commented that DOE provided no guidance on how to treat 
systems rated by AEDM and that it is unreasonable to expect 
manufacturers to always rate at the exact value developed by a computer 
program. (Goodman, No. 73 at p. 15)
    DOE agrees with Goodman. DOE's intent had been for represented 
values for systems rated by testing or AEDM to be determined similarly 
but had inadvertently left this requirement out of the AEDM portion of 
the regulatory text. To parallel the provision adopted for tested 
combinations, DOE is adopting a provision that the represented value of 
cooling (or heating) capacity must be no less than 95% of the cooling 
(or heating) capacity output simulated by the AEDM. DOE notes that, if 
a manufacturer believes the capacity predicted by the AEDM is more than 
5% off of what the manufacturer would otherwise expect, then the 
manufacturer should be evaluating the validity of the AEDM in other 
respects.
    Finally, DOE notes that Annual Performance Factor (APF) is not used 
for any regulatory program, and therefore DOE has removed all 
calculations and represented value requirements for APF in this final 
rule.
7. Product-Specific Enforcement Provisions
    In the November 2015 SNOPR, DOE proposed to verify certified 
cooling capacity during assessment or enforcement testing. DOE proposed 
to measure the cooling capacity of each tested unit pursuant to the 
test requirements of 10 CFR part 430. If the measurement is within five 
percent of the certified cooling capacity, DOE would use the certified 
cooling capacity as the basis for determining SEER. Otherwise, DOE 
would use the measured cooling capacity as the basis for determining 
SEER. 80 FR 69278, 69292 (Nov. 9, 2015).
    DOE also proposed to require manufacturers to report the cyclic 
degradation coefficient (CD) value used to determine 
efficiency ratings. DOE proposed to 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. 80 FR 69278, 69292 (Nov. 9, 2015).
    Lennox, UTC/Carrier, Rheem, and JCI disagreed with DOE's proposal 
to use rated values in cooling capacity and in CD testing. 
The commenters proposed that tested capacity and cyclic test values 
should be used in all determinations of efficiency and compliance. 
(Lennox, No. 61 at p. 9; UTC/Carrier, No. 62 at p. 8; Rheem, No. 69 at 
p. 2; JCI, No. 66 at p. 8) Rheem commented that the proposal to enforce 
SEER using certified values of cooling capacity and CD has 
not been justified or shown to provide representative and repeatable 
results. (Rheem, No. 69 at p. 8) Unico supported the requirement to 
submit cooling capacity and heating capacity but only for reporting 
purposes, not for testing and enforcement. (Unico, No. 63 at p. 6)
    In its comments, Lennox explained that, given the variability in 
component and manufacturing processes, product capacity and power can 
vary slightly from unit to unit. According to Lennox, if products are 
manufactured within the acceptable limits, the variations in capacity 
and power tend to be linear. Lennox added that DOE's proposal to fix 
capacity to the rated value in determining efficiency if measured 
within five percent of rating while allowing power to be a variable 
from the tested value can result in both false pass and fail results. 
(Lennox, No. 61 at p. 9-10) Lennox also commented that cyclic 
CD testing is prone to variation from test to test on the 
same unit within the same facility--let alone lab to lab, and that the 
industry has spent a tremendous amount of resources studying 
variability issues and has developed recommendations for lab 
improvement. In particular, Lennox commented, the industry has 
developed a method for compensating for differences in thermal mass of 
the test facility used for testing. (Lennox, No. 61 at p. 10)
    Nortek and JCI commented that the proposal to use a tolerance to 
determine if measured capacity is within 5 percent of rated capacity 
and from there, determining efficiency, would make it necessary for 
manufacturers to report capacity at all points necessary to determine 
SEER and HSPF. (Nortek, No. 58 at p. 7; JCI, No. 66 at p. 7-8) JCI 
commented that this is an increased burden of reporting without 
additional value. (JCI, No. 66 at p. 7-8) In addition to this burden, 
Nortek expressed concern that this could lead to overrating capacity. 
As efficiency is not tied to capacity, Nortek stated it is unsure of 
the purpose of this proposal and would like DOE to clarify the purpose. 
(Nortek, No. 58 at p. 7)
    Goodman commented that DOE's proposal to use certified rather than 
tested values conflicts with DOE's acknowledgement that individual unit 
performance varies from sample to sample due to both individual unit 
production differences as well as testing differences. Goodman noted 
that compressor suppliers would only certify the performance of their 
product to manufacturers to a 5% tolerance. Goodman 
commented that from a statistics perspective, it is not correct to 
suggest that in order to determine the true mean of a population that 
modified values would be used from actual measurements. Goodman 
strongly opposed DOE's proposed regulatory language in reference to the 
assessment and enforcement testing of HVAC products as it pertains to 
assumed average performance values in the determination of the 
performance of an individual unit. Goodman strongly suggested that DOE 
omit the proposed 10 CFR 429.134(g) in its entirety. (Goodman, No. 73 
at p. 21)
    After reviewing the comments, DOE is adopting modifications from 
its proposal. For cooling capacity, DOE will use the mean of any DOE 
test measurements to determine SEER. DOE notes that this adopted 
modification, by eliminating the comparison to the manufacturer's 
represented value, addresses JCI's concern about additional reporting 
burden and Goodman's concern about using modified (certified) values 
rather than actual measurements. In addition, DOE's modification 
related to the represented value for capacity, in section III.A.6, 
addresses Nortek's concern about overrating.
    In addition, DOE wishes to clarify that when calculating SEER 
values, manufacturers must use the tested capacity value, not the 
certified capacity value.
    For the CD value, in section III.E.11, based on 
stakeholder comments, DOE

[[Page 37016]]

has decided to allow manufacturers to use the default value without 
testing. The default value is conservative, and DOE believes that 
manufacturers will only opt to test if it will improve upon the default 
value for that model. DOE will follow the lead of the manufacturer in 
determining whether to use the default value or to test a given unit. 
Therefore, instead of reporting the CD value used, the 
manufacturer must report whether the optional tests were conducted to 
determine the CD value or whether the default value was 
used. If manufacturers report using the default value, DOE will also 
use the default value. If manufacturers conduct optional testing, DOE 
will also conduct testing to determine CD. The result for 
each unit tested (either the tested value or the default value, as 
selected according to the criteria for the cyclic test in 10 CFR part 
430, subpart B, Appendix M, section 3.5e) will be used to determine the 
applicable standards for purposes of compliance.

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.
    DOE published a Notice of Proposed Rulemaking (AEDM NOPR) in the 
Federal Register on May 31, 2012. 77 FR 32038. 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. DOE subsequently published a final rule, related to commercial HVAC 
equipment only, on December 31, 2013 (78 FR 79579).
    In the November 2015 SNOPR, DOE proposed modifications to the 
central air conditioner and heat pump AEDM requirements that were 
proposed in the AEDM NOPR. 80 FR 69278, 69292 (Nov. 9, 2015). In 
response to DOE's proposal, AHRI, Nortek, and Ingersoll Rand 
recommended that DOE align the CAC/HP AEDM proposal with commercial 
equipment AEDM provisions because the commercial and residential 
technologies, testing methods, and simulation approaches were nearly 
identical. (AHRI, No. 70 at p. 9; Nortek, No. 58 at p. 5; Ingersoll 
Rand, No. 65 at p. 11)
    In response to that comment, DOE notes that its proposal was based 
off the commercial equipment AEDM provisions with slight modifications 
appropriate to the residential product, and as such declines to make 
the AEDM provisions identical to those for commercial equipment. 
However, revisions to specific aspects of the proposal based on 
stakeholder comments are discussed in subsequent sections.
    First Co. commented that the DOE's proposed modifications in the 
November 2015 SNOPR require manufacturers to develop an AEDM for heat 
pumps. First Co. noted that any AEDMs used by an ICM to rate systems 
would require coefficient data from the OUM, which is not required to 
be publicly disclosed and which is not currently available to ICMs. 
First Co. commented that this issue must be addressed in the rule. 
(First Co., No. 56 at p. 1)
    In response to First Co.'s comment, DOE notes that its proposal in 
the November 2015 SNOPR did not require use of an AEDM. 80 FR 69278, 
69292 (Nov. 9, 2015). Manufacturers may choose to test all individual 
combinations within a basic model rather than applying an AEDM. 
Therefore, DOE has not made any changes to its proposal in response to 
First Co.'s concerns.
    AHRI, ADP, Mortex, and Lennox commented that, for ICMs, certified 
ratings must be less than or equal to AEDM output. (AHRI, No. 70 at p. 
5-6; ADP, No. 59 at p. 2-3; Mortex, No. 71 at p. 4-6; Lennox, No. 61 at 
p. 5)
    In response, DOE notes that in 10 CFR 429.16, DOE adopted the 
requirement that represented values of efficiency must be less than or 
equal to the output of the AEDM, while represented values of power must 
be greater than or equal to the output of the AEDM. In addition, under 
10 CFR 429.70(a), represented values must never be ``better'' (overrate 
efficiency or underrate consumption) than the output of the AEDM. These 
requirements apply to all manufacturers, not just ICMs.
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). In the November 2015 SNOPR, DOE continued to propose the use of 
one term, AEDM, to refer to all modeling techniques used to develop 
certified ratings of covered products. 80 FR 69278, 69293 (Nov. 9, 
2015).
    Lennox, Goodman, Ingersoll Rand, and AHRI supported DOE's proposal 
to eliminate the term ``ARM'' and instead use the term ``AEDM.'' 
(Lennox, No. 61 at p. 7; Goodman, No. 73 at p. 7; Ingersoll Rand, No. 
65 at p. 11; AHRI, No. 70 at p. 9) There, DOE has eliminated the term 
``ARM'' in this final rule, using only ``AEDM.''
3. Elimination of the Pre-Approval Requirement
    In the November 2015 SNOPR, DOE proposed to eliminate the pre-
approval process for ARMs for split-system central air conditioners and 
heat pumps. In lieu of this, DOE also proposed 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 proposed records retention requirements and 
additional manufacturer requirements to permit DOE to audit AEDMs 
through simulations, review of data and analyses, and/or certification 
testing. 80 FR 69278, 69294 (Nov. 9, 2015).
    Lennox agreed that elimination of the pre-approval for AEDMs could 
reduce time to market, facilitate innovation, and eliminate the time 
required to complete the approval process. (Lennox, No. 61 at p. 7) In 
this final rule, DOE has eliminated the pre-approval requirement as 
proposed in the November 2015 SNOPR.
4. AEDM Validation
a. Outdoor Unit Manufacturers
    In the November 2015 SNOPR, DOE noted that in its proposed 
revisions to the determination of certified ratings for central air 
conditioners and heat pumps,

[[Page 37017]]

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). 
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. In the November 2015 SNOPR, DOE did not seek to require 
additional testing to validate an AEDM beyond what is proposed under 10 
CFR 429.16(a)(1)(ii). 80 FR 69278, 69294 (Nov. 9, 2015).
    DOE also proposed in the November 2015 SNOPR to adopt test 
requirements similar to those used for AEDM validation for commercial 
HVAC and water heating equipment, as published in the AEDM final rule 
78 FR 79579, 79584 (Dec. 31, 2013). Specifically, DOE proposed that (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 alternative test method should 
apply in lieu of the DOE test procedure. 80 FR 69278, 69296 (Nov. 9, 
2015).
    In the November 2015 SNOPR, DOE proposed a validation tolerance of 
3 percent for AEDMs because the variability in a manufacturer's lab and 
within a basic model should be more limited than lab-to-lab 
variability. DOE proposed tolerances for verification testing of 5 
percent to account for added lab-to-lab variability. 80 FR 69278, 69296 
(Nov. 9, 2015).
    ADP, Lennox, UTC/Carrier, Rheem, and Unico agreed with DOE's 
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--that is, each model of outdoor unit with at least one model of 
HSV indoor unit. (ADP, No. 59 at p. 7; Lennox, No. 61 at p. 15; UTC/
Carrier, No. 62 at p. 8; Rheem, No. 69 at p. 8; Unico, No. 63 at p. 6)
    Unico commented that single-split systems manufactured and rated by 
an OUM should continue to validate their AEDM using the HSVC measured 
results. (Unico, No. 63 at p. 6) The California IOUs commented that it 
is critical that an AEDM be validated fully and in a manner that allows 
DOE to use lab-testing data to disallow an AEDM if it is inaccurate. 
(California IOUs, No. 67 at p. 4)
    Lennox, JCI, AHRI, First Co., Ingersoll Rand, UTC/Carrier, Rheem, 
and Nortek recommended that DOE align the CAC/HP AEDM validation 
tolerance proposal with commercial equipment AEDM provisions of 5 
percent. (Lennox, No. 61 at p. 8; JCI, No. 66 at pp. 3-4; AHRI, No. 70 
at p. 9; First Co., No. 56 at p. 2; Ingersoll Rand, No. 65 at p. 11; 
UTC/Carrier, No. 62 at p. 8; Rheem, No. 69 at p. 2; Nortek, No. 58 at 
p. 5) AHRI, Lennox, JCI, and Nortek further commented that lab 
variability is an inherent part of the testing process regardless of 
whether all testing is conducted in a manufacturer's lab or lab-to-lab. 
They asserted that the fundamental issue is that HVAC equipment relies 
on accurate air property measurements (wet bulb/dew point) and the 
variability of the test alone is greater than five percent. (AHRI, No. 
70 at p. 9; Nortek, No. 58 at p. 5; JCI, No. 66 at pp. 3-4; Lennox, No. 
61 at p. 8) AHRI and Nortek also commented that it is crucial that 
manufacturers be permitted to apply the AEDM across basic models in 
order to align the CAC/HP AEDM validation tolerance with the commercial 
equipment AEDM provisions. (AHRI, No. 70 at p. 9; Nortek, No. 58 at p. 
5)
    Given the support in the comments related to AEDM validation for 
OUMs, DOE maintains its proposal to not require any additional testing 
to validate an AEDM beyond that required for certification. DOE notes 
that while the proposal applied to split systems only, in this final 
rule, it applies to single-package systems as well. After reviewing the 
comments, DOE has adopted a validation tolerance of 4% rather than the 
proposed 3%. DOE notes that manufacturers did not provide evidence of 
the comparison of within-lab variability to lab-to-lab variability nor 
did they request a higher verification tolerance, indicating that a 5% 
tolerance appropriately captures lab-to-lab variability. In addition, 
DOE notes that in its own enforcement testing, it obtains results 
within 3%. For these reasons, DOE believes that a validation tolerance 
of 4% balances the manufacturers' concerns regarding within-lab 
variability with the understanding that such variability is by nature 
less than lab-to-lab variability and with DOE's own experience with 
such testing variability. In response to AHRI and Nortek's additional 
comment, while at least one individual model or combination within each 
basic model must be tested, DOE did not propose that AEDMs be specific 
to basic models; they can be applied across basic models.
b. Independent Coil Manufacturers
    In the November 2015 SNOPR, DOE noted that in its proposed 
revisions to the determination of certified ratings for central air 
conditioners and heat pumps, 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. Additionally, DOE did not require 
additional testing to validate an AEDM beyond that proposed to be 
required to determine the certified ratings. 80 FR 69278, 69294 (Nov. 
9, 2015). DOE also proposed the same additional test requirements for 
ICMs as for OUMs, as discussed in the previous section. 80 FR 69278, 
69296 (Nov. 9, 2015).
    Rheem commented that ICMs should validate their AEDMs in the same 
manner as an OUM. Rheem agreed that ICM ratings would improve when 
indoor units are tested with outdoor units. Rheem further commented 
that ICM ratings would also improve when a particular indoor coil is 
tested with multiple outdoor units of different capacities and that the 
process should properly consider what effects refrigerant mass flow 
variations across tonnages have on the performance of a single indoor 
unit. (Rheem, No. 69 at p. 8) UTC/Carrier also supported DOE's proposal 
and appreciates DOE for closing what it perceived as a loophole in the 
current regulations and requiring ICMs to test in a similar fashion to 
OUMs. (UTC/Carrier, No. 62 at p. 9)
    On the other hand, Unico commented that DOE should replace the term 
``basic model'' with ``Similarity Group,'' essentially requiring AEDM 
validation based on the testing requirements for a Similarity Group. 
(Unico, No. 63 at p. 6) As discussed in section III.A.3.d, AHRI, ADP, 
Mortex, and Lennox recommended that, to validate an AEDM, an ICM (1) 
test and rate at least one combination per Similarity Group with an 
outdoor unit with the lowest SEER that complies with standard; (2) 
perform at least one full-system test per Similarity Group; (3) if 
rating HP combinations, test one-third of

[[Page 37018]]

Similarity Groups with HP systems in both heating and cooling modes; 
and (4) if an ICM has only one Similarity Group, the manufacturer must 
test a minimum of two combinations to validate the AEDM. (AHRI, No. 70 
at p. 5-6; ADP, No. 59 at p. 2-3; Mortex, No. 71 at p. 4-6; Lennox, No. 
61 at p. 5)
    AHRI, ADP, Mortex, and Lennox suggested that for ICMs to validate 
an AEDM, test results should be required to be more than five percent 
below output from the AEDM. The commenters noted that DOE has proposed 
three percent on the supposition that a manufacturer's lab will have 
less variation, but that many ICMs do not have labs and will rely on 
external labs for testing and that there is no basis to suggest that 
the testing variation will be significantly different between testing 
commercial and consumer products. (AHRI, No. 70 at p. 5-6; ADP, No. 59 
at p. 2-3; Mortex, No. 71 at p. 4-6; Lennox, No. 61 at p. 5)
    AHRI, ADP, Mortex, and Lennox also suggested that ICMs only be 
permitted to rate basic models within Similarity Groups validated by a 
tested combination. (AHRI, No. 70 at p. 5-6; ADP, No. 59 at p. 2-3; 
Mortex, No. 71 at p. 4-6; Lennox, No. 61 at p. 5)
    As discussed in section III.A.3.d, DOE is adopting the suggested 
Similarity Group requirements as the basic model definition for ICMs 
and is requiring testing of one combination per basic model (with the 
exception of heat pumps) according to the sampling plan in 429.16. With 
these changes, DOE believes that the testing requirements for 
certification remain sufficient for validating an AEDM. In addition, 
DOE believes that the additional requirements on test data used for 
validation address AHRI's concern regarding a need for additional 
testing for ICMs with only a single Similarity Group. Therefore DOE is 
not requiring ICMs to conduct any additional testing for AEDM 
validation beyond that required for certification.
    Furthermore, after reviewing these comments, DOE has adopted a 
validation tolerance of four percent rather than the proposed 3 
percent, for ICMs as well as OUMs.
    In response to AHRI, ADP, Mortex, and Lennox, DOE notes that the 
request that ICMs only be permitted to rate basic models within 
Similarity Groups validated by a tested combination is consistent with 
its adopted requirements regarding use and validation of AEDMs, 
although in the adopted framework, manufacturers may only use AEDMs to 
rate individual combinations within basic models validated by a tested 
combination.
5. 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 conducting 
enforcement testing, DOE tests a retail unit or a unit provided by the 
manufacturer if a retail unit is not available. 10 CFR 429.110(c). A 
selected unit is 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. 10 CFR 429.110(a). 
DOE may conduct testing 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. 10 CFR 429.110(a).
    In the November 2015 SNOPR DOE explained that verification testing 
conducted by DOE is conducted with no communication between the lab and 
the manufacturer without DOE authorization. 80 FR 69278, 69296 (Nov. 9, 
2015). Thus, DOE proposed a method for determining that a combination 
rated using an AEDM does not meet its certified rating. Specifically, 
DOE proposed 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 noted 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. 80 FR 69278, 
69296 (Nov. 9, 2015).
    In the November 2015 SNOPR, DOE also proposed providing 
manufacturers with a test report that includes a description of test 
set-up, test conditions, and test results when an individual 
combination rated using an AEDM fails to meet the certified rating. 
Under this proposal, DOE would also 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). Under the proposed 
procedure, DOE would consider any response offered by the manufacturer 
within a designated time frame before deciding upon the validity of the 
test results. Only after considering the manufacturer's response and 
determining it to be unsatisfactory would DOE declare the 
manufacturer's rating for the basic model invalid and require the 
manufacturer to take subsequent action, as described in section 
III.B.6. 80 FR 69278, 69297 (Nov. 9, 2015).
    AHRI and Nortek commented that DOE's proposal was unclear regarding 
the difference between AEDM validation testing and verification 
testing. (AHRI, No. 70 at p. 9; Nortek, No. 58 at p. 5) In response, 
DOE notes that manufacturers must conduct validation testing in order 
to use an AEDM to determine represented values and to certify 
compliance to DOE. DOE may conduct AEDM verification testing to verify 
the validity of an AEDM.
    ADP, Lennox, UTC/Carrier, and Unico agreed with DOE's proposal that 
manufacturers should not be penalized for being conservative in their 
ratings for any of the metrics. They stated that, given the testing 
uncertainties, manufacturing variation, etc., manufacturers need to be 
conservative to ensure their product performs at the rated level. (ADP, 
No. 59 at p. 8; Lennox, No. 61 at p. 15; UTC/Carrier, No. 62 at p. 9; 
Unico, No. 63 at p. 7) Rheem also agreed with the proposal to allow 
conservative ratings. (Rheem, No. 69 at p. 9)
    JCI and Lennox commented that there appears to be a typographical 
error on (5) AEDM Verification Testing. (v) Tolerance. The text shows 
``For efficiency metrics, the result from a DOE verification test must 
be greater than or equal to 1.05 multiplied by the certified rating.'' 
JCI and Lennox believe the language should read: ``must be greater than 
or equal to 0.95 multiplied by the certified rating''. (JCI, No. 66 at 
p. 3; Lennox, No. 61 at p. 15)
    Given the agreement of the commenters, DOE finalizes its proposed 
five percent tolerance in verifying an AEDM's performance and allowance 
for manufacturers to make conservative representations in this final 
rule. In response to JCI and Lennox's comments, DOE acknowledges that 
the November 2015 SNOPR included a typographical error in the 
tolerances, which has been corrected in this final rule. DOE did not 
receive comments on other aspects of its

[[Page 37019]]

AEDM verification testing proposals and adopts them as proposed in the 
SNOPR.
6. Failure To Meet Certified Represented Values
    In the November 2015 SNOPR DOE proposed that manufacturers need not 
re-validate the AEDM in response to the first determination of an 
invalid rating for models certified with that 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. 80 FR 69278, 69297 (Nov. 9, 2015).
    DOE also proposed 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. 80 FR 69278, 69297 (Nov. 9, 2015).
    DOE also proposed 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. 80 FR 69278, 
69297 (Nov. 9, 2015).
    DOE created its proposal under the expectation that each 
manufacturer will use only a single AEDM for all central air 
conditioner and central air conditioning heat pumps. Several 
stakeholders responded to DOE's question on whether manufactures 
typically apply more than one AEDM, and if they do, then what the 
differences are between such AEDMs.
    ADP commented that they use one AEDM. (ADP, No. 59 at p. 8) Unico 
commented that a single AEDM may incorporate several calculation 
methods, but that the AEDM should be designed to choose the most 
accurate calculation method and is still one AEDM. (Unico, No. 63 at p. 
7)
    Lennox commented that while the concept of an AEDM's function is 
the same, different AEDMs may be optimized for application, ease of 
use, outputs or integration into other business processes. Lennox 
recommended that AEDMs not be restricted to a singular application. 
(Lennox, No. 61 at p. 15) UTC/Carrier suggested that multiple AEDMs 
could be applied for different products, such as packaged systems 
versus splits and variable speed versus single-stage. UTC/Carrier 
argued that a dedicated AEDM would more accurately reflect product 
performance for consumer benefit (UTC/Carrier No. 62 at p. 9) JCI 
commented that they would likely utilize one AEDM for split AC units, 
one for split HP units, and possibly one for single-package units, with 
a possible additional one a two stage product and another for 
multistage product. JCI stated the primary differences are the 
additional simulation conditions and required additional input. (JCI, 
No. 66 at p. 16) Rheem commented that manufacturers may choose to have 
multiple AEDMs based on design technologies to ensure rating accuracy 
for each technology, i.e., micro-channel vs. fin and tube performance 
modeling. (Rheem, No. 69 at p. 9)
    After reviewing the comments, DOE acknowledges that some 
manufacturers may have more than one AEDM but will likely have fewer 
than five. DOE believes that its proposal is still valid under these 
circumstances and has adopted it as proposed. DOE has adopted a 
requirement for manufacturers to provide a ``name'' for the AEDM used 
to rate each individual model or combination, although for some 
manufacturers it may be the same for all. If DOE finds that there is a 
proliferation of AEDMs and that DOE's requirements for re-validation, 
re-determination of represented values, and/or re-certification 
following the failure of a model to meet its certified represented 
value are no longer sufficient to ensure that represented values 
generated with AEDMs are reliable, DOE may revisit these requirements.
    AHRI and Nortek disagreed with the proposal to invalidate an AEDM 
after four failures within 24 months and recommended that DOE implement 
an option to ``save'' the HSVC and remaining basic model ratings, 
similar to the provisions within the AHRI Certification Program. (AHRI, 
No. 70 at p. 9; Nortek, No. 58 at p. 6) Ingersoll Rand recommended that 
DOE adopt the AHRI proposal for additional testing should there be 
``excessive'' failures of AEDM rated products. (Ingersoll Rand, No. 65 
at p. 11) JCI commented that it appears that if a basic model is deemed 
invalid that all mix match ratings associated with that basic outdoor 
model would be made invalid and be required to be recertified. JCI 
believes this is very punitive and does not take into account that the 
invalid ratings may be due to other factors. JCI also agreed with other 
commenters that there should be a method to ``save'' all of the other 
mix match ratings associated with that basic outdoor model. (JCI, No. 
66 at p. 4)
    UTC/Carrier recommended that the number of failures in 24 month 
period before the AEDM is invalidated should scale to the number of 
basic models for that particular manufacturer. (UTC/Carrier, No. 62 at 
p. 8)
    Goodman expressed concern over the result of an initial assessment 
test in which the basic model being tested failed to achieve its 
ratings. Goodman commented that if the manufacturer is permitted to 
review the setup of test arrangement before the test is finished, the 
cause of failure could be eliminated. (Goodman, No. 73 at p. 7)
    In response to AHRI, Nortek, and JCI, DOE's proposal does permit a 
manufacturer to ``save'' all represented values with minimal effort at 
the first failure and with additional testing at the second, third and 
fourth failures. If, after all of that additional testing, the AEDM is 
still not accurate, DOE is unsure what would be ``saved''. DOE notes 
that the tested combination of each basic model would not have been 
rated using the AEDM and thus would be unaffected by a failure of the 
AEDM. In response to Ingersoll Rand, DOE views five failures in two 
years as excessive, as DOE has already provided a 5% tolerance. In 
response to UTC/Carrier, DOE disagrees that the number of failures 
should scale to the number of basic models. DOE believes that if a 
manufacturer has five basic models that test outside of the 5% 
tolerance, especially following feedback from the four previous 
failures, that there must be a significant problem with the AEDM. In 
response to Goodman, DOE notes that although it has not provided an 
allowance for a manufacturer to review the test set up prior to 
testing, DOE will provide the manufacturer with documentation related 
to the test set up and allows the manufacturer to present claims 
regarding the validity. DOE believes this accomplishes the same result.
    Unico commented that for ICM ratings, if a rating is invalid, if 
the same basic model was tested and passed, only the system tested that 
failed is re-rated. For an ICM, the same failure is not considered a 
failure of the AEDM unless the outdoor unit has been tested and shown 
to meet the OUM rating. Unico argued that, from an engineering view,

[[Page 37020]]

the calculation method should only be changed if the measured data is 
[in]consistent with the AEDM input. Unico also expressed the view that, 
since the ICM does not manufacture the outdoor unit, the ICM should not 
be held responsible for the OUM information. According to Unico, ICM 
ratings are likely to be doubly conservative if one considers that the 
OUM ratings are conservative and this is added to the conservative ICM 
rating. Unico also urged DOE to consider that the ratings are based on 
tests of the outdoor unit (OUM basic model testing) and of the indoor 
unit (ICM Similarity Group testing), asserting that this is more 
testing than the OUM product alone. (Unico, No. 63 at p. 4)
    In response to Unico, DOE does not agree that ICMs should have 
different consequences for failures than OUMs. All manufacturers use 
AEDMs at their own risk and are responsible for ensuring the accuracy 
of the AEDM, including the accuracy of the testing used to validate the 
AEDM.
7. Action Following a Determination of Noncompliance
    If an individual model or combination is determined to be 
noncompliant, then all other individual models or combinations within 
that basic model are considered noncompliant. DOE's proposal in the 
November 2015 SNOPR with respect to AEDMs did not include a provision 
that other basic models rated with the AEDM would be considered 
noncompliant. However, DOE noted 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, a manufacturer must re-validate the 
AEDM with test data for a compliant basic model in order to continue 
using the AEDM. The requirements for additional testing based on 
invalid ratings, as discussed in the previous sections, may also apply. 
80 FR 69278, 69298 (Nov. 9, 2015).
    DOE notes that it did not receive comments related to this 
discussion in the November 2015 SNOPR.
8. AEDM for Off Mode
    In the November 2015 SNOPR, DOE listed several requirements a 
manufacturer must meet to use an AEDM in certifying ratings, including 
PW,OFF. 80 FR 69278, 69339 (Nov. 9, 2015).
    AHRI, Ingersoll Rand, Nortek, Lennox, and JCI recommended that use 
of an AEDM be permitted to generate ratings for off mode power across 
units of similar construction. (AHRI, No. 70 at p. 9; Ingersoll Rand, 
No. 65 at p. 4; Nortek, No. 58 at p. 5; Lennox, No. 61 at p. 7; JCI, 
No. 66 at p. 9) Additionally, Lennox recommended that use of an AEDM be 
permitted to generate ratings for off mode power for units that use the 
same off mode components (Lennox, No. 61 at p. 7), while AHRI and 
Nortek recommended that an AEDM be permitted to be used to generate 
ratings across tonnages. (AHRI, No. 70 at p. 9; Nortek, No. 58 at p. 5) 
Rheem recommended that manufacturers be permitted to use an AEDM to 
generate ratings for off mode power across similar control systems that 
would consume the same off-mode power. Rheem also expressed the view 
that the AEDM should be validated based on testing of a single model 
with the same control system. Rheem further commented that 
manufacturers should be able to rate the off mode power consumption of 
both single-package and split systems with varying compressors, coils, 
and auxiliary refrigeration system components if the models are in the 
same basic model or have common control and motor types. (Rheem, No. 69 
at p. 3, 7)
    DOE agrees with stakeholders that, for units with a similar pairing 
of compressor, crankcase heater and common control, an AEDM is capable 
of providing an off mode represented value without the manufacturer 
needing to test each basic model. In response to the commenters' 
request, DOE has eliminated the requirement to test each basic model 
for off-mode power. Instead, at a minimum, among models with similar 
off-mode construction (even spanning different basic models, a 
manufacturer must test at least one individual model or combination for 
off-mode power, and may use an AEDM for the rest. DOE notes that in all 
cases, the AEDM-generated represented value may be subject to 
verification testing, and thus the responsibility is on the 
manufacturer to determine which model(s) or combination(s) should be 
tested for off-mode as part of AEDM validation. DOE also notes that an 
AEDM may be used for off-mode power for multi-split, multi-circuit, and 
multi-head mini-split systems, even though an AEDM may not be used for 
the efficiency metrics.

C. Waiver Procedures

    In the November 2015 SNOPR, DOE stated that a total of four waivers 
(and one interim waiver) for central air conditioner and heat pump 
products would terminate 180 days after the publication of this final 
rule notice in the Federal Register. 80 FR 69278, 69298-300 (Nov. 9, 
2015). The waivers to be terminated are listed in Table III.4.
    In the June 2010 NOPR, DOE proposed a test method for testing 
Triple-Capacity Northern Heat Pumps which would replace the waiver test 
procedure granted to Hallowell International (see 75 FR 6013 (Feb. 5, 
2010)) for testing its line of boosted compression heat pumps. 75 FR at 
31238 (June 2, 2010). The November 2015 SNOPR reproposed the same 
procedure initially proposed in the June 2010 NOPR. 80 FR 69278, 69298 
(Nov. 9, 2015). DOE did not receive comments regarding this test 
procedure and is therefore finalizing it in this final rule. The 
Hallowell waiver will terminate on December 5, 2016.
    DOE received comments on the proposed test procedure revisions 
related to waivers for Multi-Zone Unitary Small Air Conditioners and 
Heat Pumps from ECR International (ECR) and Multi-blower Air-
Conditioning and Heating Equipment from Cascade Group. Additionally, 
DOE has further reviewed the proposed approach for the waivers for air-
to-water heat pumps granted to Daikin for their Altherma heat pumps. 
These waivers and associated comments are discussed in the following 
sub-sections.

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


[[Page 37021]]

1. Air-to-Water Heat Pumps and Air Conditioners
    In the November 2015 SNOPR, DOE had determined that the Daikin 
Altherma air-to-water heat pumps with integrated domestic water heating 
rely exclusively on refrigerant-to-water heat exchange on the indoor 
side, and thus would not be required to be tested and rated for the 
purpose of compliance with DOE standards for central air conditioners 
or heat pumps. 80 FR 69278, 69298 (Nov. 9, 2015). DOE received no 
comment on these waivers.
    DOE further considered the regulatory status of air-to-water heat 
pumps and notes that EPCA defines Central Air Conditioner as ``a 
product, other than a packaged terminal air conditioner, which--(A) is 
powered by single phase electric current; (B) is air-cooled; (C) is 
rated below 65,000 Btu per hour; (D) is not contained within the same 
cabinet as a furnace the rated capacity of which is above 225,000 Btu 
per hour; and (E) is a heat pump or a cooling only unit.'' (42 U.S.C. 
6291(21)) The definition does not exclude products that transfer 
cooling or heating to a water loop on the indoor side. Hence, DOE 
concludes that these products are covered under regulations for CAC/HP. 
DOE does agree that the existing test procedures for CAC/HP do not 
fully address test methods for air-to-water systems. Specifically, they 
do not provide instructions regarding how to set up the water loop in 
the test, nor whether any power input associated with the water-based 
thermal distribution system should be incorporated into the efficiency 
metrics.
    The Daikin waivers called for testing of the Altherma air-to-water 
heat pumps using European standard EN 14511 to determine EER and COP, 
and that these measurements are the only allowed representations of the 
performance of these products. (See for example 75 FR 34731, 34733 
(June 18, 2010).) DOE now considers these waivers to be invalid, 
because they did not provide a method to determine SEER and HSPF, the 
metrics that must be reported to DOE to certify compliance with the 
applicable efficiency standards. Hence, these waivers are considered to 
be terminated, effective immediately. DOE will work with manufacturers 
of air-to-water heat pumps and air-to-water air conditioners as needed 
to help develop test procedures for providing SEER, HSPF, and average 
off-mode power represented values that may become the basis of 
replacement waivers.
2. Clarification of the Test Procedure Pertaining to Multi-Circuit 
Products
    The ECR waiver for Multi-zone Unitary Small Air Conditioners and 
Heat Pumps concerns a split system that has one outdoor unit with 
multiple circuits. In the November 2015 SNOPR, DOE proposed to define 
such a product as a multiple-circuit (or multi-circuit) system (see 
Section 1.2 in Appendix M). The November 2015 SNOPR also proposed to 
provide a test procedure for multi-circuit products using a common duct 
approach for the indoor air flow measurement, similar to the approach 
used for multi-split units (see Section 2.4.1.b in Appendix M), thus 
allowing a single test for each operating condition. 80 FR 69278, 69299 
(Nov. 9, 2015).
    In their comments, AHRI and Nortek stated that multi-circuit 
products are different than multi-split systems. According to AHRI and 
Nortek, the outdoor unit has multiple separate circuits, each serving a 
separate indoor unit. They commented that multi-circuit products should 
be considered as multiple units whose outdoor portions are all 
contained within one outdoor unit cabinet. (AHRI, No. 70 at p. 18; 
Nortek, No. 58 at p. 14-15). AHRI and Nortek also commented that 
utilizing a common duct at zero static pressure with indoor sections of 
differing airflows will load the indoor sections unequally and may not 
yield the same air flows as when individually ducted. AHRI and Nortek 
commented that without each circuit having individual performance data 
collected, the test would not reflect the true performance of the 
system. Id.
    Rheem stated that each circuit should be tested individually and 
the efficiency certified separately but did not elaborate on this 
comment. (Rheem, No. 69 at p. 9)
    Lennox supported DOE's proposal of the common duct approach for 
multi-circuit products. (Lennox, No. 61 at p. 16)
    DOE believes that a multi-circuit system is a single unit rather 
than multiple units, one for each circuit, as suggested by Rheem. All 
of the individual circuits within the multi-circuit system share the 
same outdoor coil and fan(s) and therefore are affected by the 
operation of the other circuits. The outdoor unit containing the 
multiple circuits is shipped as a single unit, not as separate units. 
Therefore, DOE adopts its November 2015 SNOPR proposal to require 
manufacturers to certify the multi-circuit system as a single system, 
which is consistent with the existing ECR waiver.
    DOE noted in the November 2015 SNOPR that the common duct testing 
approach has been adopted by industry standards and is an accepted 
method for testing systems, such as multi-split systems, having 
multiple indoor units. 80 FR 69299 (Nov. 9, 2015). In fact, the indoor 
units of multi-split systems do not all have the same capacity or air 
flow rate. Hence, it is not clear why the common-duct approach is 
suitable for multi-split systems but would not be suitable for multi-
circuit systems. In this final rule, DOE adopts the common-duct testing 
approach proposed in the November 2015 SNOPR for multi-circuit systems. 
However, considering that there might be manufacturers and/or test 
laboratories that wish to use the approach of the waiver, in which 
individual measurements are made for each indoor section, DOE has 
modified the provisions in section 2.4.1.b for multi-circuit systems to 
allow use of either the common-duct approach or separate air flow 
measurement for each indoor unit of the multi-circuit system. Both 
approaches should yield the same performance since all the indoor 
sections are subject to the same external static pressure.
    Because DOE has adopted test procedure amendments that allow multi-
circuit systems to be tested without a waiver, testing in accordance 
with the ECR waiver may not be used for representations after 180 days 
following publication of this final rule.
3. Clarification of the Test Procedure Pertaining to Multi-Blower 
Products
    The Cascade Group waiver concerns multi-blower products. The test 
procedure amendments, as proposed in the June 2010 NOPR enable testing 
of multi-blower products. 75 FR 31237 (June 2, 2010). In the November 
2015 SNOPR, DOE proposed amending Appendix M to Subpart B of 10 CFR 
part 430 with language in sections 3.1.4.1.1d and 3.1.4.2e to provide 
detailed instructions on obtaining the Cooling full-load air volume 
rate and cooling minimum air volume rate. 80 FR 69278, 69300 (Nov. 9, 
2015).
    In response to DOE's November 2015 SNOPR, Rheem stated that, if 
there are options for obtaining the maximum or minimum airflow 
configuration, the option for each with the highest energy consumption 
should be tested. (Rheem, No. 69 at p. 9)
    DOE notes that in tests for products other than multi-blower 
systems, the test procedures do not require use of the most energy-
consumptive control setting options to achieve the specified air flow 
rates. Hence, DOE declines to require this approach for multi-blower

[[Page 37022]]

products. Therefore, DOE adopts the test approach initially proposed in 
the June 2010 NOPR and modified in the November 2015 SNOPR.
    Because DOE has adopted test procedure amendments that allow multi-
blower systems to be tested without a waiver, testing in accordance 
with the Cascade Group waiver may not be used for representations after 
180 days following publication of this 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 received during the April 2011 SNOPR 
comment period regarding testing burden on manufacturers. 76 FR 65616, 
65618-22 (Oct. 24, 2011). In the November 2015 SNOPR, DOE proposed a 
fourth draft discussing and revising test settings and the calculation 
method in response to stakeholders' comments. 76 FR 69278, 69300-05 
(Nov. 9, 2015). Based on further comments DOE received in the November 
2015 SNOPR comment period, DOE is modifying its approach and is 
adopting the off mode test procedure.
1. Test Temperatures
    In the November 2015 SNOPR, DOE proposed to require manufacturers 
to include the temperatures at which the crankcase heater is designed 
to turn on and turn off, if applicable, in their certification reports. 
80 FR 69278, 69301 (Nov. 9, 2015). DOE proposed to replace the 
``shoulder season'' off mode test (P1) at 82[emsp14][deg]F with a test 
at 722[emsp14][deg]F and replace the ``heating season'' off 
mode test (P2) at 57[emsp14][deg]F with a test at a temperature which 
is 52[emsp14][deg]F below a manufacturer-specified turn-on 
temperature. Id.
    In response to the October 2011 SNOPR, the California IOUs 
recommended that P1 be measured at a temperature that is 3-5 [deg]F 
above the manufacturer's reported ``off'' set point. (California IOUs, 
No. 33 at p. 2) DOE requested comment on this recommendation in the 
December 2011 extension notice. 76 FR 79135 (Dec. 21, 2011). AHRI 
responded to the California IOUs' recommendation, indicating that the 
first test should instead be conducted at 72[emsp14][deg]F to verify 
whether the crankcase heater is on, and suggesting that 72 [deg]F is 
more appropriate than 82 [deg]F because 72 [deg]F is ``the top of the 
shoulder season.'' (AHRI, No. 41 at p. 2) In response to the November 
2015 SNOPR, Rheem expressed its preference for the shoulder season off 
mode test to be at 822[emsp14][deg]F instead of 722[emsp14][deg]F in order to reduce the test condition 
transitioning time after the B test. (Rheem, No. 69 at p. 9)
    Although DOE acknowledges that there may be added test burden to 
reduce the temperature in the test room, DOE agrees with AHRI that 
72[emsp14][deg]F is more representative of conditions during actual 
use. Accordingly, today's final rule adopts the requirement that this 
test be conducted at 722[emsp14][deg]F. There were no 
comments against the proposal to replace the ``heating season'' off 
mode test (P2) at 57[emsp14][deg]F with a test at a temperature which 
is 52[emsp14][deg]F below a manufacturer-specified turn-on 
temperature. Hence, DOE adopts the proposal in this final rule.
    Ingersoll Rand requested an option that off mode tests be allowed 
to take place in a climate controlled enclosure rather than a 
psychrometric room. (Ingersoll Rand, No. 65 at p. 4) In considering 
this suggestion, DOE noticed that, although the proposed test procedure 
does not specify that off mode tests should be conducted in 
psychrometric rooms, the proposed procedure requires off mode tests be 
done after the B, B1, or B2 test, thus implying 
that it be conducted in a psychrometric room. DOE agrees that the off 
mode test results will not be affected by humidity levels. The proposal 
of the November 2015 SNOPR involves conducting the off mode test after 
the B, B1, or B2 test, and approaching the target 
72[emsp14][deg]F test temperature at a rate of change of no more than 
20 [deg]F per hour. 80 FR 69278, 69374 (Nov. 9, 2015). The test 
procedure in this final rule modifies this procedure by allowing the 
off mode test to be conducted in a temperature-controlled room, but to 
otherwise maintain the proposed requirements with regard to ambient 
temperature, i.e. starting the test when the ambient temperature is 82 
[deg]F (as required for the B, B1, or B2 test) 
and subsequently ramping down the ambient temperature as required by 
the proposed procedure. The final test procedure also acknowledges the 
initial intent to conduct the test after the B, B1, or 
B2 test by requiring that the compressor shell temperature 
be at least 81 [deg]F before starting the ambient-temperature rampdown. 
This requirement prevents a test lab from moving a test sample from a 
storage room that might be much colder than 82 [deg]F into the test 
room and starting the test with a cold compressor.
    Lennox suggested that DOE allow manufacturers to simply energizing 
the crankcase heater for non-variable type heaters to reduce the test 
burden, so that such units could be tested with no temperature control 
requirement. (Lennox, No. 61 at p. 16) In considering Lennox's comment, 
DOE agrees that this option could be adopted for many fixed-power-input 
crankcase heaters, including those without controls and those 
controlled by thermostats that measure ambient temperature whose 
sensing elements are not affected by the heater. However, DOE 
understands that, if the thermostat's action is affected by the 
crankcase heater's heat output (i.e. if the sensing element is close 
enough to the heater to be affected by the heat), the unit should be 
tested with a controlled ambient temperature because in such cases the 
ambient temperatures at which the thermostat switches the heater on and 
off would differ from its rated cut-in and cut-out temperatures, due to 
the warming effect of the heater.
    Several comments recommended a third off-mode test at low 
temperatures. JCI recommended for air conditioners whose crankcase 
heaters are turned off during winter a third test at 5[emsp14][deg]F 
below the winter cut-off temperature. (JCI, No. 66 at p. 16) The joint 
NEEA/NPCC comment requested a third test below freezing to establish 
the slope of a variable power crankcase heating system and to capture 
the energy use of electric resistance drain pan heaters which could 
consume considerable energy in off mode for conditions below freezing. 
(NEEA and NPCC, No. 64 at p. 4) The joint ACEEE/NRDC/ASAP comment made 
a similar recommendation (ACEEE, NRDC, ASAP, No. 72 at p. 3) As 
mentioned in the November 2015 SNOPR, the intent of the off mode power 
consumption value (PW,OFF) is that it be a representation of 
the off mode power consumption for the shoulder and heating seasons, 
and DOE has not found that the additional accuracy gained from the 
additional test point merits the additional test burden, as discussed 
in the November 2015 SNOPR. 80 FR 69278, 69301 (Nov. 9, 2015). As DOE 
is required to consider test burden in its development of test 
procedures, DOE is not adopting a third test in this final rule.

[[Page 37023]]

2. Calculation and Weighting of P1 and P2
    DOE proposed to give equal weighting to P1 and P2 for the 
calculation of the off mode power rating (PW,OFF). 76 FR 65616, 65620 
(Oct. 24, 2011). (See also 80 FR 69278, 69301 (Nov. 9, 2015)).
    The Joint Efficiency Advocates (NEEA and NPCC) strongly urged DOE 
to adopt a temperature bin-weighting methodology that would include the 
energy contribution of drain pan heaters and suggested considering the 
AHRI-proposed bin method. (NEEA and NPCC, No. 64 at p. 5) The Joint 
Advocates of ACEEE, NRDC and ASAP also recommended the bin method due 
to their concern that the current averaging method would underestimate 
the off mode power consumed for units with variable output crankcase 
heaters. (ACEEE, NRDC and ASAP, No. 72 at p. 3) NEEA and NPCC also 
commented that with manufacturers providing turn-on and turn-off 
temperatures for crankcase heaters, it would be easy to construct a bin 
method calculation. Further, they indicated that DOE has not shown data 
to justify the selection of a 50-50 weighting of P1 and P2. (NEEA and 
NPCC, No. 64 at p. 5)
    DOE is aware that drain pan heaters may be used in heat pumps that 
have drain pans to collect defrost melt water. However, heat pumps are 
not considered to have off-mode hours in sub-freezing winter conditions 
when drain pan heaters might be required. Their energy use is captured 
as part of the active-mode heating tests in 17 [deg]F ambient 
conditions (e.g. the H3, H31, and H32 tests) that 
are part of the HSPF determination. To clarify, DOE has added a new 
section 2.2.f to Appendix M that indicates that such heaters are 
energized for active-mode testing.
    DOE initially proposed to adopt the 50-50 weighting of the off mode 
in the October 2011 SNOPR 75 FR at 65620 (Oct. 24, 2011). This decision 
was made in light of disagreement regarding what represents an 
appropriate shoulder season, concern about regional variation in 
shoulder season characteristics, and the fact that EPCA did not grant 
DOE authority to set regional off-mode standards. A 50-50 weighting of 
P1 and P2 provides a representative national estimate of off mode power 
input. Depending on the assumptions made regarding the shoulder season, 
the climate region examined, whether the product is an air conditioner 
or a heat pump, and the details of the crankcase heater control, the 
relative representativeness of P1 and P2 may change. In light of this 
variability and uncertainty, it is not clear that a bin calculation 
would have more meaning than the 50-50 averaging. Therefore, DOE is 
adopting the 50-50 weighting as proposed.
    There were additional comments concerning the calculation of P1 and 
P2 for products with variable speed compressors. Nortek, Unico, JCI, 
Rheem, Goodman and AHRI each provided an estimate of 70 Watts for 
variable speed products' crankcase heaters and commented that 70 Watts 
is an accurate average value. They argued that, considering that the 
standard single-capacity products' crankcase heaters require no more 
than 40 Watts, the ratio of 70 to 40, which is 1.75, should be a 
reasonable multiplier. (Nortek, No. 58 at p. 8; Unico, No. 63 at p. 9; 
JCI, No. 66 at p. 9; Rheem, No. 69 at p. 10; AHRI, No. 70 at p. 11; 
Goodman, No. 73 at p. 8) Lennox recommended that DOE adopt the same 
requirement for modulating or variable speed systems as adopted for 
multiple compressor systems, with a multiplier factor of 2. (Lennox, 
No. 61 at p. 16)
    In contrast, a joint comment from NEEA and NPCC and a comment from 
the California IOUs disagreed with DOE's proposal to adjust the off-
mode measurements for large-capacity, multiple or modulated 
compressors. NEEA and NPCC argued that appropriately-designed crankcase 
heaters for large-capacity compressors should pass the off-mode 
standard and that it is unnecessary to have a multiplier. (NEEA and 
NPCC, No. 64 at p. 5) The California IOUs commented that off mode power 
consumption should be on a per-system basis rather than per-compressor. 
(California IOUs, No. 67 at p. 2-4)
    Based on these comments, DOE is adopting 1.75 as the multiplier for 
modulated compressors (including variable-speed compressors). DOE 
adopts as the effective multiplier for a compressor system consisting 
of multiple single-stage compressors a value equal to the number of 
single-stage compressors. As addressed in the November 2015 SNOPR, DOE 
believes that large-capacity and multiple-compressor systems require 
higher wattage crankcase heaters because they are likely to have larger 
surface area and more thermal mass, including more lubricant. Also, 
manufacturers have been using higher-wattage crankcase heaters for 
modulating compressors to address the higher perceived risk associated 
with oil frothing on restart for these compressors, due to their higher 
controls complexity. DOE does not have sufficient evidence that larger-
capacity, multiple-, or modulating compressor systems can operate 
safely with the same levels of crankcase heating and hence retains the 
multiplier for these compressors in the off-mode test. DOE agrees that 
modulated compressors (including variable speed products) require more 
crankcase heater power, and selected the 1.75 factor on this basis 
(this is equal to the typical 70W mentioned above for variable-speed 
compressors divided by the typical 40W power draw for typical single-
stage compressor crankcase heaters).
    Although not indicated clearly in the comments, DOE understands 
``modulated'' in the comments to refer to any compressor that is not 
single-capacity. DOE clarifies in this final rule that the 1.75 
multiplier applies to the number of compressors that are not single-
stage, including two-stage compressors and variable speed compressors. 
This is less than a factor of 2, which would be the effective 
adjustment for a two-compressor system, but there is insufficient data 
showing variable speed products should have the same requirement as 
multiple compressor systems.
3. Time Delay Credit and Removal of Calculations for Off Mode Energy 
Consumption and Annual Performance Factor
    In the November 2015 SNOPR, DOE proposed to adopt, for crankcase 
heaters that incorporate a time delay before turning on, a credit that 
would be proportional to the duration of the delay, as implemented in 
the calculation of the off mode energy consumption. (The original 
proposed calculation method for PW,OFF did not include any 
adjustment associated with the time delay). DOE also proposed, 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. DOE notes that the impact on crankcase heater energy use 
was extended in the proposal to the entire off-mode energy consumption 
because, for an air conditioner or heat pump with a crankcase heater, 
most of the off mode energy use is associated with the heater. To 
reduce potential instances of the misuse of this incentive, DOE also 
proposed requiring manufacturers to include in certification reports 
the duration of the crankcase heater time delay for both the shoulder 
and heating seasons. 80 FR 69278, 69303-04 (Nov. 9, 2015).

[[Page 37024]]

    DOE received a joint comment from NEEA and NPCC that stated, among 
other things, that the impact of a time delay in a system is difficult 
to measure accurately. NEEA and NPCC also expressed the opinion that 
sometimes the time delay behavior is an artifact of temperature 
control, because it takes a certain time for the compressor to cool 
after a run cycle. (NEEA and NPCC, No. 64 at p. 6) The California IOUs 
recommended care be taken in adopting such a credit, and requested that 
it be vetted appropriately before being implemented. (California IOUs, 
No. 67 at p. 5)
    Upon further review of the function of the time delay relay and its 
potential impact on off mode power consumption, DOE concludes that the 
proposed credit is not consistent with the intent of its off mode 
definition. A definition for off mode was initially proposed in the 
July 2010 NOPR. For air conditioners, it was proposed to include, ``all 
times during the non-cooling season of an air conditioner. This mode 
includes the `shoulder seasons' between the cooling and heating seasons 
when the unit provides no cooling to the building and the entire 
heating season, when the unit is idle.'' 75 FR at 31249 (June 2, 2010). 
The definition for off mode season in today's notice is not identical 
but has essentially the same meaning, for example for an air 
conditioner, referring to both the shoulder season and the heating 
season. The shoulder season is defined as the period between the months 
of the year that require heating or cooling. The off mode season lasts 
months. Hence, the impact of a crankcase heater time delay of a 
fraction of an hour, as is typical for such relays, would 
insignificantly reduce average crankcase heater on-time or energy use.
    The time delay credit was proposed in the November 2015 SNOPR to 
apply only to the off mode energy use calculation, and to the annual 
performance factor, APF, but not to the off-mode metric 
PW,OFF. DOE does not currently have, and has not proposed to 
establish, standards or reporting requirements for off mode energy use 
or annual performance factor, nor are these parameters needed for 
representations, such as for product labeling. Hence, DOE is not 
adopting in Appendix M the proposed provisions for calculating off mode 
energy use, as well as the proposed time delay credit, and has removed 
the provisions for calculating annual performance factor.
4. Impacts on Product Reliability
    Addressing concerns from stakeholders, in the November 2015 SNOPR, 
DOE stated that it expected that the proposed off mode test method 
would allow manufacturers to meet the June 2011 off mode standards 
without compromising the reliability of central air conditioners and 
heat pumps. DOE requested comments on the issue of compressor 
reliability as it relates to crankcase heater operation. 80 FR 69278, 
69304 (Nov. 9, 2015).
    Lennox, JCI, and Rheem expressed concerns that regulating crankcase 
heater power will have a negative impact on products. (Lennox, No. 61 
at p. 17; JCI, No. 66 at p. 17; Rheem, No. 69 at p. 11) NEEA/NPCC 
strongly agreed with DOE that manufacturers will be able to meet off 
mode power consumption standards without adverse impact on product 
reliability. (NEEA/NPCC, No. 64 at p. 7) UTC/Carrier and the California 
IOUs suggested that DOE should seek comments or obtain information on 
research conducted by compressor manufacturers or independent entities. 
(UTC/Carrier, No. 62 at p. 12; California IOUs, No. 67 at p. 5) 
However, no party provided any data indicating that the proposal would 
have such an impact. Also, DOE has modified many of the details of the 
test procedure as requested by stakeholders to address concerns, for 
example, adjusting the measurement of PW,OFF for modulating- 
or multiple-compressor systems for consistency with their typically 
higher crankcase heater wattages. In this final rule, DOE has modified 
the proposed off mode test procedure consistent with information, 
provided by stakeholders, that might affect crankcase heater 
performance as measured by the test procedure such that application of 
the off mode standard using the final test procedure should have 
minimal impact on the reliability of CAC/HP systems.
5. Off Mode Power Consumption for Intelligent Compressor Heat Control
    In a general response to the off mode test procedure proposed in 
the November 2015 SNOPR, Ingersoll Rand commented that the proposed off 
mode test procedure cannot accurately reflect off mode energy 
consumption for their intelligent crankcase heater control, which 
cycles the heater to provide the appropriate average heat input. They 
requested that they be allowed to use an alternative test method for 
measurement of the heating season off-mode power consumption, P2, for 
products with this feature. The requested alternative test suggested by 
Ingersoll Rand would consist of a test period for measurement of input 
power that includes three complete crankcase heater cycles, or 18 
hours, whichever is shorter, rather than the 5-minute test period of 
the proposed test. Ingersoll Rand provided test data showing typical 
operation of the crankcase heater. (Ingersoll Rand, No. 65 at p. 14-23) 
DOE carefully reviewed Ingersoll Rand's data and agrees that longer 
tests are needed for heaters whose controls cycle or vary crankcase 
heater power over time. Rather than authorizing an alternative method 
specific to Ingersoll Rand, the final rule adopts an additional 
provision in the measurement of heating season off mode power 
consumption (P2), using the approach suggested by Ingersoll Rand for 
such controls: three complete heater cycles or 18 hours, whichever is 
shorter. The final rule also requires that this approach be used for 
measuring the shoulder season off-mode power consumption, P1, if the 
heater is energized and cycles or varies input power for that 
measurement.
6. Off Mode Test Voltage for Dual-Voltage Units
    In its comments on the off mode test procedure proposal of the 
November 2015 SNOPR, Ingersoll Rand stated that the proposal did not 
specify how to test units with a dual voltage rating. They further 
recommended that for such systems, the higher voltage should be the 
test voltage for off mode tests. (Ingersoll Rand, No 65 at p. 4). They 
also commented that the same tolerances be adopted as are used for 
performance testing. DOE notes that the current test procedure 
incorporates by reference section 6.1.3.2 of AHRI 210/240-2008, which 
provides requirements for setting voltage for testing products with 
dual nameplate voltages. The standard requires that 230 V be used for 
208-230 V dual-voltage units and that testing for all other dual 
nameplate voltage units be conducted at either the lower of the two 
voltages or at both voltages. Ingersoll Rand did not provide 
explanations supporting their suggestion to instead use the higher 
voltage (Ingersoll Rand, No. 65 at p. 4), and DOE sees no reason to 
depart from these established requirements for off-mode testing. DOE 
agrees with the need to specify tolerances, which are discussed in the 
next section.
7. Off Mode Test Tolerance
    DOE recognized that the November 2015 SNOPR did not address all 
relevant test tolerances for the off mode power consumption test. DOE 
proposed tolerances for outdoor temperatures in the November 2015 
SNOPR, but did not clarify whether test tolerances for power supply 
voltage for off mode testing should be different than for active mode 
testing. DOE adopts in this final rule the

[[Page 37025]]

same test tolerances used for active mode testing (see, for example, 
Table 7 in section 3.3 of Appendix M). These tolerances are 2.0 percent 
as the test operating tolerance and 1.5 percent as the test condition 
tolerance, both as a percentage of measured voltage.
8. Organization of Off Mode Test Procedure
    In addition to revising the proposed off-mode test procedure in 
response to stakeholder comments, as discussed in previous sections, 
DOE also modifies the proposed off mode test procedure in this final 
rule. These modifications do not affect the measurement but should help 
to ensure consistency between tests conducted in different labs.
    First, DOE has provided greater detail regarding test sample set-up 
and connection of power measurement devices for off-mode testing. This 
includes provisions for providing power to the control circuit for all 
kinds of units and specifically addresses the options when testing 
coil-only units for which a furnace or a modular blower is the 
designated air mover. (See section 3.13.1.a of Appendix M as finalized 
in this notice.)
    Second, the test procedure now provides greater specification 
regarding which power inputs are to be included as part of the low 
voltage power Px. (See, for example, section 3.13.1.d of 
Appendix M as finalized.)
    Third, the test procedure indicates that for units with time delay 
relays, the measurement is to be made after the time delay has elapsed.
    In addition, DOE notes that in the calculation of off-mode seasonal 
power consumption in section 4.3, P2 should never equal to zero. As 
described in the November 2015 SNOPR, DOE intended that the off mode 
power rating PW,OFF be equal to the arithmetic mean of P1 
and P2, without discussion of any special cases in which P2 is equal to 
zero. 80 FR at 69301 (Nov. 9, 2015). The provisions for calculating 
PW,OFF for cases in which P2 is equal to zero should not 
have appeared in the Appendix M regulatory language presented in the 
notice. Hence this notice shows the intended calculation, that 
PW,OFF be equal to the average of P1 and P2.
9. Certification
    In the November 2015 SNOPR, DOE proposed that manufacturers report 
off-mode power in their certification reports. 80 FR 69278, 69291 (Nov. 
9, 2015). In response, AHRI and Rheem suggested that the off mode 
ratings should be reported as pass/fail with a 5% tolerance. AHRI did 
not explicitly clarify what they meant by a 5% tolerance, but DOE 
assumes this means that the model would rate as ``pass'' even if the 
measured value (or the average of the values measured for the sample of 
units) is as much as 5% greater than the standard. AHRI stated that 
first, it is difficult to accurately measure the power consumption 
because of the inaccuracies in common measurement devices, and second, 
because consumers do not compare products using this metric, 
manufacturers have no incentive to report it. (AHRI No. 70 at p. 11; 
Rheem No. 69 at p. 3)
    DOE requires that manufacturers report the value of all regulated 
efficiency metrics rather than simply an indication of whether units 
pass or fail the energy conservation standard. If a manufacturer does 
not wish to reveal how much lower than the off-mode power consumption 
standard a model performs, it has the option to rate at the standard 
level as long as the represented value is consistent with the 
measurements, sampling plan and represented value requirements in 10 
CFR 429. Accordingly, DOE maintains the requirement to report the 
actual value for off-mode power.
    DOE also proposed to require manufacturers to include in the 
certification reports the temperatures at which the crankcase heater is 
designed to turn on and turn off for the heating season, if applicable. 
80 FR 69278, 69301 (Nov. 9, 2015).
    After finalization of the off mode test procedure based on 
stakeholder comments, DOE recognized that the only product-specific 
temperature needed to be known to properly conduct the test is the 
turn-on temperature (i.e. the cut-in temperature). This is the 
temperature below which the thermostat would energize the heater. The 
heating season off-mode power is measured at an ambient temperature 5 
+/- 2 [deg]F below this turn-on temperature. The temperature at which 
the crankcase heater of an air conditioner is designed to turn off for 
the heating season (i.e. below which the heater would no longer be 
energized) will not be needed to conduct the tests. This is because the 
test procedure as finalized does not call for a test at a temperature 
near this lower turn off temperature. Hence DOE is requiring reporting 
only of the temperature at which the crankcase heater is designed to 
turn on.
10. Compliance Dates
    Rheem, Nortek, Goodman and JCI expressed concern with complying 
with the off mode power rating within 180 days of publication of the 
final test procedure. (Rheem, No. 69 at p. 3; Nortek, No. 58 at p. 7; 
Goodman, No. 73 at p. 20; JCI, No. 66 at p. 9) JCI commented that at 
least one test year is needed to complete the work to comply. (JCI, No. 
66 at p. 9) JCI further suggested that they would agree with requiring 
the off mode test for any new basic model starting 180 days after the 
publication of final rule, but that all existing basic models should be 
granted an extended period of 5 years for compliance. (JCI, No. 66 at 
p. 9) Nortek commented that manufacturers should have at least two 
years to comply with this change, otherwise DOE must explicitly permit 
all existing products to be grandfathered in until the new energy 
conservation standard goes into effect. (Nortek, No. 58 at p. 7) 
Goodman commented that manufacturers are statutorily provided with five 
years to comply with energy conservation standards, which DOE has 
reduced to less than six months. Goodman requested that DOE provide at 
least half of the required statutory time 
(two[hyphen]and[hyphen]a[hyphen]half years) to comply with the 
off[hyphen]mode standard compliance and certification requirements. 
Goodman noted that DOE could not presently assert civil penalties for 
off[hyphen]mode because there is no final method of test. (Goodman, No. 
73 at p. 20-21)
    DOE understands that the stakeholders' concern with the compliance 
date is due to the test burden related to measuring off mode power 
consumption. In this final rule, DOE has considerably reduced the test 
burden in the following aspects: (a) manufacturers do not need to test 
each basic model for off mode power consumption and instead are allowed 
to use an AEDM for off mode with certain requirements (discussed in 
section III.B.8); (b) all units are allowed to be tested for off mode 
power consumption in a temperature-controlled room rather than a 
psychrometric room; and (c) for units having a compressor crankcase 
heater whose power consumption can be determined without ambient 
condition requirements (e.g. the heater's wattage when energized does 
not vary with ambient temperature), manufacturers do not need to use 
temperature-controlled test facilities.
    With the test procedure allowances stated above, DOE believes that 
the off mode test burden has been reduced significantly and 
manufacturers should be able to provide the off mode power represented 
values within 180 days as required by statute.

E. Test Repeatability Improvement and Test Burden Reduction

    42 U.S.C. 6293(b)(3) states that any test procedure prescribed or 
amended

[[Page 37026]]

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 clarifications to improve test 
procedure repeatability and to reduce test burden. None of the 
clarifications listed in this section would alter the average measured 
energy consumption of a representative set of models.
1. Indoor Fan Speed Settings for Blower Coil or Single-Package Systems
    Indoor unit fan speed is typically adjustable to assure that the 
required air volume rate is provided for the range of field-installed 
ductwork systems that the unit might use for air distribution. The DOE 
test procedure has specific requirements for fan speed adjustment, 
external static pressure, and air volume rate during the test. For a 
ducted blower coil system, DOE's test procedure requires that (a) 
external static pressure be no less than a minimum value that depends 
on cooling capacity \9\ 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 
(see 10 CFR part 430, subpart B, Appendix M, Table 2); and that (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 \10\ (see 10 CFR part 430, subpart B, 
Appendix M, Section 3.1.4.1.1). In the November 2015 SNOPR, DOE 
proposed that blower coil products 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 clarification was proposed 
to be added to section 2.3.1.a of Appendix M. 80 FR 69278, 69305 (Nov. 
9, 2015).
---------------------------------------------------------------------------

    \9\ Or heating capacity for heating-only heat pumps.
    \10\ Such a requirement does not exist for heating-only heat 
pumps.
---------------------------------------------------------------------------

    Rheem agreed that the most logical and energy efficient method to 
set up an indoor fan on a central air conditioner or heat pump system 
is to set the indoor blower to the lowest fan setting that meets all of 
the air volume rate requirements. Rheem also agreed that lab to lab 
repeatability will improve with this requirement. (Rheem, No. 69 at p. 
11)
    JCI expressed concern that testing above the rated airflow would be 
permitted (JCI, No. 66 at p. 11). However, JCI expressed agreement with 
the proposal provided DOE establishes a tolerance relative to the rated 
airflow before adjusting speed settings (JCI, No. 66 at p. 17). In 
response to JCI, DOE did not intend to imply that the tested airflow is 
allowed to exceed the rated airflow. In this final rule, DOE has 
clarified this in sections 2.3.1.a and 2.3.2.a of the regulatory text 
by referencing section 3.1.4 for information on air volume rate control 
settings. Section 3.1.4 outlines a procedure in which the air volume 
rate is always set to the rated value or reduced to meet the static 
pressure requirement.
    Further, DOE notes that in the current test procedure (section 
3.1.4 of Appendix M) the air flow may be adjusted downwards from the 
rated air flow by up to 5 percent to meet the static pressure 
requirement before adjusting speed settings (i.e., if the ESP is lower 
than required when running at the rated air flow, the code tester fan 
can be adjusted to increase ESP and decrease airflow, without 
increasing the fan speed setting, until airflow is 95 percent of rated 
airflow). The June 2010 NOPR proposed increasing this tolerance such 
that switching to a higher speed setting would be required when the air 
volume rate drops below 90 percent of the rated air volume rate without 
meeting the external static pressure requirement--a 10 percent 
tolerance below rated. 75 FR at 31234 (June 2, 2010).
    NEEA commented that they do not support widening the gap between 
rated performance in the lab and actual performance in the field. NEEA 
requested that DOE research the adequacy of the 5 percent tolerance 
with an ESP testing minimum of 0.5 in. w.c. (NEEA, No. 7 at pp. 3-4). 
DOE does not believe that the air volume rate measurement in the field 
is very precise, if it is measured directly at all when systems are 
installed. This is because the apparatus used to measure air flow with 
this precision in the laboratory is very bulky and is not used for 
field installations. Hence, the increase from 5 to 10 percent tolerance 
would not increase the gap between field and laboratory operation. DOE 
adopts the tolerance as proposed.
    DOE identified potential sources of confusion in section 3.1.4 and 
has improved the language for setting the air volume rate of ducted 
blower coil systems that use blower motors other than constant-air-
volume-rate indoor blower motors. These changes do not alter the test 
method but rather provide clearer instructions for adjusting the indoor 
fan and the test apparatus settings to set the air volume rate in 
accordance with the test procedure.
    Improper fan speeds implemented during testing may have a marked 
impact on product performance, and inconsistent implementation of speed 
settings and adjustments may be detrimental to test repeatability. DOE 
therefore proposed that manufacturers could include in their 
certification report a certified air volume rate and certified 
instructions for setting fan speed or controls to achieve that air 
volume rate. 80 FR 69278, 69305 (Nov. 9, 2015). The requirement has 
been adopted by DOE in the final rule. As part of the section 3.1.4 
changes, DOE added instructions for testing if there is no certified 
air volume rate. Additionally, absent fan speed instructions for 
installation, DOE added instructions to use the as-shipped settings.
    DOE also adds specificity on which test conditions to use for 
determining air volume rates. For instance, the A (for single-stage 
units) or A2 test is specified for determining the cooling 
full-load air volume rate. Another modification places the 37.5 cubic 
feet per minute of standard air (scfm) per 1,000 Btu/h of capacity 
check as a last step in the process, after both the air volume rate and 
external static pressure requirements are met.
    AHRI asked DOE to provide information on how the airflow 450 scfm 
per ton ceiling was derived and why it is still relevant. (AHRI, No. 70 
at p. 13) DOE notes that the 450 scfm/ton ceiling is identical to the 
37.5 scfm per 1,000 Btu/h maximum air flow requirement that is in the 
CAC/HP test procedure. This requirement has been in the DOE test 
procedure since it was initially established. On January 11, 2001, DOE 
published a NOPR in which it discussed whether this upper limit on air 
flow should remain in the test procedure, expressed interest in further 
discussion to resolve the question, but proposed not to change the 
limit. 66 FR 6774. The final rule completing that rulemaking did not 
again discuss the issue. 70 FR 59122 (Oct. 11, 2005).
    DOE agrees with AHRI that the limit is not needed for blower coil 
systems. Increased air flow can improve heat transfer from the indoor 
coil. However, higher air flow for blower coil systems is at the 
expense of considerable fan power, which both reduces cooling capacity 
and increases system power. There is an optimum air flow for which 
efficiency would be maximized, typically near 400 scfm per ton, but it 
is different for each system. In a blower coil system test, the added 
fan power required to move additional air is

[[Page 37027]]

incorporated in the measurement. Hence, a manufacturer would not have 
incentive to increase rated airflow unreasonably. On the other hand, 
not setting an upper bound on air flow in the test procedure gives 
manufacturers more design flexibility. For these reasons, DOE has 
removed the 450 scfm per ton requirement for blower coil systems in 
this final rule notice. DOE does, however, expect that certified 
airflow rates will be consistent with installation instructions, since 
ultimately the test procedure is intended to reflect field performance.
    For consistency with the furnace fan test procedure, DOE proposed 
to add to Appendix M 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. 80 FR 69278, 
69305 (Nov. 9, 2015). DOE did not receive comments on this proposal and 
is retaining it as proposed.
2. Air Volume Rate Adjustment for Coil-Only Systems
    In the current DOE test procedure, for a coil-only system, 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 (see, for example, 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 blower coil unit, for which fan input power would increase more 
rapidly due to the increase of internal pressure drop as well as air 
volume rate. To prevent rating based on excessive air volume rates, a 
maximum pressure drop of 0.3 in. wc. is specified for the indoor coil 
assembly. To minimize potential testing variability due to the use of 
different air volume rates, in the November 2015 SNOPR, DOE proposed to 
require for coil-only systems for which the maximum air flow (37.5 
scfm/1,000 Btuh) or maximum pressure drop (0.3 in wc) are exceeded when 
using the specified air flow rate, that the air flow rate must be 
reduced so that both are satisfied. This is specified in section 
3.1.4.1.1.c of Appendix M as proposed. 80 FR 69278, 69305 (Nov. 9, 
2015). DOE did not receive comments on this proposal other than the 
AHRI comment regarding the 450 scfm per ton upper limit on air flow 
discussed above. DOE believes that the 0.3 in wc coil pressure drop 
maximum provides a limit on airflow that is comparable, i.e. exceeding 
the 450 scfm per ton limit would generally involve also exceeding the 
0.3 in wc limit. Hence, DOE sees little need to maintain the 450 scfm 
per ton limit only for coil-only systems and, consistent with the 
approach discussed above for blower coil systems, has removed this 
limit for coil-only systems.
3. 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 operates at low refrigerant pressure. However, 
in the heating mode, it operates at high pressure. To improve clarity 
and ensure that the language of the test procedure refers specifically 
to the actual functions of the refrigerant lines, DOE proposed in the 
November 2015 SNOPR to refer to the lines as ``vapor refrigerant line'' 
and ``liquid refrigerant line''. 80 FR 69278, 69306 (Nov. 9, 2015).
    Because DOE seeks to minimize test variability associated with the 
use of insulation, the November 2015 SNOPR included a proposal for 
determining the insulation requirement for the test based on the 
materials and information shipped 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 shipped with the unit. If instructions for refrigerant line 
insulation are not provided, liquid line insulation would be used only 
for heating-only heat pumps. These proposed requirements were intended 
to reduce test burden and improve test repeatability. 80 FR 69278, 
69306 (Nov. 9, 2015).
    Additionally, DOE proposed to add requirements to Appendix M, 
section 2.10.3 to require use of a thermal barrier to prevent 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. 80 FR 69278, 69306 (Nov. 9, 2015).
    DOE requested comment on these proposals. Many stakeholders agreed 
with the proposals. (NEEA and NPCC, No. 64 at p.8; ADP, No. 59 at p.9; 
UTC/Carrier, No. 62 at p. 13; Rheem, No. 69 at p. 11) DOE did not 
receive any comments opposing these proposals. Therefore, in this final 
rule, DOE adopts these proposals and adds a specification that 
insulation should remain the same for heating mode and cooling mode.
4. Outdoor Room Temperature Variation
    The current DOE test procedure requires that a portion of the air 
approaching the outdoor unit's coil is sampled using an air sampling 
device, often called an air sampling tree. (See Appendix M, section 
2.5). To ensure that the measured temperature accurately represents the 
average temperature approaching the coil even if there might be 
variation in the outdoor room conditions, the November 2015 SNOPR 
proposed 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 not performed on all inlet-air faces 
of the outdoor unit. Specifically, DOE proposed requiring 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. If this value is exceeded, DOE proposed 
that sampling tree collection of air would be required from all air-
inlet surfaces of the outdoor unit. DOE proposed in the November 2015 
SNOPR to add these requirements to Appendix M, section 2.11.b. 80 FR 
69278, 69306-07 (Nov. 9, 2015).
    In its comments on the November 2015 SNOPR, Rheem agreed with DOE's 
proposal. (Rheem, No. 69 at p. 12) UTC/Carrier also supported this 
proposal, indicating that although it will be challenging for testing 
facilities, it should reduce testing uncertainty. (UTC/Carrier, No. 62 
at p. 14). DOE recognizes that some of these proposed requirements 
could represent challenges, since they involve both addition of 
instrumentation and could require adjustment of outdoor room air 
circulation patterns in order to assure that the maximum temperature 
difference is not exceeded.
    Some stakeholders indicated that aspects of the proposal were not 
clear. JCI and AHRI commented that the

[[Page 37028]]

proposal did not specify if the 1.5 [deg]F maximum range for the 
observed temperatures measured by the thermocouples applies to time 
averages or instantaneous measurements made at any time during the test 
period, with AHRI adding that the tolerance should apply to the time-
average measurements. (JCI, No. 66 at p.18; AHRI, No. 70 at p. 13; ADP, 
No. 59 at p. 10; Lennox, No. 61 at p. 17). JCI, AHRI, ADP, and Lennox 
commented that the regulatory text portion of the notice requires that 
the thermocouple grid be used to verify temperature uniformity whether 
or not air samplers are used on all air inlet faces of the outdoor 
unit, while the preamble discussion (section III.E.3 of the notice) 
indicates that the thermocouple grid is not needed if air samplers are 
used on all air inlet faces--the commenters questioned the requirement 
for use of the thermocouple grid if air samplers are used on all faces. 
(JCI, No. 66 at p.18; AHRI, No. 70 at p. 13; ADP, No. 59 at p. 10; 
Lennox, No. 61 at p. 17). In response, DOE notes that DOE intended that 
the tolerance apply to the average temperatures measured during the 
test period and that the thermocouple grid be waived if the air 
samplers are used on all air inlet faces. DOE revised Appendix M for 
consistency with the intent of the proposal. DOE notes that time 
variation of the air inlet temperature is already addressed by the test 
operating tolerance requirement of ANSI/ASHRAE 37-2009.
    JCI and Ingersoll Rand suggested increasing the allowed variation 
between thermocouples on the thermocouple grid or sampler to 2.5F. 
(JCI, No. 66 at p.11; Ingersoll Rand, No. 65 at p. 5) In response, DOE 
notes that the proposal was somewhat lenient in allowing only one inlet 
air face to be measured with an air sampler if the temperature 
uniformity requirement is met. If, for example, the outdoor unit has 
four air inlet faces and the face with an air sampler is measuring high 
just within the allowed tolerance, while all the others are reading 
low, the actual average outdoor air condition would be up to 1.9 [deg]F 
lower than measured by the air sampler if the maximum allowed tolerance 
were 2.5 [deg]F.\11\ Hence DOE is reluctant to allow significant 
departure from the proposed 1.5 [deg]F tolerance. However, DOE has 
increased the tolerance to 2.0 [deg]F, noting that the accuracy of 
thermocouples is at best nearly +/- 1 [deg]F without careful 
calibration, thus making imposition of a 1.5 [deg]F maximum range 
impractical.
---------------------------------------------------------------------------

    \11\ For example, if the air approaching the air-sampled face 
were 95 [deg]F while the air approaching the other faces were 92.5 
[deg]F, the actual average inlet air temperature would be 93.1 
[deg]F, nearly 2 [deg]F lower than the temperature measured by the 
air sampler.
---------------------------------------------------------------------------

    JCI commented that they have had excellent experience with regard 
to the balance of entering air when using a 3-sided air sampler for 
products with 4 inlet air surfaces. (JCI, No. 66 at p.17) However, the 
comment did not provide DOE details to clarify what this means in terms 
of air temperature uniformity and how they determined that the 3-sided 
approach is sufficient. For example, if testing using four air samplers 
with separate measurements has always shown that any three of the air 
samplers provides an average temperature that is negligibly different 
than the full four-air-sampler average, such results would indicate 
strongly that the fourth air sampler was not necessary. DOE may 
consider such information and potential revision of the temperature 
uniformity requirements in a future rulemaking if such data can be 
provided.
    AHRI and JCI commented that the requirement to provide 
thermocouples for every square foot of outdoor coil surface would 
increase test burden, potentially requiring use of up to 40 
thermocouples for larger units. (AHRI, No. 70 at pp. 12-13; JCI, No. 66 
at p.11). DOE notes that the thermocouples are not required if all air-
inlet faces of the outdoor unit are measured using air samplers. DOE 
also notes that the 2015 draft version of AHRI Standard 210/240 calls 
for use of 16 thermocouples per air sampler. If using four air 
samplers, this adds up to 64 thermocouples. DOE has modified the 
requirement so that the thermocouple density would be 16 per face or 
one per square foot of inlet area, whichever is less. However, as noted 
before, the thermocouples are not required if air samplers are used on 
all air inlet faces.
    Ingersoll Rand commented that DOE should specify the location of 
the thermocouples, indicating that poor choice of location could, 
contrary to ASHRAE 37 requirements, lead to the thermocouple grid 
blocking the natural recirculation of condenser discharge air to the 
air inlet that may be inherent to the product design. The comment 
recommended that the thermocouples be mounted on an air sampler. 
Ingersoll Rand also recommended adding a specification to correlate the 
average thermocouple reading to the dry bulb temperature measurement of 
the sampled air, similar to the requirements of the thermopile used on 
the indoor side. (Ingersoll Rand, No. 65 at p. 5) In response, DOE 
notes that thermocouple requirement applies only if all air inlet faces 
of the outdoor unit are not measured using air samplers. DOE has 
modified the test procedure language to indicate that natural 
recirculation of discharge air back to the air inlet should be avoided 
when mounting the thermocouples, and that they should be located 6 to 
24 inches from the air inlet face. Certainly any thermocouple that 
blocks discharge air flow will register a high measurement that is 
outside of the specified tolerance. Regarding the correlation of 
thermocouple measurements with the air sampler dry bulb temperature 
measurement, DOE has not adopted this recommendation because it is not 
clear what its purpose would be. For the indoor side, such correlation 
helps to calibrate the thermocouple grid measurement for the cyclic 
test, but the outdoor air inlet temperature measurements are not used 
in a similar way for any of part of the tests. DOE adopts the 
amendments as proposed except for the changes discussed in this 
section, including (a) adopting 16 as the maximum number of 
thermocouples per inlet face, (b) increasing the maximum temperature 
range from 1.5 [deg]F to 2.0 [deg]F, (c) clarifying that the maximum 
range applies to the average measurements for the test period, and (d) 
clarifying that the thermocouples should not interfere with condenser 
discharge air flow.
5. Method of Measuring Inlet Air Temperature on the Outdoor Side
    The average dry bulb temperature of air approaching the air inlet 
faces of the outdoor unit can be measured using air samplers or using 
thermocouple grids. To improve test repeatability, in the November 2015 
SNOPR, DOE sought to ensure that temperature measurements taken during 
the test are as accurate as possible. DOE proposed that the air sampler 
dry bulb measurement (rather than the thermocouple grids) be the basis 
of comparison with the outdoor air dry bulb temperature requirement for 
the test. 80 FR 69278, 69307 (Nov. 9, 2015).
    Rheem and ADP agreed with DOE's proposal in the November 2015 
SNOPR. (Rheem, No. 69 at p. 12; ADP, No. 59 at p. 10) There were no 
comments against the proposal. Hence, DOE adopts the proposal in this 
final test rule.
6. Requirements for the Air Sampling Device
    In the November 2015 SNOPR, DOE proposed 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 proposed to require those surfaces of the air sampling device 
and the

[[Page 37029]]

means of air conveyance that are not in contact with the indoor and 
outdoor room air be insulated. 80 FR 69278, 69307 (Nov. 9, 2015).
    DOE also proposed 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 also proposed several amendments to 
air sampling procedures that are included in a draft revision of AHRI 
210/240. 80 FR 69278, 69307 (Nov. 9, 2015).
    Many stakeholders supported these proposals. (JCI, No. 66 at p.18; 
ADP, No. 59 at p. 10; UTC/Carrier, No. 62 at p. 14; Unico, No. 63 at p. 
9; Rheem, No. 69 at p. 12). There were no comments against the 
proposals. Therefore, DOE adopts the proposals.
7. Variation in Maximum Compressor Speed With Outdoor Temperature
    In the November 2015 SNOPR, DOE proposed that the maximum 
compressor speed be defined for the test procedure as the absolute 
maximum speed at which the compressor operates, allowing for a 
different maximum for heating mode as opposed to cooling mode. One 
implication of this proposal is that the maximum speed cannot be 
different for different cooling mode test conditions, and likewise it 
cannot be different for different heating mode test conditions. 80 FR 
69278, 69307 (Nov. 9, 2015).
    Some stakeholders supported this proposal and others did not. In 
its comments, Rheem tentatively agreed with the proposal but indicated 
it would support DOE conducting further studies. (Rheem, No. 69 at p. 
12) AHRI also proposed further study on the issue without further 
specificity. (AHRI, No. 70 at p. 17) UTC/Carrier requested 
clarification, although commented that the proposal seemed to be 
current industry practice. (UTC/Carrier, No. 62 at p. 14) JCI and 
Goodman also agreed that the maximum speed should be held constant. 
(JCI, No. 66 at p. 18; Goodman, No. 73 at pp. 8-9)
    In contrast, Ingersoll Rand and Lennox commented that they do not 
support the proposal to fix the maximum compressor speed because it 
limits the potential performance benefits of heat pumps. (Ingersoll 
Rand, No. 65 at p. 11; Lennox, No. 61 at p. 11) Ingersoll Rand 
commented that this proposal will become a bigger problem when the 
heating load line of Appendix M1 is implemented. (Ingersoll Rand, No. 
65 at p. 11) Lennox conducted testing on a three ton system and 
determined that operation at the 17 degree test point could be enhanced 
by 40 percent capacity and 10 percent HSPF by allowing the speed of the 
compressor to change with outdoor air temperature. (Lennox, No. 61 at 
p. 11) Mitsubishi recommended that the current testing process remain 
the same and that the optional testing method for HSPF should allow 
manufacturers to obtain ratings that incorporate the varying of the 
maximum compressor speed with outdoor temperatures. (Mitsubishi, No. 68 
at p. 4)
    DOE agrees with JCI and Goodman that the maximum speed should be 
the same for the different test conditions. DOE notes that a unit's 
performance is calculated based on test results using extrapolation and 
interpolation assuming that capacity and power vary linearly with 
outdoor temperature (i.e., the capacity and power vary a fixed amount 
in Btu/h for each additional degree that the outdoor temperature 
rises). For example, equations 4.2.2-3 and 4.2.2.-4 in Appendix M of 
the current test procedure are used with k set equal to 2 to calculate 
heat pump capacity and power input when operating at maximum speed. The 
performance for temperatures below 17 [deg]F and above 45 [deg]F 
ambient temperatures is calculated based on tests conducted at 17 
[deg]F and 47 [deg]F. Specifically, an equation for capacity as a 
function of ambient temperature is determined based on the measured 
capacities at 17 [deg]F and 47 [deg]F. This equation is then used to 
calculate capacity for all ambient conditions cooler than 17 [deg]F and 
warmer than 45 [deg]F. The same is done to determine heat pump power 
input for these temperature ranges. In a similar fashion, performance 
for temperatures between 17 [deg]F and 45 [deg]F are calculated based 
on tests conducted at 17 [deg]F and 35 [deg]F. The following example 
shows how allowing different compressor speeds for the pairs of tests 
used to determine performance can lead to non-representative results.
    The heat pump in question varies its maximum compressor speed in 
heating mode--its performance is shown in Figure 2 of the Oak Ridge 
National Laboratory review of variable-speed heat pump test procedures. 
(Review of Test Procedure For Determining HSPF's of Residential 
Variable-Speed Heat Pumps, Docket No. EERE-2009-BT-TP-0004, No. 49 at 
p. 5) The maximum-speed capacity of this heat pump clearly does not 
vary linearly between outdoor temperatures of 17 [deg]F and 47 [deg]F. 
Use of the test procedure's equation to represent this heat pump's 
performance below 17 [deg]F would indicate that its capacity increases 
as temperature drops below 17 [deg]F, which clearly is not true. This 
example shows that allowing different maximum compressor speeds can 
lead to nonsensical results. Hence, DOE is maintaining its proposal, 
consistent with its understanding of the test procedure's original 
intent, that maximum speed be the same speed for all test conditions of 
the particular operating (heating or cooling) mode that uses maximum 
speed. DOE has, however, modified the test procedure in this notice 
such that the maximum speed for a given operating mode (heating or 
cooling) used for the test conditions required to rate the product does 
not have to be the absolute maximum used by the product for that 
operating mode. Hence, a heat pump could use a higher maximum 
compressor speed when operating in a 5 [deg]F ambient condition than 
used for the required tests in 17 [deg]F, 35 [deg]F, and 47 [deg]F 
conditions. This provision assures that cold-climate variable speed 
heat pumps, those that boost compressor speed in very low ambient 
temperatures to reduce the amount of heat provided by resistance 
heating, can be tested using appropriate compressor speeds for the 
tested operating conditions. DOE has implemented the requirements 
discussed in this section differently than proposed. Instead of adding 
the proposed clarifications for maximum and minimum compressor speed in 
the definition of ``variable-speed compressor system'', DOE has 
provided clarification regarding compressor speed requirements in 
sections 3.2 and 3.6, which describe the tests that are required to be 
conducted for cooling and heating modes.
    DOE does agree that variable-speed heat pumps that have the 
capability to increase speed and thus heating capacity in lower ambient 
temperatures should have a test method that accurately reflects the 
performance of this potentially energy-saving feature (e.g., see 
Lennox, No. 61 at p. 11). However, it is DOE's belief that accurately 
accounting for such a feature requires more careful consideration of 
test procedure changes beyond simply allowing the compressor speed to 
vary for the test conditions required by the current procedure. DOE 
will consider such revisions in a future rulemaking. In the meantime, 
if a manufacturer feels that more accurate representation of a unit's 
performance would be obtained with an alternative test procedure, the 
manufacturer has the option of petitioning for a test procedure waiver.
    JCI and Goodman recommended using a different term than ``maximum 
compressor speed''. (JCI, No. 66 at p. 18; Goodman, No. 73 at pp. 8-9) 
Goodman

[[Page 37030]]

recommended adopting the term ``full'', as was proposed in the AHRI 
210/240 Draft. DOE agrees and has modified the terminology accordingly, 
renaming the term ``maximum compressor speed'' to ``full speed'' to be 
consistent with AHRI 210/240 Draft.
    The California IOUs commented that DOE should require the OUM to 
provide testing controls that allow fixed minimum, intermediate, and 
maximum speed/capacity controls settings. (California IOUs, No. 67 at 
p. 5) Rather than requiring provision of a test controller, DOE is 
requiring the provision as part of certification reporting of 
information that specifies the compressor frequency set points and 
settings for multi-step or variable-position components.
8. Refrigerant Charging Requirements
    In the November 2015 SNOPR, DOE proposed to require that near-
azeotropic and zeotropic refrigerant blends be charged in the liquid 
state rather than the vapor state. This was proposed for section 
2.2.5.7 of Appendix M. 80 FR 69278, 69307 (Nov. 9, 2015).
    DOE also proposed in the June 2010 NOPR to adopt into the test 
procedure select parts of the 2008 AHRI General Operations Manual 
indicating that the refrigerant charge cannot be changed after system 
setup. 75 FR at 31224, 31234-35 (June 2, 2010). DOE retained this 
requirement in the November 2015 SNOPR, specifically proposing 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. 80 FR 69278, 69307 (Nov. 9, 2015).
    Also, because the charging procedure would be different for systems 
with different metering devices, DOE also proposed to require 
manufacturers to report the type of metering device used during 
certification testing. 80 FR 69278, 69308 (Nov. 9, 2015).
    If charging instructions are not provided in the manufacturer's 
installation instructions shipped with the unit, DOE proposed 
standardized charging procedures consistent with the type of expansion 
device to ensure consistency between testing and field practice. 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 proposed 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.\12\ For a unit equipped with a 
TXV or electronic expansion valve (EXV) type metering device for which 
the manufacturer's installation instructions shipped with the unit do 
not provide refrigerant charging procedures, DOE proposed that the unit 
be charged at the A or A2 condition, requiring addition of 
charge until the subcooling \13\ temperature measured at the condenser 
outlet is 10 [deg]F plus or minus the proposed tolerance range.\14\ 80 
FR 69278, 69308 (Nov. 9, 2015).
---------------------------------------------------------------------------

    \12\ The range of superheating temperatures was generalized from 
industry-accepted practice and state-level authority regulations on 
refrigerant charging for non-TXV systems.
    \13\ 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.
    \14\ 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 proposed 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 proposed to add this requirement to use the same charge for all 
tests to Appendix M in a new section 2.2.5.8. 80 FR 69278, 69308 (Nov. 
9, 2015).
    DOE understands that manufacturers may provide installation 
instructions with different charging procedures for the indoor and 
outdoor units. In such cases, DOE proposed to require charging based on 
the installation instructions shipped with the outdoor unit for OUM 
products and based on the installation instructions shipped with the 
indoor unit for ICM products, unless otherwise specified by either 
installation instructions. 80 FR 69278, 69308 (Nov. 9, 2015).
    DOE also proposed that one or more refrigerant line pressure gauges 
be installed during the setup of single-package and split-system 
central air conditioner and heat pump products, depending on which 
parameters are used to set charge, unless otherwise specified by the 
installation instructions. DOE also proposed that the refrigerant 
charge be verified per the charging instructions provided in the 
installation instructions shipped with the unit, or, if no charging 
instructions are provided, the refrigerant charge would be verified 
based on the standardized charging procedure described above. 80 FR 
69278, 69308 (Nov. 9, 2015).
    As discussed in section III.E.14, DOE included in its proposal 
several aspects of the charging procedures that are included in a draft 
revision of AHRI 210/240. 80 FR 69278, 69308 (Nov. 9, 2015).
    UTC/Carrier, Unico, Rheem, and JCI supported the November 2015 
SNOPR proposal to require charging near-azeotropic and zeotropic 
refrigerant blends in the liquid state only. (UTC/Carrier, No. 62 at p. 
14; Unico, No. 63 at p. 9; Rheem, No. 69 at p. 12; JCI, No. 66 at p. 
18) There were no comments that disagreed with this proposal, so DOE is 
adopting it unchanged.
    The California IOUs supported giving priority to the OUM charging 
instructions if the indoor and outdoor unit instructions differ but did 
not explain why the OUM charging instructions should take priority if 
both components include instructions and they are not consistent. DOE 
responds that integration of a system incorporating an OUM's outdoor 
unit and an ICM's indoor unit is the responsibility of the ICM. 
Consequently, DOE adopts the charging instruction priority as proposed, 
i.e. ICM instruction priority in this case.
    The California IOUs also commented that providing generic superheat 
and subcooling temperatures is not appropriate or necessary, adding 
that manufacturers are required to include other types of installation 
instructions and should be required to do the same with something as 
basic as refrigerant charge. (California IOUs, No. 67 at p. 5) In 
response, DOE notes that most CAC/HP systems are shipped with 
installation instructions which discuss how to set refrigerant charge, 
and that it expects the provisions proposed to address cases where such 
instructions are not provided will not have to be used frequently. DOE 
notes further that providing clarity in the test procedure regarding 
how to address these situations will ensure that there is no question 
during testing about how to test products shipped without instructions.

[[Page 37031]]

    Rheem added that it provides refrigerant charging instructions that 
are dependent on the design of the unit; the charging instructions are 
different for different expansion devices (Rheem, No. 69 at p. 15). 
Consequently, DOE is adopting the proposal to provide standardized 
charging procedures that are based on the type of expansion device. 
Rheem commented that if the manufacturer does not specify a target 
superheat or subcooling point, 10 [deg]F +/- 1 [deg]F superheat should 
be used for systems with a fixed refrigerant restrictor and 10 [deg]F 
+/- 0.6 [deg]F subcooling should be used for systems with a TXV or 
electronic expansion valve. (Rheem, No. 69 at p. 15). As mentioned 
above, DOE does not expect the ``generic'' values of 12 [deg]F 
superheat and 10 [deg]F subcooling to be used frequently and notes that 
manufacturers that desire that different target values be used should 
be sure to include installation instructions with the units. DOE did 
not receive other comments regarding the specific values of the targets 
in case instructions are not provided, and DOE's research suggests that 
the proposed values are a good representation of the ranges of values 
provided in installations instructions for existing products. Hence, 
DOE is adopting the target values proposed in case instructions are not 
provided.
    Unico did not support charging to a specific subcooling value in 
heating unless the product is heating-only (Unico, No. 63 at p. 10).
    Responding to DOE's question about confirming proper operation in 
the H1 or H12 test for heat pumps following charging at the 
A or A2 test condition, JCI requested that manufacturers be 
permitted to set charge levels in either heating or cooling mode (JCI, 
No. 66 at p. 19). Rheem agreed with the proposal to test a heat pump in 
the H1 or H12 test in case it does not operate properly in 
heating mode with a charge set in the cooling mode, provided a 
definition of nonfunctional is added to the test procedure. (Rheem, No. 
69 at p. 13) In response, DOE added explanation in section 2.2.5.2.b 
that shutdown of a unit by its limiting devices would constitute non-
operation.
    DOE notes that the proposal in the November 2015 SNOPR requires 
that the installation instructions shipped with the system be consulted 
for instructions about how to charge the unit, and that the generic 
instructions be used only if no instructions are provided with the 
unit. Hence, a manufacturer has the option of requiring that charge be 
adjusted in cooling mode or to higher subcooling levels than indicated 
in section 2.2.5.4 of the November 2015 SNOPR, both of which would 
address Unico's concerns. Likewise, a manufacturer could specify that 
charge be set in either heating or cooling mode, which addresses JCI's 
concerns. 80 FR 69278, 69308 (Nov. 9, 2015).
    In order to clarify that the manufacturer can specify the operating 
mode to be used for setting charge, DOE has added language to section 
2.2.5.2 of this final rule notice allowing manufacturers the option of 
specifying tests for charging other than the A or A2 test. 
DOE maintains, however, the requirement that air volume rate must be 
determined by the A or A2 test.
    Goodman disagreed that all single-package units must be pressure-
verified, requesting an option for manufacturers to specify whether or 
not to connect pressure measurement devices (Goodman, No. 73 at p. 9). 
In response, section 2.2.5.5 of this final rule notice allows for 
manufacturers to specify in installation instructions whether or not 
pressure measurement instruments should be attached. Otherwise, DOE is 
adopting the proposal regarding refrigerant pressure gauges.
    For the final rule, DOE has explicitly designated the charging 
tolerances as test condition tolerances (see section 2.2.5.4). This 
clarifies that the charging tolerances refer to the maximum permissible 
differences between the average value of the measured temperature and 
the specified temperature in the DOE test procedure.
    Also for the final rule, DOE has relaxed the tolerance on 
subcooling in section 2.2.5.4 from +/- 0.6 [deg]F (the maximum 
tolerance listed in the draft version of AHRI 210/240) to +/- 2.0 
[deg]F. DOE is adopting this change for two reasons. First, in re-
examining past tests, DOE has observed considerable variation in 
subcooling temperatures even for properly installed systems that are 
operating correctly. DOE believes a test condition tolerance of +/- 0.6 
[deg]F will unnecessarily increase the difficulty of testing these 
units. Second, the minimum accuracy requirements in the current test 
procedure on the temperature and pressure instruments could result in 
as much as a 3.0 [deg]F measurement uncertainty on subcooling. Using 
today's typical instrumentation, however, the expected measurement 
uncertainty is about 1.0 [deg]F. DOE does not wish to require tighter 
tolerances than measurement uncertainties. Based on this, DOE settled 
on the average, a 2.0 [deg]F test condition tolerance on subcooling.
    DOE analyzed the impact of this tolerance change on capacity and 
EER by simulating performance across split-system and single-package 
air-conditioners as well as split-system heat pumps, varying the 
subcooling. On both capacity and EER, the impact of a 2.0 [deg]F 
fluctuation was less than 1% of the capacity and EER at baseline 
subcooling. DOE concluded that the advantages of increasing the 
tolerance in reducing test burden outweighed this impact. Hence, as 
mentioned, DOE is adopting the 2.0 [deg]F tolerance on subcooling.
    DOE received no other comments on proposals concerned with changing 
the refrigerant charge after setup, reporting the type of metering 
device, refrigerant charge verification, and/or any other DOE 
proposals. Consequently, DOE is adopting these proposals for this final 
rule notice.
9. Alternative Arrangement for Thermal Loss Prevention for Cyclic Tests
    In the November 2015 SNOPR, DOE proposed 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'' (for tests of cooling 
mode) or heat (for tests of heating mode) 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. The approach was 
developed for situations where insufficient space is available to 
install a damper box for both the inlet and outlet ductwork--the 
approach still requires use of a damper box on the outlet. DOE also 
proposed 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 proposed a maximum 
permissible variation in temperature measured at this location during 
the OFF period of 1.0 [deg]F. 80 FR 69278, 69308-09 (Nov. 
9, 2015). ADP supported this approach. (ADP, No. 59 at p. 11)

[[Page 37032]]

    Rheem commented that the currently required damper in the inlet 
portion of the indoor air ductwork has not been a source of variation 
in their test results. Rheem plans to continue using the current damper 
configuration. Rheem did not support an optional configuration. (Rheem, 
No. 69 at p. 13, 14) Rheem has not explained their objection to 
allowing use of the alternative approach sufficiently for DOE to 
understand the concern. Hence, in this final rule, DOE is adopting the 
option to allow an alternative testing arrangement to prevent thermal 
losses for cyclic testing. If the alternative testing arrangement is 
used, installation of a dry bulb temperature sensor near the inlet 
opening of the indoor duct would be required, as well as measuring and 
recording the dry bulb temperature from this sensor.
    JCI agreed with the proposal, but was concerned that it may not be 
possible to maintain the 1.0 [deg]F tolerance at the duct inlet with 
continuous readings. (JCI, No. 66 at p.18). In response, DOE has 
relaxed the requirement such that any pair of 5-minute averages of the 
dry bulb temperature at the inlet, measured at least every minute 
during the compressor OFF period of the cyclic test, do not differ by 
more than 1.0 [deg]F.
10. Test Unit Voltage Supply
    In the November 2015 SNOPR, DOE clarified that the outdoor voltage 
supply requirement supersedes the indoor requirement if the provisions 
result in a difference for the indoor and outdoor voltage supply. DOE 
proposed that both the indoor and outdoor units be tested at the 
nameplate voltage of the outdoor unit. 80 FR 69278, 69309 (Nov. 9, 
2015).
    DOE received no comment on this proposal, however DOE recognized 
that it is possible that the nameplate voltages of the indoor and 
outdoor units could be so different that one unit cannot operate with 
the other's voltage supply. For example, if the outdoor unit requires 
230V while the indoor unit requires 120V, applying 230V to the indoor 
unit would not be appropriate. DOE reviewed the range of nameplate 
voltages typically used for single-phase products as listed in Table 1 
on page 3 of AHRI Standard 110-2012, ``Air-Conditioning, Heating and 
Refrigerating Equipment Nameplate Voltages'' and determined that the 
only pair of nameplate voltages for which the electrical components for 
a product rated with one could operate using the voltage rated with the 
other are 208 V (200 V) and 230V. Hence, DOE has decided to require use 
of the outdoor voltage supply for both indoor and outdoor components 
only when one is rated with 208V or 200V and the other one is rated 
with 230V. For all other voltage combinations, DOE will require 
supplying each unit with its own nameplate voltage.
11. Coefficient of Cyclic Degradation
    The current test procedure gives manufacturers the option to use a 
default cyclic degradation coefficient for cooling mode 
(CDc) value of 0.25 instead of running the 
optional cyclic test. In the November 2015 SNOPR, DOE proposed to 
update the default cooling CDc value in Appendix 
M to 0.2 based on testing of 19 units for which the measured 
degradation coefficient for cooling ranged from 0.02 to 0.18. DOE did 
not propose to update the default heating CDh 
value. 80 FR 69278, 69309 (Nov. 9, 2015).
    Responding to DOE's proposal on the coefficient of cyclic 
degradation, stakeholders generally agreed with the proposed default of 
0.2 for cooling. (see, e.g., AHRI, No. 70 at p. 12 or Ingersoll Rand, 
No. 65 at p. 1) The test procedure adopted in this final rule includes 
the proposed value of 0.2 as the default degradation coefficient for 
cooling for single-speed and two-capacity units.
    However, DOE is aware that units with variable-speed compressors 
consistently have a higher coefficient of cyclic degradation than units 
with single-speed or two-capacity compressors. DOE reviewed the 
California Energy Commission (CEC) database of variable speed air 
conditioners and observed that the variable speed products rarely have 
a cooling CDc as low as 0.2. In its review of the 
CEC database, DOE noticed that many variable speed units are listed as 
multiple speed units. DOE separated the variable speed units from this 
group based on review of the product specification sheets, thus leading 
to a more complete list of variable speed models. As a result DOE found 
that, of 639 listed models that have variable-speed operation, only 76 
(i.e. 11%) are rated with a CDc value less than 
or equal to 0.2. As discussed above, DOE initially proposed reducing 
the default value from 0.25 to 0.2 based on test data showing 
CDc values consistently below 0.2. However, these 
data did not include measurements for variable-speed units. Based on 
the clear evidence as illustrated by the CEC database information, the 
0.2 value is not representative of the cyclic performance of variable-
speed units. Hence, DOE has maintained the current default cooling 
CDc of 0.25 for variable speed products and 
unmatched outdoor units (see section III.A.3.g), while changing to a 
default value of 0.2 for all other products as proposed.
    DOE also proposed significant changes to the cyclic test. DOE 
proposed that before determining CDc, 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 a minimum of three complete 
cycles would be conducted after the warm-up period, taking a running 
average of CDc 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 must be conducted. If the average CDc of 
the last three cycles are within 0.02 of or lower than the previous 
three cycles, use the average CDc of all valid 
cycles. After the fifth valid cycle, if the average 
CDc of the last three cycles is more than 0.02 
higher than the previous three cycles, the default value must be used. 
DOE proposed the same changes for the test method to determine the 
heating coefficient of degradation. 80 FR 69278, 69309 (Nov. 9, 2015).
    As a departure from the current test procedure approach, DOE 
proposed that manufacturers would have to conduct cyclic testing to 
determine CDc for each tested unit, rather than 
allowing them to use the default and avoid cyclic testing. Per the 
proposal, the default value would be used only if stability was not 
achieved during testing or when rating outdoor units with no match. 80 
FR 69278, 69309 (Nov. 9, 2015).
    AHRI, Lennox, UTC/Carrier, Ingersoll Rand, JCI, and Rheem commented 
that manufacturers should be allowed to use the default value without 
having to run the cyclic test. (AHRI, No. 70 at p. 12; Lennox, No. 61 
at p. 18; UTC/Carrier, No. 62 at p. 17; Ingersoll Rand, No. 65 at p. 2, 
JCI, No. 66 at p. 10; Rheem, No. 69 at p. 14) In contrast, NEEA 
commented in response to the June 2010 NOPR that laboratory 
measurements are often ``at odds'' with the 0.25 default value, and 
suggested that testing is more accurate and should always be conducted. 
The comment did not indicate whether the measurements were generally 
higher or lower than the default. (NEEA, No. 7 at p. 6)
    Lennox, UTC/Carrier, Rheem and AHRI suggested that a manufacturer 
should be allowed to use the first two cycles meeting a stability 
requirement, rather than requiring three warm-up cycles before official 
measurement begins. (Lennox, No. 61 at p. 18; UTC/Carrier, No. 62 at p. 
17; Rheem, No. 69 at p. 14; AHRI, No. 70 at p.11). If

[[Page 37033]]

stability is not reached after eight cycles, several manufacturers 
suggested use of either a measured value or the default value, 
whichever is lower, rather than requiring use of the default value. 
Lennox, Rheem and UTC/Carrier suggested that this measured value be the 
highest CDc recorded for any of the eight test 
cycles. (Lennox, No. 61 at p.18; Rheem, No. 69 at p. 14; UTC/Carrier, 
No. 62 at p. 17) JCI suggested that the measured value be the average 
of the three highest measured CDc values (JCI, 
No. 66 at p. 10), and Ingersoll Rand suggested that the measured value 
be the highest CDc recorded in cycles four 
through eight (Ingersoll Rand, No. 65 at p. 3).
    After reviewing all the stakeholders' comments, DOE has decided to 
allow manufacturers to use the default value without testing. Also, DOE 
is removing the requirement to conduct three warm-up cycles prior to 
making measurements. In the test finalized in this notice, a minimum of 
three cycles must be measured, and the test may then be terminated if 
the stability requirement is achieved. The test will still be required 
to continue for up to eight cycles if stability is not achieved. When 
the test is terminated, the highest CDc value 
recorded for any one test cycle would be used, unless it is higher than 
the default CDc, in which case the default would 
be used. The same approach is also adopted for the heating mode cyclic 
test. In response to the NEEA comment, DOE's data suggest that most 
single-stage and two-stage units have cyclic degradation coefficients 
less than the default and, in DOE's experience, manufacturers of such 
products nearly always run the cyclic test. DOE specifically re-
evaluated selection of the default value so that it is higher than the 
expected result, but DOE retains in its procedures use of the default 
value rather than testing to limit test burden for cases where a low 
CDc is not critical to assuring that the 
represented value is compliant with the standard (e.g. for variable-
speed units, which generally have higher CDc than 
single-stage or two-stage units).
    In order to improve the accuracy of the cyclic test, DOE proposed 
in the June 2010 NOPR a calibration step in which the temperature 
difference between measurements of the inlet and outlet thermocouple 
grids used to make the cyclic test capacity measurements is checked 
during the steady state test which precedes the cyclic test (e.g. the 
steady state C test for cooling). If this temperature difference 
compares unfavorably to the more accurate dry bulb temperature 
difference based on air samplers and sample-air temperature sensors 
(e.g. resistance temperature detectors (RTDs)), the proposal required 
that a calibration adjustment be made for the thermocouple grid 
measurements for use in the cyclic test. 75 FR 31235 (June 2, 2010). 
NEEA commented that they have no objection to DOE's proposal. (NEEA, 
No. 7 at p. 4) In contrast, AHRI disagreed with DOE's proposal and 
supported using the same temperature devices between the steady-state 
tests and cyclic tests to calculate CD in order to ensure 
consistency of measurement between the two tests. (AHRI, No. 6 at p. 3) 
DOE notes that AHRI's recommended solution, use of the thermocouple 
grids for measurement of the inlet/outlet temperature difference for 
both the steady-state and cyclic tests used as the basis for 
calculating CD, does not fully resolve the potential error 
in measurement if the measured temperature difference is high or low. 
In such a case, both the steady state and cyclic capacity estimates may 
be incorrect, and the overall measurement less precise than if the 
calibration step is taken. In order to achieve the original goal of 
improving the accuracy of the cyclic test, the test procedure in this 
final rule notice includes the proposed calibration step.
12. Break-in Periods Prior to Testing
    DOE proposed in the November 2015 SNOPR to allow manufacturers the 
option of specifying a break-in period to be conducted prior to testing 
under the DOE test procedure. DOE proposed 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 proposed 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. 80 FR 69278, 
69310 (Nov. 9, 2015).
    In response to the November 2015 SNOPR, Unico supported the option 
of having a break-in period and had no comment on the number of hours. 
(Unico, No. 63 at p. 11) Several other commenters requested longer 
break-in periods than 20 hours. LG and Ingersoll Rand commented that on 
average 40 hours of operation are required to reach peak capacity and 
efficiency. (LG, No. 55 at pp. 1-2; Ingersoll Rand, No. 65 at pp. 10-
11) Rheem commented that manufacturers should have the option of up to 
a 48 hour break-in period. (Rheem, No. 69 at p. 14) Goodman commented 
that at least 72 hours should be permitted for break-in period testing 
because they believe that shorter break-in periods could produce test 
results that are inaccurate. (Goodman, No. 73 at pp. 12-13) Lennox, 
UTC/Carrier, and JCI also commented that some compressor manufacturers 
recommend up to 72 hours break-in. (Lennox, No. 61 at p. 19; UTC/
Carrier, No. 62 at p. 17; JCI, No. 66 at p. 19) UTC/Carrier requested 
that DOE research directly with compressor manufacturers to align with 
their recommended compressor break-in periods. (UTC/Carrier, No. 62 at 
p. 17) Lennox commented that manufacturers should be able to specify 
break-in conditions. (Lennox, No. 61 at p. 19) JCI commented that if a 
manufacturer is willing to pay for an extended break-in time, it is 
reasonable to allow it, as it more closely represents what the consumer 
will see in the installation. (JCI, No. 66 at p. 19)
    LG and Ingersoll Rand further commented that they have worked 
towards a process for reducing the required break-in period for scroll 
compressors, and have developed a process to reduce the required break-
in period to 12 hours. (LG, No. 55 at pp. 1-2; Ingersoll Rand, No. 65 
at pp. 10-11) LG commented that they will be phasing in this new 
process through 2016, and requested DOE to adopt a phase-in approach 
for the rule implementation, with the limit being 40 hours on the rule 
effective date followed by the final 20 hour limit that would commence 
one year after the effective date. (LG, No. 55 at pp. 1-2) Ingersoll 
Rand recommended the effective date of the maximum break-in time be 
January 1, 2017. (Ingersoll Rand, No. 65 at pp. 10-11)
    In a supplemental response to the October 2011 SNOPR, 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 commonly used in 
central air conditioners and heat pumps, achieve their design 
efficiency after 75 hours of operation. AHRI also cited a study of 
compressor break-in periods to justify this period of time.\15\ 80 FR 
69278, 69309-310 (Nov. 9, 2015).
---------------------------------------------------------------------------

    \15\ Khalifa, H.E. ``Break-in Behavior of Scroll Compressors'' 
(1996). International Compressor Engineering Conference. Paper 1145.
---------------------------------------------------------------------------

    In the November 2015 SNOPR, DOE noted that, in reviewing the paper 
that AHRI cited, while the data indicate that products with scroll 
compressors do appear to converge upon a more

[[Page 37034]]

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.\16\ 80 FR 69278, 69310 
(Nov. 9, 2015). Considering the improvements in break-in as discussed 
in the comments of LG and Ingersoll-Rand, as well as the 1996 data 
which shows that most of the break-in occurs within 20 hours, DOE 
concludes that setting the bread-in period at 20 hours appropriately 
balances test burden and full completion of the break-in process.
---------------------------------------------------------------------------

    \16\ Ibid. pp. 442-443.
---------------------------------------------------------------------------

    After reviewing the comments, DOE maintains its proposal from the 
SNOPR, and will allow a break-in period up to a maximum of 20 hours. As 
noted in the November 2015 SNOPR, DOE believes that a lengthy break-in 
period is not appropriate or justified. 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 central air conditioners and heat pumps. DOE 
acknowledges the research being done to reduce the break-in period as 
highlighted by LG and Ingersoll Rand, but DOE notes that at this time, 
none of the commenters has provided new information or data that 
sufficiently justifies the need for a longer break-in period.
    Some commenters also requested that DOE provide additional 
specification regarding the break-in. The California IOUs recommended 
that DOE specify the operation of systems during the break in period or 
require the OUM to specify how the break-in should be done. (California 
IOUs, No. 67 at p. 5) Rheem commented that the break-in period should 
be at the A test cooling condition after the unit is properly charged. 
(Rheem, No. 69 at p. 14)
    Without test results clearly showing the benefits of a particular 
set of break-in conditions, DOE is reluctant to require conditions for 
break-in that will require it to be conducted in the psychrometric 
chamber as part of a test, due to the significant test burden that such 
a requirement would impose. DOE declines to add more specification to 
the break-in period at this time but may consider modifications in a 
future rulemaking, provided sufficient information is provided to 
justify specific recommendations.
13. Industry Standards That Are Incorporated by Reference
    In the November 2015 SNOPR, DOE proposed a number of updates to 
industry standards that are incorporated by reference. DOE proposed to 
update the IBR from ARI 210/240-2006 to AHRI 210/240-2008; ASHRAE 37-
2005, Methods of Testing for Rating Unitary Air-Conditioning and Heat 
Pump Equipment to ANSI/ASHRAE 37-2009, Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump 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; ASHRAE/AMCA 51-1999/210-1999, Laboratory Methods of 
Testing Fans for Aerodynamic Performance Rating to AMCA 210-2007, 
Laboratory Methods of Testing Fans for Certified Aerodynamic 
Performance Rating; ASHRAE 41.1-1986 (Reaffirmed 2006), Standard Method 
for Temperature Measurement, to ANSI/ASHRAE 41.1-2013, Standard Method 
for Temperature Measurement; ASHRAE 41.6-1994, Standard Method for 
Measurement of Moist Air Properties to ASHRAE 41.6-2014, Standard 
Method for Humidity Measurement; and 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. DOE expressed the view that 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.\17\ 80 FR 69278, 
69310-11 (Nov. 9, 2015).
---------------------------------------------------------------------------

    \17\ ANSI/ASHRAE 37-2009 only updates to more recent versions of 
other standards it references. AMCA 210-2007 made slight changes to 
the figure referenced by DOE, which DOE has determined to be 
insignificant.
---------------------------------------------------------------------------

    In response, JCI encouraged DOE to utilize industry standards to 
the fullest extent possible. (JCI, No. 66 at p. 20) Goodman requested 
that DOE, along with other stakeholders, continue participation in the 
revision of AHRI 210/240 to assist in getting to the point where DOE 
can potentially adopt this standard outright. (Goodman, No. 73 at p. 
16)
    Ingersoll Rand requested DOE to remove all references to AMCA 210-
2007, because it is for standalone air moving systems and does not 
match the configuration used for ducted HVAC equipment. (Ingersoll 
Rand, No. 65 at p. 13) AHRI and UTC/Carrier commented that the 
reference to AMCA 210-2007 in lieu of ASHRAE 116-1995 (RA 2005) for the 
air flow measurement apparatus is incorrect, and that instead the 
reference should be to section 6.3 of ANSI/ASHRAE 37-2009 or ASHRAE 
41.2. (AHRI, No. 70 at p. 12; UTC/Carrier, No. 62 at p. 18)
    DOE believes that the referenced sections are applicable to the 
airflow measurements required in Appendix M, as demonstrated by the 
installation types referenced in section 5.1.1 of AMCA 210-2007. DOE 
also notes that AHRI 210/240-2008 references the same sections of AMCA 
210-2007 as Appendix M does, but DOE has simply chosen to reference 
AMCA 210-2007 directly. In response to AHRI and UTC/Carrier, DOE notes 
that section 2.6 of this final rule notice does reference sections 6.2 
and 6.3 of ANSI/ASHRAE 37-2009 for fabricating and operating the 
Airflow Measurement Apparatus, and the manufacturer may refer to either 
Figure 12 of AMCA 210-2007 or Figure 14 of ASHRAE 41.2-1987 (RA 1992) 
for guidance on placing the static pressure taps and positioning the 
diffusion baffle. For these reasons, DOE maintains its incorporation by 
reference of AMCA 210-2007. DOE received no other comments on these 
proposed updates to industry standards, and in this final rule, DOE 
adopts all references to industry standards as proposed in the November 
2015 SNOPR.
    In the November 2015 SNOPR, DOE also proposed to revise the 
definition of ``continuously recorded'' based on changes to ASHRAE 
41.1. ASHRAE 41.1-1986 (RA 2006) specified the maximum time interval of 
one minute for sampling dry-bulb temperature during a steady state 
test, with shorter sampling intervals based on expected rate of 
temperature change. The updated version, ANSI/ASHRAE 41.1-2013, does 
not contain specifications for sampling intervals. DOE proposed 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 
proposed this requirement as a means of verifying that temperature 
condition requirements are met for the duration of the test. 80 FR 
69278, 69311 (Nov. 9, 2015).
    UTC/Carrier and Rheem supported the proposed sampling interval. 
(UTC/

[[Page 37035]]

Carrier, No. 62 at p. 18; Rheem, No. 69 at p. 15) On the other hand, 
JCI recommended a longer sampling interval of 10 to 15 seconds, as 
there may be capital investment and programming required. (JCI, No. 66 
at p. 20) Rheem commented that clarification is needed on how 
measurements such as the air leaving temperature are calculated from 
the multitude of values in the data sample. (Rheem, No. 69 at p. 15)
    In response to JCI, DOE believes that the current standard of care 
requires digital data acquisition of all temperature and humidity 
measurements. DOE understands that for measurements being taken and 
recorded digitally, decreasing the sampling interval generally should 
have an insignificant impact on burden, since state-of-the-art data 
acquisition systems can easily record data at faster rates and the cost 
of the additional data storage is minimal. However, DOE understands 
that any specific test laboratory may require significant investment to 
upgrade to a faster data rate, depending on the capabilities of their 
current data acquisition systems, and hence has decided to increase the 
required sampling interval to 15 seconds. In response to Rheem's 
request for clarification, DOE believes that it is common industry 
practice, when continuously recording a parameter such as air leaving 
temperature, to average the value over the sampled interval. However, 
to enhance clarity, DOE has added words to sections 3.3.c and 3.7.b of 
Appendix M indicating that capacity is to be calculated using the 
averages of the 30-minute continuously-recorded measurements made for 
the parameters that are used to determine capacity (e.g. indoor air 
inlet and outlet temperatures).
14. 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 
information about the equations used to calculate SEER and HSPF for 
variable-speed systems. 75 FR 31223, 31243 (June 2, 2010). However, in 
section III.H.4 of the November 2015 SNOPR, DOE proposed to change the 
heating load line, and as such the equations for HSPF in ASHRAE 116-
1995 (RA 2005) are no longer applicable. In order to prevent confusion, 
DOE proposed to withdraw the original proposal made in the June 2010 
NOPR to reference ASHRAE 116-1995 (RA 2005) for both HSPF and SEER by 
removing those instances of these references. 80 FR 69278, 69311 (Nov. 
9, 2015).
    DOE also proposed to revise its reference for the requirements of 
the air flow measuring apparatus from ASHRAE 116-1995 (RA 2005) to 
ANSI/ASHRAE 37-2009. As this was the only other reference to ASHRAE 116 
in Appendix M, DOE proposed to remove the incorporation by reference to 
ASHRAE 116-1995 (RA 2005) from the Code of Federal Regulations related 
to central air conditioners and heat pumps. 80 FR 69278, 69311 (Nov. 9, 
2015).
    AHRI, UTC/Carrier, Ingersoll Rand, Goodman, Rheem, and JCI 
disagreed with the proposal to withdraw the incorporation by reference 
of ASHRAE 116-1995 (RA 2005). (AHRI, No. 70 at p. 12; UTC/Carrier, No. 
62 at pp. 17-18, Ingersoll Rand, No. 65 at p. 3; Goodman, No. 73 at p. 
11; Rheem, No. 69 at p. 14; JCI, No. 66 at p. 10) AHRI, UTC/Carrier, 
Ingersoll Rand, Goodman, and JCI suggested adding a reference to the 
section on thermal mass correction to the cyclic capacity (section 
7.4.3.4.5) to reduce variability. (AHRI, No. 70 at p. 12; UTC/Carrier, 
No. 62 at pp. 17-18, Ingersoll Rand, No. 65 at p. 3; Goodman, No. 73 at 
p. 11; JCI, No. 66 at p. 10)
    DOE notes that the current test procedure does not reference the 
thermal mass correction to cyclic capacity. DOE acknowledges that, 
because ASHRAE 116 has been incorporated by reference into the DOE test 
procedure, and because the cyclic test would first have been developed 
as part of ASHRAE 116, it is understandable that the prevailing 
interpretation may have been that the correction has always been 
included in the DOE test procedure. DOE also acknowledges that the 
thermal mass stored in devices and connections located between measured 
points must be accounted for to ensure repeatability and accuracy of a 
cyclic test. DOE understands that accounting for thermal mass in this 
way is common industry practice. Therefore, DOE has included provisions 
in section 3.5 of the final rule requiring a thermal mass adjustment, 
referencing section 7.4.3.4.5 of ASHRAE 116-2010. DOE notes that it has 
updated the IBR from ASHRAE 116-1995 (RA 2005) to ASHRAE 116-2010, but 
the content of the referenced section has not changed.
15. 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. In the November 2015 SNOPR, DOE proposed to adopt several of 
these revisions. DOE noted that the final published version of what is 
currently the AHRI 210/240-Draft may not be identical to the docketed 
draft, and that if AHRI makes other than minor editorial changes to the 
sections DOE referenced in the SNOPR after publication, DOE would adopt 
the current draft content into its regulations and not incorporate by 
reference the modified test procedure. 80 FR 69278, 69312 (Nov. 9, 
2015).
    The AHRI 210/240-Draft added new size requirements for the inlet 
duct to the indoor unit, new external static pressure requirements for 
units intended to be installed with the airflow to the outdoor coil 
ducted, and 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 
proposed to adopt these three revisions in the November 2015 SNOPR. 80 
FR 69278, 69311 (Nov. 9, 2015).
    DOE received comments from Ingersoll Rand regarding the proposed 
requirements for the inlet duct, which are discussed in section 
III.E.18. DOE did not receive any comments on the new external static 
pressure and dew point requirements and is adopting these revisions in 
this final rule.
    The AHRI 210/240-Draft included differences as compared to the 
current DOE test procedure for setting air volume rates during testing. 
DOE proposed to adopt three of these changes because they would improve 
repeatability and the consistency of testing among different 
laboratories. 80 FR 69278, 69312 (Nov. 9, 2015). They include (a) use 
of air volume rates specified by manufacturers, (b) setting ESP 
requirements for operating modes other than full-load cooling, and (c) 
establishing an instability criterion for testing of units with 
constant-air-volume indoor blowers. DOE received no comments regarding 
these proposals and adopts them in this final rule.
    DOE did receive several comments on other proposals related to 
setting air volume rates and has addressed these comments and revisions 
in section III.E.1.
    The AHRI 210/240-Draft also included a more thorough procedure for 
setting of refrigerant charge than exists in the DOE test procedure. 
DOE proposed these changes because they improve test repeatability.

[[Page 37036]]

    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. In response, UTC/Carrier commented that they would like 
more detail, as correct refrigerant charging has a significant impact 
on performance and product reliability. (UTC/Carrier, No. 62 at p. 18) 
DOE interprets this comment as support of the additional detail 
regarding instructions for setting charge that were proposed in the 
November 2015 SNOPR, since the comment does not provide clarification 
regarding potential additional details that might be needed.
    As an elaboration on DOE's past methodology, DOE believed that the 
AHRI 210/240-Draft did not clearly delineate how target value and 
maximum tolerances should be applied. Following from this lack of 
clarity, in the November 2015 SNOPR, DOE proposed to adopt the most 
liberal restriction on tolerance, the maximum tolerance, disregarding 
the AHRI 210/240-Draft target value. In addition, DOE proposed 
tolerances on the measured superheat and other parameters that would be 
set to specified levels during charging. 80 FR 69278, 69312 (Nov. 9, 
2015). In this final rule, DOE continues to reference the maximum 
tolerance only. Additional comments regarding the procedure for setting 
of refrigerant charge, and revisions to the proposal are discussed in 
section III.E.8.
    Finally, the AHRI 210/240-Draft included specifications for air 
sampling that provide more detail than provided in existing standards--
DOE proposed incorporation of a number of these air sampling 
specifications into its test procedures. DOE did not receive comment on 
this proposal and is adopting the specifications in this final rule. 
However, DOE initially proposed incorporation by reference of sections 
of the AHRI 210/240-Draft, expecting that the standard might be 
published prior to this final rule. Because the AHRI standard was not 
finalized in time to incorporate the relevant sections of AHRI 210/240 
by reference, DOE included the following provisions from the AHRI 210/
240 draft in this final rule in order to finalize the proposal to adopt 
Appendix E4 Air Sampling Requirements in the November 2015 NOPR. DOE 
implemented these provisions consistent with the way they appear in the 
AHRI 210/240-Draft.
     DOE provided the definitions of Air Sampling Device and 
Aspirating Psychrometer to Section 1.2, Definitions, in Appendix M.
     DOE provided Section 2.14, Air Sampling Device and 
Aspirating Psychrometer Requirements, to Appendix M based on E 4.4 and 
E 4.6 of AHRI 210/240-Draft.
     DOE integrated the outdoor test setup instructions in E 
4.2, E 4.4 and E 4.6 of AHRI 210/240-Draft and adopted those in Section 
2.11 of Appendix M, with some revisions to improve clarity.
     In Section 2.11, DOE provided additional instructions 
regarding blockage of air sampling holes when this is done to prevent 
sampling of recirculated air. The revisions are intended to preserve 
symmetry and uniformity of air flow into the holes.
     In Section 2.11, DOE also clarified that tubes conveying 
sampled air may have reduced insulation requirements if dry bulb 
temperature measurements are made at the exit of each air sampler.
16. Damping Pressure Transducer Signals
    In the June 2010 NOPR, DOE proposed to loosen the existing test 
operating tolerance assigned to the external resistance to airflow 
(ESP) from 0.05 to 0.12 in wc and the nozzle pressure drop tolerance 
from 2.0 percent to 8.0 percent. 75 FR 31223, 31234 (June 2, 2010).
    In response to the June 2010 NOPR proposal, NEEA commented that it 
strongly disagreed with DOE's proposal, particularly for the ESP 
tolerance. NEEA also commented that it strongly supported another 
option presented by DOE at the June 11, 2010 public meeting, which is 
to lengthen the time constant for the measurements by signal 
integration and averaging, using a DOE-specified interval. (NEEA, No. 7 
at p. 4)
    AHRI commented that they disagreed with DOE's proposal to relax ESP 
and nozzle pressure drop tolerances. AHRI believed that the pressure 
transducer fluctuation issues could be resolved by implementing a time 
averaging routine or some kind of electronic damping algorithm that 
would provide the same results as a liquid manometer, using an 
algorithm agreed upon by AHRI members. (AHRI, No. 6 at p. 3)
    In the November 2015 SNOPR, rather than proposing a revision of the 
operating tolerances for external resistance to airflow or nozzle 
pressure drop, DOE proposed to add clarifying language in the test 
procedure that would allow for damping of the measurement system to 
prevent high-frequency fluctuations from affecting recorded pressure 
measurements. The proposal allowed 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) would 
be no more than five seconds. This damping could be achieved in any 
portion of the measurement system. 80 FR 69278, 69312 (Nov. 9, 2015).
    Rheem agreed with DOE's November 2015 SNOPR proposal regarding 
operating tolerances for external resistance to airflow or nozzle 
pressure drop. (Rheem, No. 69 at p. 15) JCI also agreed with that 
approach, but suggested that the time constant for response to a step 
pressure signal should be increased to 10 or 15 seconds, without 
providing an explanation why the slower response is needed. (JCI, No. 
66 at p. 20) No commenters disagreed with the proposal. The intent of 
the damping is to address fluctuations associated with turbulence that 
would have a frequency so high that they would not be captured with a 
system with a 5 second response time. In the absence of more 
explanation regarding why the 5 second response is insufficient, DOE 
maintains this value for the damping allowance and, due to the absence 
of dissenting comments, DOE adopts this revision in the test procedure.
17. Clarify Inputs for the Demand Defrost Credit Equation
    In the June 2010 NOPR, DOE proposed language in the test procedure 
to clarify that manufacturers must assign [Delta][tau]def 
(the greater of the time in hours between defrost terminations and 1.5) 
the value of 6 hours if this limit is reached during a frost 
accumulation test and the heat pump has not completed a defrost cycle. 
A sentence was also proposed to be added in section 3.9.2 of Appendix M 
to indicate that the manufacturer must use a value of 
[Delta][tau]max, that is either the maximum time between 
defrosts as allowed by the controls (in hours) or 12, whichever is 
less. 75 FR at 31237 (June 2, 2010). In the proposal of the November 
2015 SNOPR, this was changed to indicate that the value would be as 
provided in the installation manuals shipped with the unit. 80 FR at 
69373 (Nov. 9, 2016).
    AHRI supported DOE's proposal to clarify inputs to the demand 
defrost credit equation with the understanding that HSPF values would 
not be affected by such clarifications. (AHRI, No. 6 at p. 4) Ingersoll 
Rand stated that the facts do not support AHRI's understanding as there 
are significant numbers of heat pumps for which the reduction of the 
maximum permissible test duration from 12 to 6 hours would decrease the 
calculated HSPF. Ingersoll Rand further commented that reducing max 
duration of frost accumulation tests from 12 hours to 6 hours and 
eliminating the

[[Page 37037]]

short-cut method for determining SEER would reduce the rated 
performance of AC/HP, which would be an adverse situation for 
manufacturers. Ingersoll Rand commented that this would require re-
rating of units that are above 13 SEER and un-rating units that are at 
13 SEER. (Ingersoll Rand, No. 10 at p. 1)
    As noted in the June 2010 SNOPR, for most two-capacity and 
variable-speed heat pumps the proposal for the 6-hour limit reduces 
manufacturer test burden when defrost does not occur. DOE believes that 
when defrost does occur, the proposal has a negligible impact on the 
calculation of the average heating capacity and power consumption at a 
35 [deg]F outdoor temperature. Shortening the maximum duration of the 
frost accumulation test affects heat pumps that would otherwise conduct 
a defrost after 6 but before 12 hours in two ways. First, such heat 
pumps benefit slightly from not having a defrost cycle factored into 
their average heating capacity calculation. Second, they earn a higher 
demand defrost credit than they would have earned previously. As a 
worst case (e.g., unit's demand defrost controls actuate at 11.999 
hours while the unit's maximum duration is 12 hours or more), the 
approximated demand defrost credit is now 1.017 compared to the 
``true'' value of 1.000. 75 FR 31223, 31236-37 (June 2, 2010). The HSPF 
is directly proportional to the demand defrost credit factor (see 
Equation 4.2-1 of Appendix M), hence, this would represent a 1.7 
percent increase in HSPF. Ingersoll Rand did not provide any 
justification for why it did not agree with DOE's analysis regarding 
the impact of the change. Therefore, DOE adopts this revision in the 
test procedure.
18. Improving Test Consistency Associated With Indoor Unit Air Inlet 
Geometry
    Ingersoll Rand commented that the range of inlet geometries allowed 
by the DOE test procedure for ducted units may lead to different test 
results, specifically different measurements of static pressure and 
(for blower coil and single-package units) fan input power, depending 
on what specific inlet geometry is selected for conducting a test. They 
recommended that DOE adopt the short duct minimal requirement described 
in the draft version of AHRI 210/240-2015. (Ingersoll Rand, No. 65 at 
p. 6-10)
    DOE first reviewed the inlet configurations that Ingersoll Rand 
evaluated and claimed are all compliant with the DOE inlet equipment 
connection requirements. DOE does not agree that the current test 
procedure allows Configuration #7, in which the inlet plenum for 
measurement of inlet static pressure is upstream of the damper box. 
Section 2.5.1.1 of the current test procedure states, ``install the 
inlet damper box upstream of the inlet plenum.'' This was proposed to 
be modified in the November 2015 SNOPR to read, ``Install the airflow 
prevention device upstream of the inlet plenum . . .''. Configuration 
#7 is inconsistent with both descriptions. DOE notes that the greatest 
deviation in static pressure measurements presented by Ingersoll Rand 
is associated with Configuration #1, in which there is neither an inlet 
plenum nor a damper box, and the inlet static pressure simply measures 
room pressure. In this case, the measured inlet static pressure would 
generally be higher than measured using an inlet plenum, because part 
of the static pressure within the room is converted to inlet velocity 
pressure as the room air is accelerated towards the unit's inlet. DOE 
agrees that for consistency it would be beneficial to avoid 
Configuration #1 in testing. Hence, the final rule established in 
today's notice does not allow use of this arrangement. DOE believes 
that most units will be tested with damper boxes (or other airflow 
prevention devices) in order to conduct the cyclic test, because of the 
measured performance improvement associated with use of the measured 
cyclic degradation coefficient, which is often less than the default 
coefficient that can be used if the cyclic test is not conducted. 
Hence, DOE does not believe that many, if any, tests are conducted 
using Configuration #1. Thus, adopting this change should ensure test 
consistency with inconsequential impact on test burden.
    Responding to potential misinterpretation of the requirements for 
air inlet geometry (e.g. regarding Configuration #7 discussed above), 
DOE made some clarifying revisions in this final rule that were not 
part of the proposals in the NOPR or SNOPRs. The revisions include, (a) 
rearranging the text of section 2.4.2 regarding the inlet plenum for 
the indoor unit, (b) clarifying that figures 7b and 7c of ANSI/ASHRAE 
37-2009 are for blower coil indoor units or single-package units while 
figure 8 is for coil-only units, and (c) clarifying that when an inlet 
plenum is not used that the length of straight duct upstream of the 
unit's inlet within the airflow prevention device must still adhere to 
the inlet plenum length requirements, as illustrated in ANSI/ASHRAE 37-
2009, figures 7b, 7c, and 8.

F. Clarification of Test Procedure Provisions

    This section discusses clarifications to the test procedure to 
address test procedure provisions that may lack sufficient specificity 
to ensure reproducibility. None of the clarifications listed in this 
section would alter the average measured energy consumption of a 
representative set of models.
1. Manufacturer Consultation
    In the November 2015 SNOPR, DOE proposed 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.15. Specifically, DOE 
proposed 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 the use of field installation criteria. 80 FR 
69278, 69313 (Nov. 9, 2015).
    ADP and Lennox commented that before using standard sub-cooling and 
superheat values, the test facility should contact the manufacturer to 
obtain instructions in cases where they have been misplaced, and in all 
cases the test facility should contact the manufacturer to request the 
latest version of the installation instructions. ADP and Lennox 
commented that given the level of inventory in the industry, testing an 
off-the-shelf unit solely based on the installation instructions in the 
box with the unit could result in outdated instructions being used. 
(ADP, No. 59 at p. 10; Lennox, No. 61 at p. 17-18)
    After reviewing these comments, DOE maintains that it is not 
necessary to contact the manufacturer for the latest refrigerant 
charging requirements, and that the instructions provided with the unit 
should be used as the unit should have been certified by the 
manufacturer as compliant with the information provided with the unit. 
Therefore, DOE has adopted this provision in the final rule.
    In the November 2015 SNOPR, DOE also proposed to revise language 
proposed in previous NOPRs regarding the metering of low-voltage 
transformers to eliminate the need for communication between third 
party test laboratories and manufacturers. 80 FR 69278, 69313 (Nov. 9, 
2015). No comments were received on this proposal, and DOE adopts this 
provision in the final rule.

[[Page 37038]]

    DOE also proposed to require manufacturers to report on their 
certification report whether the test was conducted with or without an 
inlet plenum installed in order to eliminate the need for the test 
laboratory to confirm this with the manufacturer. 80 FR 69278, 69313 
(Nov. 9, 2015).
    In response, AHRI, Nortek commented that it is burdensome and 
unnecessary to submit this data. (AHRI, No. 70 at p. 14; Nortek, No. 58 
at p. 11) ADP, Unico, and Ingersoll Rand commented that they agreed 
with AHRI on this matter. (ADP, No. 59 at p. 7; Unico, No. 63 at p. 6; 
Ingersoll Rand, No. 65 at p. 12) JCI, UTC/Carrier, Lennox, and 
Mitsubishi commented generally that additional reporting requirements 
impose an unnecessary burden on manufacturers, which is discussed in 
section III.A.5. (JCI, No. 66 at p. 12; UTC/Carrier, No. 62 at p. 7; 
Lennox, No. 61 at pp. 14-15; Mitsubishi, No. 68 at pp. 1-2)
    As discussed in section III.E.18, DOE has modified the test 
procedure to require the use of an inlet plenum or an inlet airflow 
prevention device that also provides the function of an inlet plenum, 
for ducted split-system or single-package units. Hence, this reporting 
requirement is not needed and DOE has removed it in the final rule.
    DOE proposed 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 
proposed 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). 80 FR 69278, 
69313 (Nov. 9, 2015). No comments were received on this proposal, and 
DOE adopts this provision in the final rule.
2. Incorporation by Reference of AHRI 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 1230-2010) prescribes test 
requirements for both consumer and commercial variable refrigerant flow 
multi-split systems. In the November 2015 SNOPR, DOE proposed to 
incorporate by reference the sections of AHRI 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. 80 FR 69278, 69313 (Nov. 9, 2015).
    In response to this proposal, JCI, AHRI, Nortek, Unico, Mitsubishi 
and Rheem supported applying AHRI 1230 for VRF testing. (JCI, No. 66 at 
p. 20; AHRI, No. 70 at p. 17; Nortek, No. 58 at p. 14; Unico, No. 63 at 
p. 12; Mitsubishi, No. 68 at p. 4; Rheem, No. 69 at p. 15) In contrast, 
Goodman commented that all products in the residential market should be 
tested using the same test procedure, and suggested multi-split air 
conditioners should be tested via AHRI 210/240. (Goodman, No. 73 at p. 
15-16) As virtually all commenters support the use of the industry test 
procedure AHRI 1230 for multi-split air conditioners, DOE incorporates 
by reference certain sections of AHRI 1230-2010 as proposed.
    DOE also proposed to define the terms ``Multiple-split (or multi-
split) system'', ``Small-duct, high-velocity system'', ``Tested 
combination'', ``Variable refrigerant flow system'' and ``Variable-
speed compressor system'' in its list of definitions in Appendix M to 
Subpart B of 10 CFR part 430. 80 FR 69278, 69313 (Nov. 9, 2015).
    Regarding tested combination, AHRI had requested in response to the 
June 2010 NOPR that DOE use the ``tested combination'' definition in 
AHRI 1230-2010 (the definition appears in section 3.26 of this 
standard). (AHRI, No. 6 at pp. 1-2) In the November 2015 SNOPR, DOE 
proposed a definition which is nearly identical to the AHRI 1230-2010 
definition, except that (a) the AHRI definition allows a maximum of 12 
indoor units in the tested combination--the DOE proposal calls for up 
to five indoor units, (b) the DOE proposal allows use of an indoor unit 
model family other than the highest sales volume family if the 95 
percent capacity threshold cannot be met with units of the highest 
sales volume family, and (c) DOE's proposal provided clarification of 
what is meant by indoor unit nominal capacity. 80 FR at 69313-14 (Nov. 
9, 2015). Commenters did not specifically address these provisions in 
their comments regarding the November 2015 SNOPR, and hence the final 
rule adopts them.
    In addition, both AHRI and Mitsubishi had commented in response to 
the June 2010 NOPR that DOE should remove the requirement to turn off 
one of the indoor units when testing at minimum compressor speed. 
(AHRI, No. 6 at p. 2, Mitsubishi, No. 12 at p. 1) DOE established this 
test requirement for multi-split systems in a final rule published 
October 22, 2007. 72 FR 59906-59909. DOE had initially considered a 
more aggressive approach in the October 2007 Final Rule for turning off 
indoor units at part load in which the number of operating units would 
be proportional to the load level, but settled instead on turning off 
just one unit for minimum compressor speed. Id. at 59909. Multi-split 
systems have indoor units that respond individually to separate 
thermostats. The outdoor units are designed to operate when one or more 
of the indoor units are not operating. It certainly would be expected 
that, for a large percentage of the time that such a unit operates at 
minimum compressor speed, at least one of the indoor units would have 
cycled off. The test approach suggested by AHRI and Mitsubishi is more 
consistent with the operation of multi-head mini-split systems, for 
which all of the indoor units operate in unison in response to a single 
thermostat, rather than the operation of multi-split systems--for such 
systems, all indoor units would always be operating when the outdoor 
unit is at minimum compressor speed. DOE is not aware of any field test 
information that shows that all of the indoor units of a multi-split 
system continue to operate when the compressor is at minimum speed. 
Hence, DOE is maintaining the requirement to turn off one indoor unit 
for the minimum-speed tests.
    Finally, Mitsubishi had also commented, in response to the June 
2010 NOPR, that the 50% requirement be waived for multi-split systems 
with cooling capacity less than 24,000 Btu/h, and that the 95% to 105% 
capacity requirement for match between indoor and outdoor nominal 
capacities be considered a guideline rather than a requirement. (AHRI, 
No. 6 at p. 2, Mitsubishi, No. 12 at pp. 1-2) The 50% requirement (i.e. 
that none of the indoor units of the tested combination have a nominal 
cooling capacity greater than 50% of the outdoor unit's nominal cooling 
capacity) has been adopted by DOE. DOE will not adopt the latter 
recommendation, since it would essentially eliminate any requirement 
for capacity matching, but has instead increased the flexibility of the 
requirements by allowing use of model families of indoor units other 
than the highest sales volume model family, if all of the tested 
combination requirements cannot be met by the highest sales volume 
family.\18\ DOE notes that it has clarified this allowance in this 
final

[[Page 37039]]

rule--whereas the proposed wording referenced inability to meet the 95% 
capacity threshold as the basis for considering other model families, 
the allowance in this final rule explicitly states that if all the 
requirements for ``tested combination'' cannot be met by indoor units 
selected from the highest sales volume model family, that one or more 
indoor units could be selected from a different sales model family.
---------------------------------------------------------------------------

    \18\ Examples of model families include configurations such as 
mid-range static ducted, high-static ducted, wall-mount, ceiling-
mount 4-way cassette, ceiling-mount 2-way cassette, etc.
---------------------------------------------------------------------------

    Comments received regarding the term ``multiple-split system'' are 
discussed in section III.F.5. DOE did not receive comments on the other 
definitions and adopts them as proposed.
    In the November 2015 SNOPR, DOE also proposed to omit Table 8 of 
AHRI 1230-2010 from the IBR into Appendix M and to set minimum ESP 
requirements for systems with short-run ducted indoor units in Table 3 
of Appendix M as follows: 0.03 in. w.c. for units less than 28,800 Btu/
h; 0.05 in. w.c. for units between 29,000 Btu/h and 42,500 Btu/h; and 
0.07 in. w.c. for units greater than 43,000 Btu/h. Furthermore, DOE 
proposed to define the term ``short duct systems,'' to refer to ducted 
systems whose indoor units can deliver no more than 0.07 in. w.c. ESP 
when delivering the full load air volume rate for cooling operation. 80 
FR 69278, 69314 (Nov. 9, 2015).
    DOE received several comments in response to its proposal related 
to short duct systems and the required ESP. However, the CAC/HP ECS 
Working Group included recommendations to DOE regarding definitions and 
ESP for low-static and mid-static units rather than short duct systems. 
(Docket No. EERE-2014-BT-STD-0048, No. 76 at p. 1-2) Therefore, in this 
final rule, DOE is not adopting a definition or ESP requirement for 
short duct systems and will consider changes to the ESP for certain 
kinds of systems in a separate notice.
3. Replacement of the Informative Guidance Table for Using the Federal 
Test Procedure
    In the November 2015 SNOPR, DOE proposed replacing 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) with a 
more concise table to provide guidance to manufacturers regarding 
testing conditions, testing procedures, and calculations appropriate to 
a product class, system configuration, modulating capability, and 
special features of products. 80 FR 69278, 69314 (Nov. 9, 2015).
    JCI commented the tables provide adequate clarity but that the 
table would be more viewable if placed in a portrait view. (JCI, No. 66 
at p, 20-21). UTC/Carrier responded that they would like any clarity 
DOE can provide. (UTC/Carrier, No. 62 at p. 19) Rheem expressed the 
preference of the current table over the proposed table in the November 
2015 SNOPR and suggested that DOE further clarify the proposed table, 
including adding a title and explanation of how it should be used. 
Rheem also pointed out a possible error under testing conditions for 
single-split-system coil-only. (Rheem, No. 69 at p.16).
    Given the general consensus on the proposed table, DOE is adopting 
the format of the proposed table in this final rule with some 
clarification. DOE found it difficult to fit the eight columns within 
the table in the portrait view suggested by JCI, and maintains the 
landscape format. In response to Rheem, the proposed table is titled 
``Informative Guidance for Using Appendix M'' and an explanation of how 
it should be used is given in section 2 (B) of this final rule notice. 
DOE conducted further review and revision to the proposed table to 
clarify the sections each test should refer to, including fixing the 
identified error on single-split-system coil-only test conditions.
4. Clarifying the Definition of a Mini-Split System
    In the November 2015 SNOPR, DOE proposed 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. 80 FR 69278, 69314 (Nov. 9, 2015).
    ADP, Lennox, and UTC/Carrier supported DOE's proposal. (ADP, No. 59 
at p. 12; Lennox, No. 61 at p. 19; UTC/Carrier, No. 62 at p. 20)
    AHRI and Nortek proposed modifying the current definition to 
reflect common terminology used in the field. (AHRI, No. 70 at p. 17-
18; Nortek, No. 58 at p. 14) AHRI and Mitsubishi recommended the 
terminology and definitions be revised as follows: (1) single head 
mini-split system, representing split systems that have a single 
outdoor section and one indoor section, where the indoor section cycles 
on and off in unison in response to a single indoor thermostat; and (2) 
multi head mini-split system, representing split systems that have a 
single outdoor section and more than one indoor sections, where the 
indoor sections cycle on and off in unison in response to a single 
indoor thermostat. (AHRI, No. 70 at p. 17-18; Mitsubishi, No. 68 at p. 
4)
    Goodman commented that they do not support the terminology of 
``single-zone-multiple-coil split system'' and that there is no need to 
separate a one-to-one split system and a one-to-multiple split system. 
However, Goodman also suggested using the terms single-head mini-split 
and multi-head mini-split if DOE desires to separate the definition of 
mini-split into two categories. (Goodman, No. 73 at p. 7)
    Mitsubishi also specifically recommended that the references to 
``coil-only'' be removed since Appendix M does not permit the matching 
of a variable speed outdoor unit with a coil without a blower that can 
match the airflow required for each of the tests. (Mitsubishi, No. 68 
at p. 4)
    In response to the recommended terminology from AHRI, Nortek, 
Mitsubishi, and Goodman, DOE is adopting the term ``multi-head mini-
split system'' in the regulatory text rather than the proposed 
``single-zone multiple-coil system.'' However, DOE believes it is 
important to specify that this system has a single refrigerant circuit, 
which is not part of the definition proposed by AHRI and Mitsubishi. In 
response to Mitsubishi, DOE has removed ``coil-only'' from the 
definition but cautions that this does not mean that the definition 
does not include systems with coil-only indoor units. DOE notes that 
the definition is not explicitly limited to variable-speed units, 
although DOE is aware that most of not all commercially available units 
that fit the definition have variable-speed compressors. For these 
reasons, DOE adopts the following definition for ``multi-head mini-
split system'':
    Multi-head mini-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.
    DOE is adopting the definition for single-split system as proposed 
in the SNOPR. DOE is not adopting a definition for ``single-head mini-
split,'' as this variety of unit is included in the ``single-split 
system'' definition and there are no different test procedure 
requirements or energy conservation standard levels that would require

[[Page 37040]]

establishing a separate definition to distinguish these products.
5. Clarifying the Definition of a Multi-Split System
    In the November 2015 SNOPR, DOE proposed 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 proposed to separately define 
multi-circuit units as units that incorporate multiple outdoor units 
into the same package. This is discussed in section III.C.1.) DOE also 
proposed to clarify that if a model of outdoor unit could be used both 
for single-zone-multiple-coil split systems (multi-head mini-split 
systems) and for multi-split systems, it should be tested as a multi-
split system. 80 FR 69278, 69315 (Nov. 9, 2015).
    In response, the California IOUs stated that the proposed 
definition was unclear and recommended the following definition: A 
multiple zone, multiple coil, split system is a split system with one 
outdoor unit and at least two coil-only or blower coil indoor units 
which operate separately as required to provide comfort in the zone 
each serves. (California IOUs, No. 67 at p. 6). DOE received no other 
comments on this issue.
    The multi-split system definition suggested by California IOUs does 
not specify that the outdoor units and the indoor units are within a 
single refrigerant circuit, and therefore multi-circuit systems, which 
are tested differently, would fit in this definition. In order to 
preserve the distinction between multi-split and multi-circuit 
products, DOE adopts the proposed multi-split system definition from 
the November 2015 SNOPR, which clarifies that for multi-split systems 
all components are connected with a single refrigerant circuit.
6. Clarifying the Housing for Uncased Coil
    The current test procedure provides instructions for installing 
uncased coil indoor units, indicating that an enclosure be provided for 
them using 1 in. fiberglass ductboard (see Appendix M, section 2.2.c). 
DOE is aware of issues associated with the use of fiberglass ductboard, 
as its lack of rigidity can present challenges in maintaining tight 
seals where it connects to upstream and downstream ducts used in the 
test set-up. DOE also notes that the requirements of section 2.2.c 
regarding both the ductboard and its installation are unnecessarily 
limited in the approaches listed for fabricating an enclosure for the 
test. DOE is aware that test laboratories fabricate enclosures for 
testing uncased coils that consist of materials other than just the 
listed fiberboard or alternative insulation. DOE also understands that 
the term ``fiberboard'' is not sufficiently descriptive to assure that 
a foil-faced fiberboard be used, which would be consistent with the 
expectation that such a casing provide a barrier to both air flow and 
water vapor transmission. As a result, DOE is clarifying these 
instructions with additional language in this final rule regarding the 
installation of uncased coils, including (a) indicating that the 
ductboard must be foil-faced, (b) allowing alternative housings, 
consisting of sheet metal or similar material and separate insulation, 
and (c) indicating that sizing and installation of the casing should be 
done as described in the installation instructions shipped with the 
unit. These clarifications are consistent with DOE's proposal in the 
November 2015 SNOPR and its understanding and expectations of how these 
tests are being conducted and should be conducted. Although most 
ductboard material is foil-faced, DOE has clarified that alternative 
materials claimed to be ductboard should not be used--without the foil 
facing, the ductboard would not present a sufficient barrier to vapor 
and air penetration. These alternative housing materials (i.e. 
alternatives to foil-faced fiberboard) will allow for more rigid 
construction of the coil housing. Finally, DOE recognizes that details 
regarding the fabrication and installation of the housing may affect 
test results and hence clarifies that they should be performed as 
described in installation instructions shipped with the unit. These 
changes would not affect any tests being conducted consistent with 
existing requirements (e.g. for negligible air leakage and installation 
according to shipped instructions.) but are intended to clarify set-up 
procedures to enhance consistency of testing.
7. Test Procedure Reprint
    DOE has reprinted the entirety of Appendix M to 10 CFR part 430 
Subpart B in the regulatory text for this final rule to improve clarity 
regarding the revisions established by this final rule. Table III.6 
lists proposals from the previous notices that appear in this 
regulatory text reprint, and provides reference to the respective 
revised section(s) in the regulatory text.

                       Table III.6.--Test Procedure Amendments Adopted in This Final Rule
                                             [By original proposal]
----------------------------------------------------------------------------------------------------------------
                                                                                                 Regulatory text
           Section               Proposal to . . .         Reference       Preamble discussion     location *
----------------------------------------------------------------------------------------------------------------
                                                 June 2010 NOPR
----------------------------------------------------------------------------------------------------------------
A.7..........................  Add Calculations for   75 FR 31229          III.G.1              3.3c, 4.5.
                                Sensible Heat Ratio.
A.9..........................  Modify Definition of   75 FR 31230          III.F.2              10 CFR 430.2
                                Tested Combination.                                              Definitions.
A.10.........................  Add Definitions Terms  75 FR 31231          None                 Definitions.
                                Regarding Standby
                                Power.
B.1..........................  Modify the Definition  75 FR 31231          III.F.2              10 CFR 430.2
                                of ``Tested                                                      Definitions.
                                Combination''.
B.3..........................  Clarify That Optional  75 FR 31233          III.E.11             3.2.1, 3.2.2.1,
                                Tests May Be                                                     3.2.3
                                Conducted Without
                                Forfeiting Use of
                                the Default Value(s).
B.4..........................  Allow a Wider          75 FR 31233          III.E.1              3.1.4.1.1a.4(ii)
                                Tolerance on Air
                                Volume Rate To Yield
                                More Repeatable
                                Laboratory Setups.
B.5..........................  Change the Magnitude   75 FR 31234          III.E.17             3.3d Table, 3.5h
                                of the Test                                                      Table, 3.7a
                                Operating Tolerance                                              Table, 3.8.1
                                Specified for the                                                Table, 3.9f
                                External Resistance                                              Table.
                                to Airflow.
                               Change the Magnitude   75 FR 31234          III.E.17             3.3d Table, 3.5h
                                of the Test                                                      Table, 3.7a
                                Operating Tolerance                                              Table, 3.8.1
                                Specified for the                                                Table.
                                Nozzle Pressure Drop.
B.6..........................  Modify Refrigerant     75 FR 31234          III.E.7              2.2.5.
                                Charging Procedures:
                                Disallow Charge
                                Manipulation after
                                the Initial Charge.
B.7..........................  Require All Tests be   75 FR 31235, 31250   III.F.1              2.2.5.8.
                                Performed with the
                                Same Refrigerant
                                Charge Amount.
                               When Determining the   75 FR 31235          III.E.11             3.4c, 3.5i,
                                Cyclic Degradation                                               3.7e, 3.8
                                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.

[[Page 37041]]

 
B.8..........................  When Determining the   75 FR 31236          None                 3.3b, 3.7a,
                                Cyclic Degradation                                               3.9e, 3.11.1.1,
                                Coefficient CD,                                                  3.11.1.3,
                                Correct the Indoor-                                              3.11.2a.
                                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 for     75 FR 31236          III.E.17             3.9.2a.
                                the Demand Defrost
                                Credit Equation.
B.10.........................  Add Calculations for   75 FR 31237          III.G.1              3.3c, 4.5.
                                Sensible Heat Ratio.
B.11.........................  Incorporate Changes    75 FR 31237          III.C.3              2.2.3, 2.2.3b,
                                To Cover Testing and                                             2.4.1b,
                                Rating of Ducted                                                 3.1.4.1.1d,
                                Systems Having More                                              3.1.4.2e,
                                Than One Indoor                                                  3.1.4.4.2d,
                                Blower.                                                          3.1.4.5.2f,
                                                                                                 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 Cover   75 FR 31238          III.C.4              3.6.6, 4.2.6.
                                Triple-Capacity,
                                Northern Heat Pumps.
B.13.........................  Specify Requirements   75 FR 31238          III.F.1              2.2d.
                                for the Low-Voltage
                                Transformer Used
                                When Testing for Off-
                                Mode Power
                                Consumption.
B.14.........................  Add Testing            75 FR 31238          III.D                Definitions,
                                Procedures and                                                   3.13, 4.3.
                                Calculations for Off
                                Mode Power
                                Consumption.
B.17.........................  Update Test Procedure  75 FR 31243          III.E.12             10 CFR 430.3
                                References.                                                      Definitions.
----------------------------------------------------------------------------------------------------------------
                                                April 2011 SNOPR
----------------------------------------------------------------------------------------------------------------
III.A........................  Revise Test Methods    76 FR 18107          III.D                Definitions,
                                and Calculations for                                             3.13, 4.3.
                                Off-Mode Power and
                                Energy Consumption.
III.B........................  Revise Requirements    76 FR 18109          III.F.1              2.2d.
                                for Selecting the
                                Low-Voltage
                                Transformer Used
                                During Off-Mode
                                Test(s).
III.D........................  Add Calculation of     76 FR 18111          None                 4.7.
                                the Energy
                                Efficiency Ratio for
                                Cooling Mode Steady-
                                State Tests.
III.E........................  Revise Off-Mode        75 FR 31238          III.D                Definitions,
                                Performance Ratings.                                             3.13, 4.3.
----------------------------------------------------------------------------------------------------------------
                                               October 2011 SNOPR
----------------------------------------------------------------------------------------------------------------
III.A........................  Reduce Testing Burden  76 FR 65618          III.D                Definitions,
                                and Complexity.                                                  3.13, 4.3.
III.C........................  Add Definition for     76 FR 65620          III.D                Definitions.
                                Shoulder Season.
III.D........................  Revise Test Methods    76 FR 65620          III.D                Definitions,
                                and Calculations for                                             3.13, 4.3.
                                Off-Mode Power and
                                Energy Consumption.
III.D.1......................  Add Provisions for     76 FR 65621          III.D                Definitions,
                                Large Tonnage                                                    3.13, 4.3.
                                Systems.
III.D.2......................  Add Requirements for   76 FR 65622          III.D                Definitions,
                                Multi-Compressor                                                 3.13.
                                Systems.
----------------------------------------------------------------------------------------------------------------
                                               November 2015 SNOPR
----------------------------------------------------------------------------------------------------------------
III.A.1......................  Basic Model            80 FR 69282          III.A.1              430.2.
                                Definition.
III.A.2......................  Additional             80 FR 69284          III.A.2              430.2.
                                Definitions.
III.A.3......................  Determination of       80 FR 69285          III.A.3              429.16, 1.2.
                                Certified Rating.
III.A.4......................  Compliance with        80 FR 69289          III.A.4              429.16(a).
                                Federal (National or
                                Regional) Standards.
III.A.5......................  Certification Reports  80 FR 69290          III.A.5              429.16(c).
III.A.6......................  Represented Values...  80 FR 69291          III.A.6              429.16(a),
                                                                                                 430.23.
III.A.7......................  Product-Specific       80 FR 69292          III.A.7              429.134.
                                Enforcement
                                Provisions.
III.B.1......................  AEDM General           80 FR 69292          III.B.1              429.70(e).
                                Background.
III.B.2......................  AED< Terminology.....  80 FR 69292          III.B.2              429.70(e).
III.B.3......................  Elimination of the     80 FR 69293          III.B.3              ................
                                ARM Pre-Approval
                                Requirement.
III.B.4......................  AEDM Validation......  80 FR 69294          III.B.4              429.70(e)(2).
III.B.5......................  AEDM Requirements for  80 FR 69296          III.B.5              429.16.
                                Independent Coil
                                Manufacturers.
III.B.6......................  AEDM Verification      80 FR 69296          III.B.6              429.104,
                                Testing.                                                         429.70(e)(5).
III.B.7......................  Failure to Meet        80 FR 69297          III.B.7              429.70(e)(5)(iv)
                                Certified Ratings.                                               .
III.B.8......................  Action Following a     80 FR 69297          III.B.8              429.110, 429.70.
                                Determination of
                                Noncompliance.
III.C.2......................  Termination of         80 FR 69299          III.C.2              429.16(a)(1)(ii)
                                Waivers Pertaining                                               (A), 2.4.1b.
                                to Multi-Circuit
                                Products.
III.C.3......................  Termination of Waiver  80 FR 69299          III.C.3              3.1.4.1.1.d,
                                and Clarification of                                             3.1.4.2.e.
                                the Test Procedure
                                Pertaining to Multi-
                                Blower Products.
III.D.1......................  Off-Mode Test          80 FR 69300          III.D.1              3.13.2.b.
                                Temperatures.
III.D.2......................  Off-Mode Calculation   80 FR 69301          III.D.2              3.13.1, 4.3.
                                and Weighting of P1
                                and P2.
III.D.3......................  Off-Mode: Products     80 FR 69302          III.D.2              3.13.1.e,
                                with Large, Multiple                                             3.13.2.g.
                                or Modulated
                                Compressors.
III.D.4......................  Off-Mode: Procedure    80 FR 69302          III.D.7              3.13.1.c,
                                for Measuring Low-                                               3.13.1.d,
                                Voltage Component                                                3.13.2.c,
                                Power.                                                           3.13.2.e,
                                                                                                 3.13.2.f.
III.D.5......................  Off-Mode: Revision of  80 FR 69302          III.D.7              3.13.1.e,
                                Off-Mode Power                                                   3.13.1.f,
                                Consumption                                                      3.13.2.g,
                                Equations.                                                       3.13.2.h.
III.D.6......................  Off-Mode Power         80 FR 69303          III.D.7              3.13.1, 3.13.2.
                                Consumption for
                                Split Systems.
III.D.8......................  Test Metric for Off-   80 FR 69304          III.D.3              429.16(a).
                                Mode Power
                                Consumption.
III.E.1......................  Indoor Fan Speed       80 FR 69305          III.E.1              Table 2,
                                Settings.                                                        2.3.1.a,
                                                                                                 3.1.4.1.1,
                                                                                                 3.3(d).
III.E.2......................  Requirements for the   80 FR 69306          III.E.3              2.2(a), 2.10.3.
                                Refrigerant Lines
                                and Mass Flow Meter.
III.E.3......................  Outdoor Room           80 FR 69306          III.E.4              2.5, 2.11.b,
                                Temperature                                                      3.1.8.
                                Variation.
III.E.4......................  Method of Measuring    80 FR 69307          III.E.5              2.11.b.
                                Inlet Air
                                Temperature on the
                                Outdoor Side.
III.E.5......................  Requirements for the   80 FR 69307          III.E.6              2.5, 2.11.
                                Air Sampling Device.
III.E.6......................  Variation in Maximum   80 FR 69307          III.E.7              3.2.4, 3.6.4,
                                Compressor Speed                                                 4.1.4, 4.2.4.
                                with Outdoor
                                Temperature.
III.E.7......................  Refrigerant Charging   80 FR 69307          III.E.8              2.2.5.8.
                                Requirements.
III.E.8......................  Alternative            80 FR 69308          III.E.9              2.5(c).
                                Arrangement for
                                Thermal Loss
                                Prevention for
                                Cyclic Tests.
III.E.9......................  Test Unit Voltage      80 FR 69309          III.E.10             2.7.
                                Supply.
III.E.10.....................  Coefficient of Cyclic  80 FR 69309          III.E.11             3.2.1, 3.2.2,
                                Degradation.                                                     3.2.3, 3.2.4,
                                                                                                 3.5, 3.6, 3.8.

[[Page 37042]]

 
III.E.11.....................  Break-in Periods       80 FR 69309          III.E.12             3.1.7.
                                Prior to Testing.
III.E.12.....................  Industry Standards     80 FR 69310          III.E.13             430.3.
                                that are
                                Incorporated by
                                Reference.
III.E.13.....................  Withdrawing            80 FR 69311          III.E.14             ................
                                References to ASHRAE
                                116-1995 (RA 2005).
III.E.14.....................  Additional Changes     80 FR 69311          III.E.15             Table 2,
                                Based on AHRI 210/                                               2.2.5.4.a,
                                240-Draft.                                                       2.2.5.5,
                                                                                                 2.3.1.a, 2.4.2,
                                                                                                 2.5, 2.11,
                                                                                                 3.1.3.1,
                                                                                                 3.1.4.1.1,
                                                                                                 3.1.5, 3.3(d).
III.E.15.....................  Damping Pressure       80 FR 69312          III.E.16             2.6(a).
                                Transducer Signals.
III.F.1......................  Manufacturer           80 FR 69313          III.F.1              2.2.5, 2.4.2,
                                Consultation.                                                    2.2.2,
                                                                                                 3.1.4.2(c),
                                                                                                 3.1.4.4.2(c),
                                                                                                 3.1.4.5(d),
                                                                                                 3.5.1(b)(3).
III.F.2......................  Incorporation by       80 FR 69313          III.F.2              1, 3.12, 2.2.a,
                                Reference of AHRI                                                2.2.b, 2.2.c,
                                1230-2010.                                                       2.2.1, 2.2.2,
                                                                                                 2.2.3(a),
                                                                                                 2.2.3(c),
                                                                                                 2.2.4, 2.2.5,
                                                                                                 2.4-2.12, Table
                                                                                                 3, section 3.1
                                                                                                 (except
                                                                                                 sections 3.1.3,
                                                                                                 3.1.4), 3.3,
                                                                                                 3.4, 3.5, 3.7-
                                                                                                 3.10, 3.13, 4.
III.F.3......................  Replacement of the     80 FR 69314          III.F.3              Table 1.
                                Informative Guidance
                                Table for Using the
                                Federal Test
                                Procedure.
III.F.4......................  Clarifying the         80 FR 69314          III.F.4              1.2.
                                Definition of a Mini-
                                Split System.
III.F.5......................  Clarifying the         80 FR 69315          III.F.5              1.2.
                                Definition of a
                                Multi-Split System.
----------------------------------------------------------------------------------------------------------------
* Section numbers in this column refer to the Appendix M test procedure finalized in this notice.

G. Additional Comments From Interested Parties

    This section discusses additional comments made by interested 
parties during this rulemaking that were unrelated to any of DOE's 
proposals.
1. Wet Coil Performance
    NREL requested DOE require reporting of latent load or amount of 
water condensation removal at each test condition to be able to compare 
equipment performance between dry and humid regions. NREL also 
recommend adding two new cooling-mode test conditions to provide better 
representation of performance in hot dry regions and three new test 
cooling-mode conditions for hot humid regions. (NREL, No. 14 at p. 1)
    In the June 2010 NOPR DOE proposed to add a calculation of the 
sensible heat ratio (SHR) to its test procedure to provide consumers 
and their contractors with more information to allow them to make more 
informed decisions regarding product selections. 75 FR 31223, 31237 
(June 2, 2010). In response, UTC/Carrier and JCI noted in its comments 
that SHR is currently provided in manufacturer's product data. (UTC/
Carrier, No. 62 at p. 7; JCI, No. 66 at p. 12). In this final rule, DOE 
agrees that SHR was intended to be provided in manufacturer literature 
and has not adopted the November 2015 SNOPR proposal to require SHR be 
reported to DOE (see Section III.A.5) The latent load and water 
condensate rate can be calculated based on the SHR in manufacturers' 
product literature and the rated cooling capacity, which should provide 
sufficient representation of wet coil performance.
    The DOE test procedure requires units to be tested at 80 [deg]F dry 
bulb temperature and 67 [deg]F wet bulb temperature during wet-coil 
cooling test to represent typical indoor conditions. DOE does not 
disagree that the additional test points proposed by NREL would provide 
additional representation of performance in hot dry and hot humid 
regions. However, requiring those additional tests would impose 
significant test burden on manufacturers. Currently, for a single-
capacity air-conditioner, a manufacturer must conduct four tests and 
generally conducts in addition the dry and cyclic tests. Adding five 
tests would roughly double the test time for these units. It is not 
clear how the five additional tests recommended by NREL would improve 
the accuracy or field-representativeness of the measurements of SEER or 
EER. Hence, DOE has determined not to include these test points in the 
test procedure.
2. Barometric Pressure Correction
    AHRI and JCI proposed that DOE implement a barometric pressure 
correction specification for testing. They suggested that barometric 
pressure be corrected to the altitude where the mean of the U.S. 
population lives. (AHRI, No. 70 at p. 13; JCI, No. 66 at p. 11) JCI 
suggested addressing barometric pressure by maintaining the enthalpy or 
humidity ratio of the entering air, indicating that this has been used 
effectively for lab correlation. (JCI, No. 66 at p. 11)
    DOE has noted the industry's concern regarding the impact of 
barometric pressure on the repeatability of tests and represented 
values. Currently, there is no systematic data to demonstrate the 
effect of barometric pressure on unit performance. However, JCI did not 
describe in sufficient detail how the correlation it proposed would 
work, nor provide data showing that it properly addresses the 
barometric pressure issue.
    DOE also notes that there has not been a study leading to selection 
of a standard altitude or pressure level. DOE is not adopting a 
barometric pressure correction in this final rule because an approach 
for addressing it has not been described in sufficient detail nor shown 
to provide the correct adjustment for pressure changes.
3. Inlet Screen
    DOE proposed in the November 2015 SNOPR the use of a screen 
downstream of the air mixer in the outlet of the indoor unit if 
necessary to improve temperature uniformity. 80 FR at 69278, 69353 
(Nov. 9, 2015). Ingersoll Rand commented that inlet and outlet screens 
on the indoor unit air stream will impose pressure drop, potentially 
requiring an increase in the code tester fan motor size. The code 
tester is the airflow measuring apparatus as discussed in section 2.6 
of Appendix M. They also recommended that regardless of whether the 
cyclic test is carried out, the measured performance should be 
equivalent to the no damper test setup. (Ingersoll Rand, No. 65 at p. 
5-6) DOE notes that the proposal included no requirement for an inlet 
screen, and that the screen in the outlet is an option to help meet the 
temperature uniformity requirements, but is not required if other means 
are sufficient to attain uniformity. Further, requirement for 
temperature uniformity for the outlet temperature measurement applies 
whether or not an outlet damper box is used, i.e., to conduct a cyclic 
test. DOE has made no changes in response to the Ingersoll Rand 
comment.

[[Page 37043]]

H. Compliance With Other Energy Policy and Conservation Act 
Requirements

    This section discusses and responds to comments related to 
compliance with Energy Policy and Conservation Act Requirements.
1. Dates
    HARDI commented that given the challenging and complex nature of 
the test procedure, the comment period should have been extended by 30 
days. HARDI believes that restricting the comment period to 30 days has 
a negative impact to smaller companies as they may not have the means 
to fully assess the true impact of such a proposal in a narrow time 
frame. (HARDI, No. 57 at p. 1) JCI requested that the comment period 
remain open an additional 60 days to finalize their analysis of the 
proposed test procedure and any resulting clarifying comments. Goodman 
commented that the Department has not complied with federal law because 
it has failed to provide a 60-day comment period on this proposed test 
procedure per 42 U.S.C. 6293(b)(2). (Goodman, No. 73 at p. 22)
    DOE notes that it received a request from AHRI to extend the 
comment period while the comment period was still open. (AHRI, No. 54, 
attachment 1). DOE considered the request from AHRI, but declined to do 
so. The November 2015 SNOPR represented the third round of comment on 
the CAC test procedure rulemaking. DOE is limited by a statutory cap on 
the number of days on which it can request public comment, and after 
three rounds of rulemaking, DOE is closer to that cap. Consequently, 
DOE declined the request and did not extend the comment period for the 
CAC/HP TP SNOPR. (AHRI, No. 54, Attachment 2)
    JCI commented that the raw scope of changes proposed within the 
SNOPR coupled with the CAC/HP ECS Working Group and other DOE 
rulemaking activities is such that a complete and thorough review, 
understanding of the proposed changes, and resulting required 
laboratory changes, coupled with potential rerating and off mode 
standby test requirements make complying with the new test procedure 
within 180 days of being final particularly challenging if not 
impossible, and that the nature of many of the proposed changes to the 
test procedure require some level of capital investment and software 
programming. JCI formally requested that an additional 180 days were 
required to fully and completely implement all of the proposed changes 
in the SNOPR in addition to the standard 180 days as currently 
prescribed. (JCI, No. 66 at p. 2-3)
    First Co. commented that the 180 day effective date for AEDM 
compliance proposed by DOE is unrealistic and suggested an effective 
date of 18 months from the date the rule is finalized. (First Co., No. 
56 at p. 1)
    AHRI, ADP, Mortex, and Lennox commented that even with the adoption 
of the recommended ``Similarity Group'' framework, ICMs anticipate that 
the industry will face significant challenges to perform all the 
required testing in the currently required time of 180 days after the 
publication of the final rule. AHRI formally petitions the Department 
to extend the time period to comply to 360 days, as is consistent with 
its authority. See 42 U.S.C. 6293(c)(3). (AHRI, No. 70 at p. 7; ADP, 
No. 59 at p. 4; Mortex, No. 71 at p. 6-7; Lennox, No. 61 at p. 7)
    In response to JCI, DOE notes that this final rule has a reduced 
scope from that of the SNOPR. In addition, DOE has made modifications 
to the off mode test requirement proposals to reduce test burden, as 
discussed in section III.D.10. For these reasons, DOE believes that a 
180 day time period will be sufficient to implement the finalized test 
procedure. In response to First Co., AHRI, ADP, Mortex, and Lennox, DOE 
notes that 42 U.S.C. 6293(c)(3) allows individual manufacturers to 
petition DOE for additional time to comply. DOE cannot grant this 
additional time based on a blanket request from AHRI. However, as 
discussed in section III.H.2, the changes adopted in this final rule do 
not impact measured energy use; and as such, additional test burden is 
expected to be limited.
2. Measured Energy Use
    EPCA requires that 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)) In the November 2015 SNOPR, DOE determined that all 
proposed changes for Appendix M would not alter the measured efficiency 
of central air conditioners and heat pumps. DOE proposed all changes 
that it anticipated might alter the measured efficiency for Appendix 
M1, which will be addressed in a separate notice.
    AHRI, Nortek and UTC/Carrier disagreed that the proposed changes to 
Appendix M will not alter the measured efficiency of a covered product. 
(AHRI, No. 70 at p. 1-2; Nortek, No. 58 at p. 1; UTC/Carrier, No. 62 at 
p. 23) UTC/Carrier commented that this could be due to CD 
testing changing the resultant SEER or HSPF, as it has slightly 
different stability requirements, or could be due to manufacturers 
losing the ability to de-rate and require ratings to be at the mean of 
the data/testing results. (UTC/Carrier, No. 62 at p. 23) AHRI contended 
that the following proposed changes may impact efficiency: Changes to 
the CD; requirement that manufacturers rate to the mean of 
the cooling capacity, heating capacity, and sensible heat ratio (SHR) 
and the prohibition on manufacturers' conservative ratings; requirement 
that two-speed products must be tested coil-only, which has the 
potential to change ratings derived previously using a blower coil or 
the alternative rating method; and limit on compressor break-in period. 
(AHRI, No. 70 at p. 1-2)
    Rheem commented that that each of the changes that have been 
proposed made a difference in the rating of a specific equipment sample 
subject to verification or enforcement testing and that it is not clear 
whether the certification rating will increase or decrease for each 
proposed change. Rheem commented that it is not clear how the 
conclusion that proposed changes do not impact standards was reached. 
(Rheem, No. 69 at p. 2)
    DOE notes that with the exception of compressor break-in period, 
DOE has made modifications to its proposals on all the topics for which 
UTC/Carrier and AHRI expressed concern over change in represented 
value. In addition, DOE notes that the current test procedure does not 
include a compressor break-in period, and any change in represented 
value for testing a specific unit with a break-in period would only 
serve to improve the value as compared to the standard. For these 
reasons, DOE confirms that the changes adopted in this final rule do 
not alter the measured efficiency of the covered product.
    Nortek commented that if the test procedure does not change the 
efficiency, then all existing ratings are still valid. (Nortek, No. 58 
at p. 1) Similarly, First Co. commented that the final rule should make 
clear that ICM test results remain valid until the energy efficiency 
standard changes. Retesting is not required merely because the OUM 
discontinues the outdoor unit tested by the ICM. (First Co., No. 56 at 
p. 2) Finally, AHRI, ADP, Mortex, and Lennox asked for clarity on using 
data from existing tests to satisfy testing requirements especially 
considering the burden associated with outside lab testing. These 
parties stated that, based on the proposed framework, ICMs and OUMs 
would expect that data from

[[Page 37044]]

existing tests performed to the current test standard and meeting all 
other requirements could be used to satisfy the testing requirement for 
existing products. In addition, they said that ICMs and OUMs also 
expect that tests will remain valid until the energy conservation 
standard is changed and Appendix M1 becomes effective. (AHRI, No. 70 at 
p. 7; ADP, No. 59 at p. 4; Mortex, No. 71 at p. 6-7; Lennox, No. 61 at 
p. 7)
    DOE acknowledges that manufacturers have large amounts of pre-
existing data that they currently use to make representations about and 
certify the performance of their equipment and that regenerating all of 
this data within the 180 day timeframe would be burdensome. As such, 
manufacturers may continue to use such data to make representations 
about the performance of models after the 180 day timeframe, provided 
manufacturers are confident that the values are consistent with those 
that would be generated under the adopted test procedure.
3. 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 concluded that revising the DOE test 
procedure, per the amendments in this final rule, 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 burden.
    As discussed in section IV.B of this final rule, the revised 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/HP 
represented values for certifying performance to DOE. While this notice 
clarifies the test procedures, and adopts into regulation the test 
procedures associated with a number of test procedure waivers, most of 
the amendments would not affect test time or the equipment and 
facilities required to conduct testing. Possible changes in test burden 
associated with the amendments of this notice apply to off mode 
testing.
    The amendments 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 revised test procedure does not 
require that every individual combination be tested for off mode, 
allowing extensive use of AEDMs in order to reduce test burden.
    In addition, DOE carefully considered the testing burden on 
manufacturers in 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. DOE made further changes to reduce 
test burden of the off-mode test procedure in response to comments 
regarding the November 2015 SNOPR, specifically (a) allowing the test 
to be conducted in a temperature-controlled room rather than a 
psychrometric test facility, and (b) allowing the test to be conducted 
without room temperature control for more designs than allowed by the 
proposal. 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.
    The November 2015 SNOPR also proposed amendments calling for 
testing to determine performance for ICMs. These amendments have been 
revised in this final rule such that far fewer models will have to be 
tested (see the discussion in section III.A.1.d).
    DOE allows manufacturers to develop and apply an alternative 
efficiency determination method 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 procedure waivers have already been using the 
alternative test procedures provided to them for certification testing. 
Thus, the inclusion of those alternative test procedures into the test 
procedure, as revised in this notice, does not add test burden.
    DOE set forth amendments 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 present additional 
detail regarding such amendments.
    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 all of the test procedure amendments. 
Therefore, DOE determined that the revisions to the central air 
conditioner and heat pump test procedure will produce test results that 
measure energy consumption during a period of representative use, and 
that the test procedure will not be unduly burdensome to conduct.
4. 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),\19\ 
and determined that the procedures contained therein are not sufficient 
to properly measure off mode power for the unique characteristics of 
the components that contribute to off-mode power for CAC/HP products, 
i.e., the crankcase heaters. Therefore, DOE determined that referencing 
IEC Standard 62301 is not appropriate for the revised test procedure 
that is the subject of this rulemaking.
---------------------------------------------------------------------------

    \19\ 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 products such as central air conditioners and heat 
pumps. Therefore, DOE determined that referencing IEC Standard 62087 is 
not necessary for the revised test procedure that is the subject of 
this rulemaking.

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.

[[Page 37045]]

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of a final regulatory flexibility analysis (FRFA) for any 
final rule, 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 today's final rule under the provisions of the 
Regulatory Flexibility Act and the procedures and policies published on 
February 19, 2003. This final rule prescribes clarifications to DOE's 
already-existing test procedures that will be used to test compliance 
with energy conservation standards for the products that are the 
subject of this rulemaking. It also adds a requirement to conduct 
testing to determine off mode power consumption. DOE has estimated the 
impacts of the test procedure changes on small business manufacturers.
    For the purpose of the regulatory flexibility analysis for this 
rule, DOE adopts the Small Business Administration (SBA) definition of 
a small entity within this industry as a manufacturing enterprise with 
1,250 employees or fewer. DOE used the small business size standards 
published by the SBA to determine whether any small entities would be 
required to comply with the rule. 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 https://www.sba.gov/sites/default/files/files/Size_Standards_Table.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 24 domestic small manufacturers of 
central air conditioners and heat pumps.
    Potential impacts of the amended 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 31243 (June 2, 2010). DOE has eliminated tests 
associated with SEER-HD from this rulemaking. 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 31243 (June 2, 2010)). 
Assuming two off mode tests per tested model, this is an average test 
cost of $2,000 per model. This estimate does not take into 
consideration the possibility of the use of AEDMs for establishing off-
mode represented values, which could significantly reduce the off-mode 
testing burden. It also does not take into account the changes in off-
mode testing adopted in this final rule to reduce test burden, i.e., 
specifically allowing more units to test off-mode energy use in a room 
without temperature control, and clarifying that off-mode testing does 
not need to be conducted in a psychrometric chamber (see section III.D 
for details).
    The off mode test procedure primarily measures energy use of 
outdoor units. The off-mode power input represented values for CAC/HP 
model combinations including indoor units manufactured by ICMs would be 
equal to the off-mode represented values of other combinations using 
the same outdoor units. Hence, it is expected that small-business ICM 
manufacturers would use these same represented values rather than 
retesting the outdoor units and thus not be affected by the off-mode 
testing required by this rule. Because the incremental cost of running 
the extra off mode tests is the same for all other manufacturers, DOE 
believes that they would incur comparable costs for testing to certify 
off mode power use for basic models as a result of this final test 
procedure.
    With respect to the provisions addressing AEDMs, the amendments 
contained herein will not increase the testing or reporting burden of 
OUMs who currently use, or are eligible to use, an AEDM to certify 
their products. The amendments 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 amendments will either have no effect 
on test burden or decrease burden related to testing and determination 
of represented values of products (e.g., elimination of ARM pre-
approval), DOE has determined these amendments will result in no 
significant change in testing or reporting burden.
    To evaluate the potential cost impact of off-mode testing for small 
OUMs, DOE estimated small manufacturers' total cost of testing. As 
discussed above, DOE identified 24 domestic small business 
manufacturers of CAC/HP products. Of these, only OUMs that operate 
their own manufacturing facilities (i.e., are not private labelers 
selling only products manufactured by other entities) and OUM importing 
private labelers would be subject to the additional requirements for 
testing required by this rule. DOE identified 12 such manufacturers, 
but was able to estimate the number of basic models associated only 
with nine of these. DOE calculated the additional testing expense for 
these nine domestic small businesses. Assuming the $2,000 estimate of 
additional test cost per basic model, and that testing of basic models 
may not have to be updated more than once every five years, DOE 
estimated that the annual cost impact of the additional testing is $400 
per basic model when the cost is spread over five years.
    DOE currently requires that only one combination associated with 
any given outdoor unit 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 AEDM that does not 
require DOE testing of these units. DOE reviewed available data for the 
nine small businesses to estimate the incremental testing cost burden 
those firms might experience due to the revised test procedure. These 
manufacturers had an average of 35

[[Page 37046]]

models requiring testing. DOE determined the numbers of models using 
DOE's Compliance Certification Database (https://www.regulations.doe.gov/certification-data/). The additional testing 
cost for final certification for 35 models was estimated at $70,000. 
Meanwhile, these certifications would be expected to last the product 
life, estimated to be at least five years. This test burden is 
therefore estimated to be approximately $14,000 annually.
    In addition to off-mode testing costs facing small OUMs of central 
air conditioners and heat pumps, this final rule will require ICMs to 
conduct testing for their basic models. However, DOE has modified its 
definition of basic model for ICM to match the Similarity Group concept 
suggested by several stakeholders (see section III.A.1.d). Further, DOE 
has relaxed its requirement for testing of ICM heat pump combinations, 
such that only a limited number of heat pump basic models would require 
testing, i.e., those for which a test has not been conducted for an 
equivalent air-conditioner model. DOE identified three domestic small 
ICMs subject to testing costs under this final rule.
    To calculate the additional testing costs facing small ICMs, DOE 
used data provided by AHRI regarding what they referred to as 
Similarity Groups and which DOE is considering to be basic models. 
Specifically, DOE assumed an average of 42 basic models per ICM based 
on the AHRI data. (AHRI, No. 70 at p. 6) DOE also assumed $7,500 in 
added costs per test and two tests per basic model. (AHRI, No. 70 at p. 
4) Assuming $15,000 in additional testing costs per basic model (to 
cover two tests per model), and that testing of basic models may not 
have to be updated more than once every five years, DOE estimated that 
the total additional testing cost for final certification of 42 basic 
models for each small ICM would amount to costs averaging $126,000 per 
year.
    DOE will provide its certification and final 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 30 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 final rule, DOE amends its test procedure for central air 
conditioners and heat pumps. DOE has determined that this final 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 rule amends 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 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 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 final 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 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

[[Page 37047]]

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 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. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a 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 final 
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 final rule will 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 will 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 final 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 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 significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use associated with the rule's implementation, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The regulatory action is not a significant regulatory action under 
Executive Order 12866. Moreover, it will 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 rule incorporates testing methods contained in the following 
commercial standards: AHRI 210/240-2008, Performance Rating of Unitary 
Air-Conditioning & Air-Source Heat Pump Equipment; and AHRI 1230-2010, 
Performance Rating of Variable Refrigerant Flow Multi-Split Air-
Conditioning and Heat Pump Equipment. While the amended test procedure 
is not exclusively based on AHRI 210/240-2008 or 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 AHRI 1230-
2010 without amendment. DOE has evaluated these standards and consulted 
with the Attorney General and the Chairman of the FTC and has concluded 
that this final rule fully complies with the requirements of section 
32(b) of the FEAA.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

N. Description of Materials Incorporated by Reference

    In this final rule, DOE is incorporating by reference specific 
sections, figures, and tables in the following two test

[[Page 37048]]

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 is also updating its 
incorporation by reference (IBR) to the most recent versions of 
specific standards, figures, and tables in 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'', ANSI/ASHRAE 37-2009, Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, 
ANSI/ASHRAE 41.1-2013 titled ``Standard Method for Temperature 
Measurement'', ASHRAE 41.6-2014 titled ``Standard Method for Humidity 
Measurement'', and ASHRAE 41.9-2011 titled ``Standard Methods for 
Volatile-Refrigerant Mass Flow Measurements Using Calorimeters''. 
Finally, DOE is updating its IBR to specific figures in the most recent 
version of the following test procedure from ASHRAE and AMCA: ANSI/AMCA 
210-2007, ANSI/ASHRAE 51-2007, Laboratory Methods of Testing Fans for 
Certified Aerodynamic Performance Rating.
    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 in this final rule references various 
sections of AHRI 210/240-2008 that address test setup, test conditions, 
and rating requirements. 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 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 in this final rule 
for VRF multi-split systems references various sections of AHRI 1230-
2010 that address test setup, test conditions, and rating requirements. 
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 in this final rule 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.
    ANSI/ASHRAE 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 in this final rule 
references various sections of ANSI/ASHRAE 37-2009 that address test 
conditions and test procedures, updating the IBR from a previous 
version of this standard, ASHRAE 37-2005. ANSI/ASHRAE 37-2009 can be 
purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ANSI/ASHRAE 41.1-2013 is an industry accepted method for measuring 
temperature in testing heating, refrigerating, and air-conditioning 
equipment. The test procedure in this final rule references sections of 
ANSI/ASHRAE 41.1-2013 that address requirements, instruments, and 
methods for measuring temperature. ANSI/ASHRAE 41.1-2013 can be 
purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE 41.2-1987 (RA 1992) is an industry accepted test method for 
measuring airflow. The test procedure in this final rule references 
sections of ASHRAE 41.2-1987 (RA 1992) that address test setup and test 
methods. ASHRAE 41.2-1987 (RA 1992) 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 in this final rule 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.
    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 in this final rule 
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.
    ANSI/ASHRAE Standard 116-2010 is an industry accepted standard that 
provides test methods and calculation procedures for determining the 
capacities and cooling seasonal efficiency ratios for unitary air-
conditioning, and heat pump equipment and heating seasonal performance 
factors for heat pump equipment. The test procedure in this final rule 
references various sections of ANSI/ASHRAE 116-2010 that addresses test 
methods and calculations, updating the IBR from a previous version of 
the standard, ASHRAE 116-1995 (RA 2005). ANSI/ASHRAE Standard 116-2010 
can be purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    AMCA 210-2007 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 final rule references various sections of AMCA 210-
2007 that address test conditions, updating the IBR from a previous 
version of this standard, ASHRAE/AMCA 51-1999/210-1999. AMCA 210-2007 
can be purchased from AMCA's Web site at https://www.amca.org/store/index.php.

V. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
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.


[[Page 37049]]


    Issued in Washington, DC, on May 19, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons set forth in the preamble, DOE amends parts 429 and 
430 of chapter II of title 10, 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. Section 429.12 is amended 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 or single-package 
central air conditioners and central air conditioning heat pumps, or 
multi-split, multi-circuit, or multi-head mini-split systems other than 
the ``tested combination,'' for each individual combination or 
individual model). Enter ``0'' if an AEDM was used in lieu of testing 
(and in the case of central air conditioners and central air 
conditioning heat pumps, this must be indicated separately for each 
metric);
* * * * *
    (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, 
commercial HVAC equipment, and central air conditioners and central air 
conditioning heat pumps 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 Represented Value--(1) Required represented 
values. Determine the represented values (including SEER, EER, HSPF, 
PW,OFF, cooling capacity, and heating capacity, as 
applicable) for the individual models/combinations (or ``tested 
combinations'') specified in the following table.

------------------------------------------------------------------------
                                    Equipment       Required represented
           Category                subcategory             values
------------------------------------------------------------------------
Single-Package Unit...........  Single-Package AC  Every individual
                                 (including Space-  model distributed in
                                 Constrained).      commerce.
                                Single-Package HP
                                 (including Space-
                                 Constrained).
Outdoor Unit and Indoor Unit    Single-Split       Every individual
 (Distributed in Commerce by     System AC with     combination
 OUM).                           Single-Stage or    distributed in
                                 Two-Stage          commerce, including
                                 Compressor         all coil-only and
                                 (including Space-  blower coil
                                 Constrained and    combinations. For
                                 Small-Duct, High   each model of
                                 Velocity Systems   outdoor unit, this
                                 (SDHV)).           must include at
                                                    least one coil-only
                                                    value that is
                                                    representative of
                                                    the least efficient
                                                    combination
                                                    distributed in
                                                    commerce with the
                                                    particular model of
                                                    outdoor unit.
                                Single-Split       Every individual
                                 System AC with     combination
                                 Other Than         distributed in
                                 Single-Stage or    commerce, including
                                 Two-Stage          all coil-only and
                                 Compressor         blower coil
                                 (including Space-  combinations.
                                 Constrained and
                                 SDHV).
                                Single-Split-      Every individual
                                 System HP          combination
                                 (including Space-  distributed in
                                 Constrained and    commerce.
                                 SDHV).
                                Multi-Split,       For each model of
                                 Multi-Circuit,     outdoor unit, at a
                                 or Multi-Head      minimum, a non-
                                 Mini-Split Split   ducted ``tested
                                 System--non-SDHV.  combination.'' For
                                                    any model of outdoor
                                                    unit also sold with
                                                    models of ducted
                                                    indoor units, a
                                                    ducted ``tested
                                                    combination.''
                                                    Additional
                                                    representations are
                                                    allowed, as
                                                    described in
                                                    paragraph (c)(3)(i)
                                                    of this section.
                                Multi-Split,       For each model of
                                 Multi-Circuit,     outdoor unit, an
                                 or Multi-Head      SDHV ``tested
                                 Mini-Split Split   combination.''
                                 System--SDHV.      Additional
                                                    representations are
                                                    allowed, as
                                                    described in
                                                    paragraph (c)(3)(ii)
                                                    of this section.
Indoor Unit Only (Distributed   Single-Split-      Every individual
 in Commerce by ICM).            System Air         combination
                                 Conditioner        distributed in
                                 (including Space-  commerce.
                                 Constrained and
                                 SDHV).
                                Single-Split-
                                 System Heat Pump
                                 (including Space-
                                 Constrained and
                                 SDHV).
                                Multi-Split,       For a model of indoor
                                 Multi-Circuit,     unit within each
                                 or Multi-Head      basic model, an SDHV
                                 Mini-Split Split   ``tested
                                 System--SDHV.      combination.''
                                                    Additional
                                                    representations are
                                                    allowed, as
                                                    described in section
                                                    (c)(3)(ii).
------------------------------------------------------------------------
Outdoor Unit with no Match.......................  Every model of
                                                    outdoor unit
                                                    distributed in
                                                    commerce (tested
                                                    with a model of coil-
                                                    only indoor unit as
                                                    specified in
                                                    paragraph (c)(2) of
                                                    this section).
------------------------------------------------------------------------

    (2) PW,OFF. If individual models of single-package 
systems or individual combinations (or ``tested combinations'') of 
split systems that are otherwise identical are offered with multiple 
options for off mode-related components, determine the represented 
value for the individual model/combination with the crankcase heater 
and controls that are the most consumptive. A manufacturer may also 
determine represented values for individual models/combinations with 
less consumptive off mode options; however, all such options must be

[[Page 37050]]

identified with different model numbers for single-package systems or 
for outdoor units (in the case of split systems).
    (3) Limitations for represented values of individual combinations. 
The following paragraphs explains the limitations for represented 
values of individual combinations (or ``tested combinations'').
    (i) Regional. A basic model may only be certified as compliant with 
a regional standard if all individual combinations within that basic 
model meet the regional standard for which it is certified. If a model 
of outdoor unit is certified below a regional standard, then the model 
of outdoor unit must have a unique model number for distribution in 
each region. An ICM cannot certify a basic model containing a 
representative value that is more efficient than any combination 
certified by an OUM containing the same outdoor unit.
    (ii) Multiple product classes. Models of outdoor units that are 
rated and distributed in individual combinations that span multiple 
product classes must be tested, rated, and certified pursuant to 
paragraph (a) of this section as compliant with the applicable standard 
for each product class. This includes multi-split systems, multi-
circuit systems, and multi-head mini-split systems with a represented 
value for a mixed combination including both SDHV and either non-ducted 
or ducted indoor units.
    (4) Requirements. All represented values under paragraph (a) of 
this section must be based on testing in accordance with the 
requirements in paragraph (b) of this section or the application of an 
AEDM or other methodology as allowed in paragraph (c) of this section.
    (b) Units tested--(1) General. The general requirements of Sec.  
429.11 apply to central air conditioners and heat pumps; and
    (2) Individual model/combination selection for testing. (i) The 
table identifies the minimum testing requirements for each basic model 
that includes multiple individual models/combinations. For each basic 
model that includes only one individual model/combination, that 
individual model/combination must be tested.

----------------------------------------------------------------------------------------------------------------
               Category                 Equipment subcategory          Must test:                 With:
----------------------------------------------------------------------------------------------------------------
Single-Package Unit..................  Single-Package AC        The lowest SEER          N/A.
                                        (including Space-        individual model.
                                        Constrained).
                                       Single-Package HP
                                        (including Space-
                                        Constrained).
Outdoor Unit and Indoor Unit           Single-Split-System AC   The model of outdoor     The model of coil-only
 (Distributed in Commerce by OUM).      with Single-Stage or     unit.                    indoor unit that is
                                        Two-Stage Compressor                              likely to have the
                                        (including Space-                                 largest volume of
                                        Constrained and Small-                            retail sales with the
                                        Duct, High Velocity                               particular model of
                                        Systems (SDHV)).                                  outdoor unit.
                                       Single-Split System AC   The model of outdoor     The model of indoor
                                        with Other Than Single-  unit.                    unit that is likely to
                                        Stage or Two-Stage                                have the largest
                                        Compressor (including                             volume of retail sales
                                        Space-Constrained and                             with the particular
                                        SDHV).                                            model of outdoor unit.
                                       Single-Split-System HP
                                        (including Space-
                                        Constrained and SDHV).
                                       Multi-Split, Multi-      The model of outdoor     At a minimum, a
                                        Circuit, or Multi-Head   unit.                    ``tested combination''
                                        Mini-Split Split                                  composed entirely of
                                        System--non-SDHV.                                 non-ducted indoor
                                                                                          units. For any models
                                                                                          of outdoor units also
                                                                                          sold with models of
                                                                                          ducted indoor units, a
                                                                                          second ``tested
                                                                                          combination'' composed
                                                                                          entirely of ducted
                                                                                          indoor units must be
                                                                                          tested (in addition to
                                                                                          the non-ducted
                                                                                          combination).
                                       Multi-Split, Multi-      The model of outdoor     A ``tested
                                        Circuit, or Multi-Head   unit.                    combination'' composed
                                        Mini-Split Split                                  entirely of SDHV
                                        System--SDHV.                                     indoor units.
Indoor Unit Only (Distributed in       Single-Split-System Air  A model of indoor unit.  The least efficient
 Commerce by ICM).                      Conditioner (including                            model of outdoor unit
                                        Space-Constrained and                             with which it will be
                                        SDHV).                                            paired where the least
                                                                                          efficient model of
                                                                                          outdoor unit is the
                                                                                          model of outdoor unit
                                                                                          in the lowest SEER
                                                                                          combination as
                                                                                          certified by the OUM.
                                                                                          If there are multiple
                                                                                          models of outdoor unit
                                                                                          with the same lowest
                                                                                          SEER represented
                                                                                          value, the ICM may
                                                                                          select one for testing
                                                                                          purposes.
                                       Single-Split-System      Nothing, as long as an
                                        Heat Pump (including     equivalent air
                                        Space-Constrained and    conditioner basic
                                        SDHV).                   model has been tested.
                                                                If an equivalent air
                                                                 conditioner basic
                                                                 model has not been
                                                                 tested, must test a
                                                                 model of indoor unit.

[[Page 37051]]

 
                                       Multi-Split, Multi-      A model of indoor unit.  A ``tested
                                        Circuit, or Multi-Head                            combination'' composed
                                        Mini-Split Split                                  entirely of SDHV
                                        System--SDHV.                                     indoor units, where
                                                                                          the outdoor unit is
                                                                                          the least efficient
                                                                                          model of outdoor unit
                                                                                          with which the SDHV
                                                                                          indoor unit will be
                                                                                          paired. The least
                                                                                          efficient model of
                                                                                          outdoor unit is the
                                                                                          model of outdoor unit
                                                                                          in the lowest SEER
                                                                                          combination as
                                                                                          certified by the OUM.
                                                                                          If there are multiple
                                                                                          models of outdoor unit
                                                                                          with the same lowest
                                                                                          SEER represented
                                                                                          value, the ICM may
                                                                                          select one for testing
                                                                                          purposes.
----------------------------------------------------------------------------------------------------------------
                  Outdoor Unit with No Match                    The model of outdoor     A model of coil-only
                                                                 unit.                    indoor unit meeting
                                                                                          the requirements of
                                                                                          section 2.2e of
                                                                                          Appendix M to subpart
                                                                                          B of part 430.
----------------------------------------------------------------------------------------------------------------

    (ii) Each individual model/combination (or ``tested combination'') 
identified in paragraph (b)(2)(i) of this section is not required to be 
tested for PW,OFF. Instead, at a minimum, among individual 
models/combinations with similar off-mode construction (even spanning 
different models of outdoor units), a manufacturer must test at least 
one individual model/combination for PW,OFF.
    (3) Sampling plans and representative values. (i) For individual 
models (for single-package systems) or individual combinations (for 
split-systems, including ``tested combinations'' for multi-split, 
multi-circuit, and multi-head mini-split systems) with represented 
values determined through testing, each individual model/combination 
(or ``tested combination'') must have a sample of sufficient size 
tested in accordance with the applicable provisions of this subpart. 
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. The 
represented values for any individual model/combination must be 
assigned such that:
    (i) Off-Mode. 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:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR08JN16.000
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; Or,
    (B) The upper 90 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR08JN16.001


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 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix D). Round represented values of off-mode power 
consumption to the nearest watt.
    (ii) SEER, EER, and HSPF. 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:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR08JN16.002
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,
    (B) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR08JN16.003


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 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from Appendix D). Round represented values of EER, SEER, and HSPF to 
the nearest 0.05.
    (iii) Cooling Capacity. The represented value of cooling capacity 
must be a self-declared value that is no less than 95 percent of the 
mean of the cooling capacities measured for the units in the sample, 
rounded:
    (A) To the nearest 100 Btu/h if cooling capacity is less than 
20,000 Btu/h,
    (B) 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
    (C) 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.
    (iv) Heating Capacity. The represented value of heating capacity 
must be a self-declared value that is no less than 95 percent of the 
mean of the heating capacities measured for the units in the sample, 
rounded:
    (A) To the nearest 100 Btu/h if heating capacity is less than 
20,000 Btu/h,
    (B) 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
    (C) 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.
    (c) Determination of represented values for all other individual 
models/combinations besides those specified in paragraph (b)(2) of this 
section--(1) All basic models except outdoor units with no match and 
multi-split systems, multi-circuit systems, and multi-head mini-split 
systems. (i) For every individual model/combination within a basic 
model other than the individual model/

[[Page 37052]]

combination required to be tested pursuant to paragraph (b)(2) 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 represented values for the individual model/combination 
obtained in accordance with paragraphs (b)(1) and (3) of this section; 
or
    (B) The represented values of the measures of energy efficiency or 
energy consumption must be assigned through the application of an AEDM 
in accordance with paragraph (d) of this section and Sec.  429.70. An 
AEDM may only be used to rate individual models/combinations in a basic 
model other than the individual model/combination required for 
mandatory testing under paragraph (b)(2)(i) of this section. No basic 
model may be rated with an AEDM (except for determination of 
PW,OFF).
    (ii) For every individual model/combination within a basic model 
tested pursuant to paragraph (b)(2) of this section, but for which 
PW,OFF testing was not conducted, the represented value of 
PW,OFF may be assigned through, either:
    (A) The testing result from an individual model/combination of 
similar off-mode construction, or
    (B) The application of an AEDM in accordance with paragraph (d) of 
this section and Sec.  429.70.
    (2) Outdoor units with no match. All models of outdoor unit within 
a basic model must be tested. No model of outdoor unit may be rated 
with an AEDM.
    (3) Multi-split systems, multi-circuit systems, and multi-head 
mini-split systems. The following applies:
    (i) For basic models composed of both non-ducted and ducted 
combinations, the represented value for the mixed non-ducted/ducted 
combination is the mean of the represented values for the non-ducted 
and ducted combinations as determined in accordance with paragraph 
(b)(3)(i) of this section.
    (ii) For basic models composed of both SDHV and non-ducted or 
ducted combinations, the represented value for the mixed SDHV/non-
ducted or SDHV/ducted combination is the mean of the represented values 
for the SDHV, non-ducted, or ducted combinations, as applicable, as 
determined in accordance with paragraph (b)(3)(i) of this section.
    (iii) 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 separate basic models, and the 
provisions in paragraphs (b)(1) through (3) and (c)(3)(i) and (ii) of 
this section apply.
    (iv) For every individual combination (or ``tested combination'') 
within a basic model tested pursuant to paragraph (b)(2) of this 
section, but for which PW,OFF testing was not conducted, the 
representative values of PW,OFF may be assigned through 
either:
    (A) The testing result from an individual combination (or ``tested 
combination'') of similar off-mode construction, or
    (B) Application of an AEDM in accordance with paragraph (d) of this 
section and Sec.  429.70. No basic model may be rated with an AEDM for 
SEER, EER, or HSPF.
    (d) 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(e) and the provisions of this section.
    (1) Power or energy consumption. Any represented value of the 
average off mode power consumption or other measure of energy 
consumption of an individual model/combination for which consumers 
would favor lower values must be greater than or equal to the output of 
the AEDM but no less than the standard.
    (2) Energy efficiency. Any represented value of the SEER, EER, HSPF 
or other measure of energy efficiency of an individual model/
combination for which consumers would favor higher values must be less 
than or equal to the output of the AEDM but no greater than the 
standard.
    (3) Cooling capacity. The represented value of cooling capacity of 
an individual model/combination must be no less than 95% of the cooling 
capacity output simulated by the AEDM.
    (4) Heating capacity. The represented value of heating capacity of 
an individual model/combination must be no less than 95% of the heating 
capacity output simulated by the AEDM.
    (e) 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 individual model (for single-package systems) 
or individual combination (for split-systems, including ``tested 
combinations'' for multi-split, multi-circuit, and multi-head mini-
split systems), a certification report 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 
region(s) in which the basic model can be sold; 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 represented 
value is for a coil-only or blower coil system; and
    (iv) For multi-split, multiple-circuit, and multi-head mini-split 
systems (including VRF), whether the represented value is for a non-
ducted, ducted, mixed non-ducted/ducted system, SDHV, mixed non-ducted/
SDHV system, or mixed ducted/SDHV 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 number(s)
         Equipment type           Basic model number -----------------------------------------------------------
                                                               1                   2                   3
----------------------------------------------------------------------------------------------------------------
Single-Package (including Space-  Number unique to    Package...........  N/A...............  N/A.
 Constrained).                     the basic model.
Single-Split System (including    Number unique to    Outdoor Unit......  Indoor Unit.......  Air Mover (could
 Space-Constrained).               the basic model.                                            be same as indoor
                                                                                               unit if fan is
                                                                                               part of indoor
                                                                                               unit model
                                                                                               number).

[[Page 37053]]

 
Multi-Split, Multi-Circuit, and   Number unique to    Outdoor Unit......  When certifying a   When certifying a
 Multi-Head Mini-Split System      the basic model.                        basic model based   basic model based
 (including SDHV).                                                         on tested           on tested
                                                                           combination(s):     combination(s):
                                                                           ***.                ***
                                                                          When certifying an  When certifying an
                                                                           individual          individual
                                                                           combination:        combination: Air
                                                                           Indoor Unit(s).     Mover(s).
Outdoor Unit with No Match......  Number unique to    Outdoor Unit......  N/A...............  N/A.
                                   the basic model.
----------------------------------------------------------------------------------------------------------------

    (4) Additional product-specific information. Pursuant to Sec.  
429.12(b)(13), for each individual model/combination (or ``tested 
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/combination 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; whether the optional tests were conducted to determine the Cc 
value used to represent cooling mode cycling losses or whether the 
default value was used; the temperature at which the crankcase heater 
with controls is designed to turn on, if applicable; the maximum time 
between defrosts as allowed by the controls (in hours); and
    (i) For heat pumps, whether the optional tests were conducted to 
determine the Ch value or whether the default value was used;
    (ii) For multi-split, multiple-circuit, and multi-head mini-split 
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; and which fan(s) were 
operating and the allocation of the air volume rate to each operational 
fan for each operating mode used to determine represented values;
    (iv) For blower coil systems, the airflow-control settings 
associated with full load cooling operation; and the airflow-control 
settings or alternative instructions for setting fan speeds for tests 
other than full load cooling operation to the speeds upon which the 
represented value is based;
    (v) For equipment 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 equipment, 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.
    (f) Represented values for the Federal Trade Commission. The 
following represented value determinations shall be followed to meet 
the requirements of the Federal Trade Commission.
    (1) Annual Operating Cost--Cooling. 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:
    (i) The quotient of the represented value of cooling capacity, in 
Btu's per hour as determined in paragraph (b)(3)(iii) of this section, 
divided by the represented value of SEER, in Btu's per watt-hour, as 
determined in paragraph (b)(3)(ii) of this section;
    (ii) The representative average use cycle for cooling of 1,000 
hours per year;
    (iii) A conversion factor of 0.001 kilowatt per watt; and
    (iv) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (2) Annual Operating Cost--Heating. 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 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 (b)(3)(ii) 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.
    (3) Annual Operating Cost--Total. 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 (f)(1) of this section added to the quantity 
determined in paragraph (f)(2) of this section.

[[Page 37054]]

    (4) Regional Annual Operating Cost--Cooling. 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:
    (i) The quotient of the represented value of cooling capacity, in 
Btu's per hour, determined in paragraph (b)(3)(iii) of this section 
divided by the represented value of SEER, in Btu's per watt-hour, 
determined in paragraph (b)(3)(ii) of this section;
    (ii) The estimated number of regional cooling load hours per year 
determined from Table 21 in section 4.4 of appendix M to subpart B of 
part 430;
    (iii) A conversion factor of 0.001 kilowatts per watt; and
    (iv) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (5) Regional Annual Operating Cost--Heating. Determine the 
represented value of estimated regional annual operating cost for air-
source heat pumps that provide only heating or for the heating portion 
of the estimated regional annual operating cost for air-source heat 
pumps that provide both heating and cooling as the product of:
    (i) The estimated number of regional heating load hours per year 
determined from Table 21 in section 4.4 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 (b)(3)(iii);
    (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
    (6) Regional Annual Operating Cost--Total. 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 (f)(4) of this section added to the quantity determined in 
paragraph (f)(5) of this section.
    (7) Annual Operating Cost--Rounding. Round any represented values 
of estimated annual operating cost determined in paragraphs (f)(1) 
through (6) of this section to the nearest dollar per year.
    4. Section 429.70 is amended 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 (e) 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 model/combination to determine its represented 
values (SEER, EER, HSPF, and/or PW,OFF) pursuant to this 
section unless authorized pursuant to Sec.  429.16(d) and:
    (i) The AEDM is derived from a mathematical model that estimates 
the energy efficiency or energy consumption characteristics of the 
individual model or 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.
    (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(b)(2). Using the AEDM, calculate the energy 
use or efficiency for each of the tested individual models/combinations 
within each basic model. Compare the represented value 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 model/combination tolerances. This paragraph 
(e)(2)(ii) provides the tolerances applicable to individual models/
combinations rated using an AEDM.
    (A) The predicted represented values for each individual model/
combination calculated by applying the AEDM may not be more than four 
percent greater (for measures of efficiency) or less (for measures of 
consumption) than the values determined from the corresponding test of 
the individual model/combination.
    (B) The predicted energy efficiency or consumption for each 
individual model/combination calculated by applying the AEDM must meet 
or exceed the applicable federal energy conservation standard.
    (iii) Additional test unit requirements. (A) Each AEDM must be 
supported by test data obtained from physical tests of current 
individual models/combinations; and
    (B) Test results used to validate the AEDM must meet or exceed 
current, applicable Federal standards as specified in part 430 of this 
chapter; and
    (C) Each test must have been performed in accordance with the 
applicable DOE test procedure with which compliance is required at the 
time the individual models/combinations used for validation are 
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 
model/combination to which the AEDM has been applied.
    (4) Additional AEDM requirements. If requested by the Department, 
the manufacturer must:
    (i) Conduct simulations before representatives of the Department to 
predict the performance of particular individual models/combinations;
    (ii) Provide analyses of previous simulations conducted by the 
manufacturer; and/or
    (iii) Conduct certification testing of individual models or 
combinations selected by the Department.
    (5) AEDM verification testing. DOE may use the test data for a 
given individual model/combination generated pursuant to Sec.  429.104 
to verify the represented value determined by an AEDM as long as the 
following process is followed:

[[Page 37055]]

    (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 model or 
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 represented value. If an individual 
model/combination tests worse than its certified represented value 
(i.e., lower than the certified efficiency value or higher than the 
certified consumption value) by more than 5 percent, or the test 
results in a different cooling capacity than its certified cooling 
capacity by more than 5 percent, 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 individual model or 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 paragraph 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 
represented value.
    (B) For efficiency metrics, the result from a DOE verification test 
must be greater than or equal to 0.95 multiplied by the certified 
represented value.
    (vi) Invalid represented value. 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 represented 
values for the basic model are invalid. The manufacturer must conduct 
additional testing and re-rate and re-certify the individual models/
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 paragraph (e)(5)(vii) specifies when a 
manufacturer's use of an AEDM may be restricted due to prior invalid 
represented values.
    (A) If DOE has determined that a manufacturer made invalid 
represented values on individual models/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 individual model/combination within each basic model in 
addition to the individual model/combination specified in Sec.  
429.16(b)(2). The twenty-four month period begins with a DOE 
determination that a represented value is invalid through the process 
outlined above.
    (B) If DOE has determined that a manufacturer made invalid 
represented values 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;
    (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. Section 429.134 is amended by adding paragraph (k) to read as 
follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (k) Central air conditioners and heat pumps--(1) Verification of 
cooling capacity. The cooling capacity of each tested unit of the 
individual model (for single-package systems) or individual combination 
(for split systems) will be measured pursuant to the test requirements 
of Sec.  430.23(m) of this chapter. The mean of 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) 
will be used to determine the applicable standards for purposes of 
compliance.
    (2) Verification of CD value. (i) For central air 
conditioners and heat pumps other than models of outdoor units with no 
match, if manufacturers certify that they did not conduct the optional 
tests to determine the Cc and/or Ch value for an individual model (for 
single-package systems) or individual combination (for split systems), 
as applicable, the default Cc and/or Ch value will be used as the basis 
for calculation of SEER or HSPF for each unit tested. If manufacturers 
certify that they conducted the optional tests to determine the Cc and/
or Ch value for an individual model (for single-package systems) or 
individual combination (for split systems), as applicable, the Cc and/
or Ch value will be measured pursuant to the test requirements of Sec.  
430.23(m) of this chapter for each unit tested and the result for each 
unit tested (either the tested value or the default value, as selected 
according to the criteria for the cyclic test in 10 CFR part 430, 
subpart B, appendix M, section 3.5e) used as the basis for calculation 
of SEER or HSPF for that unit.
    (ii) For models of outdoor units with no match, 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 definition of ``ARM/simulation adjustment factor;''
0
b. Revising the definitions of ``basic model'' and ``central air 
conditioner;'' and
0
c. Removing the definitions of ``coil family,'' ``condenser-evaporator 
coil combination'', ``condensing unit,'' ``evaporator coil'', ``heat 
pump,'' ``indoor unit,'' ``outdoor unit,'' ``small duct, high velocity 
system,'' and ``tested combination.''
    The revisions 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

[[Page 37056]]

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 essentially identical electrical, physical, and 
functional (or hydraulic) characteristics means:
    (i) For split systems manufactured by outdoor unit manufacturers 
(OUMs): all individual combinations having the same model of outdoor 
unit, which means comparably performing compressor(s) [a variation of 
no more than five percent in displacement rate (volume per time) as 
rated by the compressor manufacturer, and no more than five percent in 
capacity and power input for the same operating conditions as rated by 
the compressor manufacturer], outdoor coil(s) [no more than five 
percent variation in face area and total fin surface area; same fin 
material; same tube material], and outdoor fan(s) [no more than ten 
percent variation in air flow and no more than twenty percent variation 
in power input];
    (ii) For split systems having indoor units manufactured by 
independent coil manufacturers (ICMs): all individual combinations 
having comparably performing indoor coil(s) [plus or minus one square 
foot face area, plus or minus one fin per inch fin density, and the 
same fin material, tube material, number of tube rows, tube pattern, 
and tube size]; and
    (iii) For single-package systems: all individual models having 
comparably performing compressor(s) [no more than five percent 
variation in displacement rate (volume per time) rated by the 
compressor manufacturer, and no more than five percent variations in 
capacity and power input rated by the compressor manufacturer 
corresponding to the same compressor rating conditions], outdoor 
coil(s) and indoor coil(s) [no more than five percent variation in face 
area and total fin surface area; same fin material; same tube 
material], outdoor fan(s) [no more than ten percent variation in 
outdoor air flow], and indoor blower(s) [no more than ten percent 
variation in indoor air flow, with no more than twenty percent 
variation in fan motor power input];
    (iv) Except that,
    (A) for single-package systems and single-split systems, 
manufacturers may instead choose to make each individual model/
combination its own basic model provided the testing and represented 
value requirements in 10 CFR 429.16 of this chapter are met; and
    (B) For multi-split, multi-circuit, and multi-head mini-split 
combinations, a basic model may not include both individual small-duct, 
high velocity (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 with no match. In the case of an 
indoor unit only or an outdoor unit with no match, 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 appendix M of subpart B 
of this part.
* * * * *

0
8. Section 430.3 is amended by:
0
a. Adding paragraph (b)(2);
0
b. Revising paragraph (c)(1);
0
c. Adding paragraph (c)(3);
0
d. Revising paragraph (g)(2);
0
e. Removing paragraph (g)(3);
0
f. Redesignating paragraph (g)(4) as (g)(3);
0
g. Adding a new paragraph (g)(4);
0
h. Removing ``, M, '' in paragraph (g)(5);
0
i. Removing paragraph (g)(10);
0
j. Redesignating paragraphs (g)(7) through (9) as (g)(8) through (10);
0
k. Adding new paragraph (g)(7);
0
l. Revising newly redesignated paragraphs (g)(8) through (10); and
0
m. Revising paragraph (g)(13).
    The revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (b) * * *
    (2) ANSI/AMCA 210-07, ANSI/ASHRAE 51-07 (``AMCA 210-2007''), 
Laboratory Methods of Testing Fans for Certified Aerodynamic 
Performance Rating, ANSI approved August 17, 2007, Section 8--Report 
and Results of Test, Section 8.2--Performance graphical representation 
of test results, IBR approved for appendix M to subpart B, as follows:
    (i) Figure 2A--Static Pressure Tap, and
    (ii) Figure 12--Outlet Chamber Setup--Multiple Nozzles in Chamber.
    (c) * * *
    (1) ANSI/AHRI 210/240-2008 with Addenda 1 and 2 (''AHRI 210/240-
2008''), 2008 Standard for Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment, ANSI approved October 
27, 2011 (Addendum 1 dated June 2011 and Addendum 2 dated March 2012), 
IBR approved for appendix M to subpart B, as follows:
    (i) Section 6--Rating Requirements, Section 6.1--Standard Ratings, 
6.1.3--Standard Rating Tests, 6.1.3.2--Electrical Conditions;
    (ii) Section 6--Rating Requirements, Section 6.1--Standard Ratings, 
6.1.3--Standard Rating Tests, 6.1.3.4--Outdoor-Coil Airflow Rate;
    (iii) Section 6--Rating Requirements, Section 6.1--Standard 
Ratings, 6.1.3--Standard Rating Tests, 6.1.3.5--Requirements for 
Separated Assemblies;
    (iv) Figure D1--Tunnel Air Enthalpy Test Method Arrangement;
    (v) Figure D2--Loop Air Enthalpy Test Method Arrangement; and
    (vi) Figure D4--Room Air Enthalpy Test Method Arrangement.
* * * * *
    (3) ANSI/AHRI 1230-2010 with Addendum 2 (``AHRI 1230-2010''), 2010 
Standard for Performance Rating of Variable Refrigerant Flow (VRF) 
Multi-Split Air-Conditioning and Heat Pump Equipment (including 
Addendum 1 dated March 2011), ANSI approved August 2, 2010 (Addendum 2 
dated June 2014), IBR approved for appendix M to subpart B, as follows:
    (i) Section 3--Definitions (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);

[[Page 37057]]

    (ii) Section 5--Test Requirements, Section 5.1 (untitled), 5.1.3-
5.1.4;
    (ii) Section 6--Rating Requirements, Section 6.1--Standard Ratings, 
6.1.5--Airflow Requirements for Systems with Capacities <65,000 Btu/h 
[19,000 W];
    (iii) Section 6--Rating Requirements, Section 6.1--Standard 
Ratings, 6.1.6--Outdoor-Coil Airflow Rate (Applies to all Air-to-Air 
Systems);
    (iv) Section 6--Rating Requirements, Section 6.2--Conditions for 
Standard Rating Test for Air-cooled Systems < 65,000 Btu/h [19,000W] 
(except Table 8); and
    (v) Table 4--Refrigerant Line Length Correction Factors.
* * * * *
    (g) * * *
    (2) ANSI/ASHRAE 23.1-2010, (``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, ANSI approved January 28, 2010, IBR 
approved for appendix M to subpart B, as follows:
    (i) Section 5--Requirements;
    (ii) Section 6--Instruments;
    (iii) Section 7--Methods of Testing; and
    (iv) Section 8--Compressor Testing.
* * * * *
    (4) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37-2009''), 
Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment, ANSI approved June 25, 2009, IBR 
approved for appendix M to subpart B, as follows:
    (i) Section 5--Instruments, Section 5.1--Temperature Measuring 
Instruments: 5.1.1;
    (ii) Section 5--Instruments, Section 5.2--Refrigerant, Liquid, and 
Barometric Pressure Measuring Instruments;
    (iii) Section 5--Instruments, Section 5.5--Volatile Refrigerant 
Flow Measurement;
    (iv) Section 6--Airflow and Air Differential Pressure Measurement 
Apparatus, Section 6.1--Enthalpy Apparatus (Excluding Figure 3): 6.1.1-
6.1.2 and 6.1.4;
    (v) Section 6--Airflow and Air Differential Pressure Measurement 
Apparatus, Section 6.2--Nozzle Airflow Measuring Apparatus (Excluding 
Figure 5);
    (vi) Section 6--Airflow and Air Differential Pressure Measurement 
Apparatus, Section 6.3--Nozzles (Excluding Figure 6);
    (vii) Section 6--Airflow and Air Differential Pressure Measurement 
Apparatus, Section 6.4--External Static Pressure Measurements;
    (viii) Section 6--Airflow and Air Differential Pressure Measurement 
Apparatus, Section 6.5--Recommended Practices for Static Pressure 
Measurements;
    (ix) Section 7--Methods of Testing and Calculation, Section 7.3--
Indoor and Outdoor Air Enthalpy Methods (Excluding Table 1);
    (x) Section 7--Methods of Testing and Calculation, Section 7.4--
Compressor Calibration Method;
    (xi) Section 7--Methods of Testing and Calculation, Section 7.5--
Refrigerant Enthalpy Method;
    (xii) Section 7--Methods of Testing and Calculation, Section 7.7--
Airflow Rate Measurement, Section 7.7.2--Calculations--Nozzle Airflow 
Measuring Apparatus (Excluding Figure 10), 7.7.2.1-7.7.2.2;
    (xiii) Section 8--Test Procedures, Section 8.1--Test Room 
Requirements: 8.1.2-8.1.3;
    (xiv) Section 8--Test Procedures, Section 8.2--Equipment 
Installation;
    (xv) Section 8--Test Procedures, Section 8.6--Additional 
Requirements for the Outdoor Air Enthalpy Method, Section 8.6.2;
    (xvii) Section 8--Test Procedures, Section 8.6--Additional 
Requirements for the Outdoor Air Enthalpy Method, Table 2a--Test 
Tolerances (SI Units), and
    (xviii) Section 8--Test Procedures, Section 8.6--Additional 
Requirements for the Outdoor Air Enthalpy Method, Table 2b--Test 
Tolerances (I-P Units);
    (xix) Section 9--Data to be Recorded, Section 9.2--Test Tolerances; 
and
    (xx) Section 9--Data to be Recorded, Table 3--Data to be Recorded.
* * * * *
    (7) ANSI/ASHRAE Standard 41.1-2013, (``ANSI/ASHRAE 41.1-2013''), 
Standard Method for Temperature Measurement, ANSI approved January 30, 
2013, IBR approved for appendix M to subpart B, as follows:
    (i) Section 4--Classifications;
    (ii) Section 5--Requirements, Section 5.3--Airstream Temperature 
Measurements;
    (iii) Section 6--Instruments; and
    (iv) Section 7--Temperature Test Methods (Informative).
    (8) ANSI/ASHRAE Standard 41.2-1987 (RA 1992), (``ASHRAE 41.2-1987 
(RA 1992)''), Standard Methods for Laboratory Airflow Measurement, ANSI 
reaffirmed April 20, 1992, Section 5--Section of Airflow-Measuring 
Equipment and Systems, IBR approved for appendix M to subpart B, as 
follows:
    (i) Section 5.2--Test Ducts,, Section 5.2.2--Mixers, 5.2.2.1--
Performance of Mixers (excluding Figures 11 and 12 and Table 1); and
    (ii) Figure 14--Outlet Chamber Setup for Multiple Nozzles in 
Chamber.
    (9) ANSI/ASHRAE Standard 41.6-2014, (``ASHRAE 41.6-2014''), 
Standard Method for Humidity Measurement, ANSI approved July 3, 2014, 
IBR approved for appendix M to subpart B, as follows:
    (i) Section 4--Classifications;
    (ii) Section 5--Requirements;
    (iii) Section 6--Instruments and Calibration; and
    (iv) Section 7--Humidity Measurement Methods.
    (10) ANSI/ASHRAE 41.9-2011, (``ASHRAE 41.9-2011''), Standard 
Methods for Volatile-Refrigerant Mass Flow Measurements Using 
Calorimeters, ANSI approved February 3, 2011, IBR approved for appendix 
M to subpart B, as follows:
    (i) Section 5--Requirements;
    (ii) Section 6--Instruments;
    (iii) Section 7--Secondary Refrigerant Calorimeter Method;
    (iv) Section 8--Secondary Fluid Calorimeter Method;
    (v) Section 9--Primary Refrigerant Calorimeter Method; and
    (vi) Section 11--Lubrication Circulation Measurements.
* * * * *
    (13) ANSI/ASHRAE Standard 116-2010, (``ASHRAE 116-2010''), Methods 
of Testing for Rating Seasonal Efficiency of Unitary Air Conditioners 
and Heat Pumps, ANSI approved February 24, 2010, Section 7--Methods of 
Test, Section 7.4--Air Enthalpy Method--Indoor Side (Primary Method), 
Section 7.4.3--Measurements, Section 7.4.3.4--Temperature, Section 
7.4.3.4.5, IBR approved for appendix M 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. (1) Determine cooling 
capacity must be determined from the steady-state wet-coil test (A or 
A2 Test), as described in section 3.3 of appendix M to this subpart, 
and round off:
    (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.

[[Page 37058]]

    (2) Determine seasonal energy efficiency ratio (SEER) as described 
in section 4.1 of appendix M to this subpart, and round off to the 
nearest 0.025 Btu/W-h.
    (3) Determine energy efficiency ratio (EER) as described in section 
4.6 of appendix M to this subpart, and round off to the nearest 0.025 
Btu/W-h.
    (4) Determine heating seasonal performance factors (HSPF) as 
described in section 4.2 of appendix M to this subpart, and round off 
to the nearest 0.025 Btu/W-h.
    (5) Determine average off mode power consumption as described in 
section 4.3 of appendix M to this subpart, and round off to the nearest 
0.5 W.
    (6) Determine sensible heat ratio (SHR), as described in section 
4.5 of appendix M to this subpart, and round off to the nearest 0.5 
percent (%).
    (7) Determine all other measures of energy efficiency or 
consumption or other useful measures of performance using appendix M of 
this subpart.
* * * * *

0
10. Appendix M to subpart B of part 430 is revised to read as follows:

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 December 5, 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 December 5, 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, including single-split, 
multi-head mini-split, multi-split (including VRF), and multi-
circuit systems
    (b) Split-system heat pumps, including single-split, multi-head 
mini-split, 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.
    Air sampling device is an assembly consisting of a manifold with 
several branch tubes with multiple sampling holes that draws an air 
sample from a critical location from the unit under test (e.g. 
indoor air inlet, indoor air outlet, outdoor air inlet, etc.).
    Airflow prevention device denotes a device 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.
    Aspirating psychrometer is a piece of equipment with a monitored 
airflow section that draws uniform airflow through the measurement 
section and has probes for measurement of air temperature and 
humidity.
    Blower coil indoor unit means an indoor unit either with an 
indoor blower housed with the coil or with 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.
    Cased coil means a coil-only indoor unit with external 
cabinetry.
    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 coil-only 
system, COP must include the sections 3.7 and 3.9.1 of this 
appendix: default values for the heat output and power input of a 
fan motor.
    Coil-only indoor unit means an indoor unit that is distributed 
in commerce without an indoor blower or separate designated air 
mover. A coil-only indoor unit installed in the field relies on a 
separately-installed furnace or a modular blower for indoor air 
movement. Coil-only system refers to a system that includes only 
(one or more) coil-only indoor units.
    Condensing unit removes the heat absorbed by the refrigerant to 
transfer it to the outside environment and 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 15 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, and as its 
denominator 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. 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 of this 
appendix.
    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 either:
    (1) 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

[[Page 37059]]

air pressure, outdoor fan power or current, optical sensors) at 
least once for every ten minutes of compressor ON-time when space 
heating or
    (2) Operate as 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 DHR are provided for six 
generalized U.S. climatic regions in section 4.2 of this appendix.
    Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor unit is maintained low 
enough that no condensate forms on the evaporator 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 Btu/h. When determined for 
a ducted coil-only system, EER must include, from this appendix, the 
section 3.3 and 3.5.1 default values for the heat output and power 
input of a fan motor.
    Evaporator coil means an assembly that absorbs heat from an 
enclosed space and transfers the heat to a refrigerant.
    Heat pump means a kind of central air conditioner that utilizes 
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 a heat pump 
with controls that can regulate the operation of the electric 
resistance elements to assure that the air temperature leaving the 
indoor section does not fall below a specified temperature. 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, and its 
denominator the heating capacity measured at the same test 
conditions used for the cyclic test, multiplied by the total time 
interval (ON plus OFF) of the cyclic-test.
    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 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 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 means a separate assembly of a split system that 
includes--
    (1) An arrangement of refrigerant-to-air heat transfer coil(s) 
for transfer of heat between the refrigerant and the indoor air,
    (2) A condensate drain pan, and may or may not include
    (3) Sheet metal or plastic parts not part of external cabinetry 
to direct/route airflow over the coil(s),
    (4) A cooling mode expansion device,
    (5) External cabinetry, and
    (6) An integrated indoor blower (i.e. a device to move air 
including its associated motor). A separate designated air mover 
that may be a furnace or a modular blower (as defined in appendix AA 
to the subpart) may be considered to be part of the indoor unit. A 
service coil is not an indoor unit.
    Multi-head mini-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.
    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 coil-only indoor units and/or 
blower coil indoor units connected 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 on 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 indoor unit means an indoor unit that is designed to 
be permanently installed, mounted on room walls and/or ceilings, and 
that directly heats or cools air within the conditioned space.
    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 other than 
heat pumps, the shoulder season and the entire heating season; and 
for heat pumps, the shoulder season only.
    Outdoor unit means a separate assembly of a split system that 
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, may include a heating mode expansion 
device, reversing valve, and/or 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 EER (or COP 
for heating) to the steady-state EER (or COP), where both EERs (or 
COPs) 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.
    Service coil means an arrangement of refrigerant-to-air heat 
transfer coil(s), condensate drain pan, sheet metal or plastic parts 
to direct/route airflow over the coil(s), which may or may not 
include external cabinetry and/or a cooling mode expansion device, 
distributed in commerce solely for the intent of replacing an 
uncased coil or cased coil that has already been placed into 
service, and that has been labeled accordingly by the manufacturer.
    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 one indoor unit connected with a single refrigeration 
circuit. Small-duct, high-velocity system means a split system for 
which all indoor units are blower coil indoor units that produce at 
least 1.2 inches (of water column) of external static pressure when 
operated at

[[Page 37060]]

the full-load air volume rate certified by the manufacturer of at 
least 220 scfm per rated ton of cooling.
    Split system means any air conditioner or heat pump that has at 
least two separate assemblies that are connected with refrigerant 
piping when installed. One of these assemblies includes an indoor 
coil that exchanges heat with the indoor air to provide heating or 
cooling, while one of the others includes an outdoor coil that 
exchanges heat with the outdoor air. 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 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 multi-head mini-split, 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 must:
    (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) Each represent the highest sales volume model family, if 
this is possible while meeting all the requirements of this section. 
If this is not possible, one or more of the indoor units may 
represent another indoor model family in order that all the other 
requirements of this section are met.
    (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.
    (3) Where referenced, ``nominal cooling capacity'' means, for 
indoor units, 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, the lowest cooling capacity listed in published 
product literature for these conditions. If incomplete or no 
operating conditions are published, the highest (for indoor units) 
or lowest (for outdoor units) such cooling capacity available for 
sale must 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 split system that is composed of 
three separate assemblies: An outdoor fan coil section, a blower 
coil indoor unit, 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 that 
operates for heating mode tests may be the same or different from 
the low compressor stage that operates for cooling mode tests. For 
such systems, high capacity means the compressor(s) operating at 
high 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 heat pump is 
a two-capacity northern heat pump only when this feature is enabled 
at all times. The certified indoor coil model number must 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.
    Uncased coil means a coil-only indoor unit without external 
cabinetry.
    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. Note: Single-phase VRF systems less than 
65,000 Btu/h are 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.
    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 AHRI 1230-2010 (incorporated by 
reference, see Sec.  430.3) and appendix M. Where AHRI 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 AHRI 1230-
2010.
    For definitions use section 1 of appendix M and section 3 of 
AHRI 1230-2010 (incorporated by reference, see Sec.  430.3). For 
rounding requirements, refer to Sec.  430.23(m). For determination 
of certified ratings, refer to Sec.  429.16 of this chapter.
    For test room requirements, refer to section 2.1 of this 
appendix. 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 of this appendix, and sections 5.1.3 and 5.1.4 of 
AHRI 1230-2010. The ``manufacturer's published instructions,'' as 
stated in section 8.2 of ANSI/ASHRAE 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 appear in the labels applied to the 
unit take precedence over installation instructions that are shipped 
with the unit.
    For general requirements for the test procedure, refer to 
section 3.1 of this appendix, 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 where section 6.1.5 refers to Table 
8, refer instead to Table 3 of this appendix) and 6.1.6 of AHRI 
1230-2010.
    For the test method, refer to sections 3.3 to 3.5 and 3.7 to 
3.13 of this appendix. For cooling mode and heating mode test

[[Page 37061]]

conditions, refer to section 6.2 of AHRI 1230-2010. For calculations 
of seasonal performance descriptors, refer to section 4 of this 
appendix.
    (B) For systems other than VRF, only a subset of the sections 
listed in this test procedure apply when testing and determining 
represented values for 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 based on the unit's 
characteristics. 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.

Table 1--Informative Guidance for Using Appendix M

[[Page 37062]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.004


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[GRAPHIC] [TIFF OMITTED] TR08JN16.005


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[GRAPHIC] [TIFF OMITTED] TR08JN16.006


[[Page 37065]]



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 
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 ANSI/ASHRAE 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. 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 ANSI/ASHRAE 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). For the vapor refrigerant line(s), use the insulation 
included with the unit; if no insulation is provided, use insulation 
meeting 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, use insulation meeting 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. Insulation must be the same for the cooling 
and heating tests.
    (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 fixed 
orifice or piston type expansion device that is sized appropriately 
for the system.
    (3) When testing triple-split systems (see section 1.2 of this 
appendix, Definitions), use the tubing length specified in section 
6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see Sec.  
430.3) 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;
    (4) When testing split systems having multiple indoor coils, 
connect each indoor blower coil unit to the outdoor unit using:
    (a) 25 feet of tubing, or
    (b) tubing furnished by the manufacturer, whichever is longer.
    At least 10 feet of the system interconnection tubing shall be 
exposed to the outside conditions. If they are needed to make a 
secondary measurement of capacity or for verification of refrigerant 
charge, install refrigerant pressure measuring instruments as 
described in section 8.2.5 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). Section 2.10 of this appendix specifies 
which secondary methods require refrigerant pressure measurements 
and section 2.2.5.5 of this appendix discusses use of pressure 
measurements to verify charge. 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, use the orientation for testing specified by the 
manufacturer 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 of this appendix, 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 of this appendix). Except as noted in section 3.1.10 
of this appendix, prevent the indoor air supplementary heating coils 
from operating during all tests. For uncased coils, create an 
enclosure using 1 inch fiberglass foil-faced ductboard having a 
nominal density of 6 pounds per cubic foot. Or alternatively, 
construct an enclosure using sheet metal or a similar material and 
insulating material having a thermal resistance (``R'' value) 
between 4 and 6 hr[middot]ft\2\[middot] [deg]F/Btu. Size the 
enclosure and seal between the coil and/or drainage pan and the 
interior of the enclosure as specified in installation instructions 
shipped with the unit. Also seal between the plenum and inlet and 
outlet ducts. For cased coils, no extra insulating or sealing is 
allowed.
    d. When testing a coil-only system, install a toroidal-type 
transformer to power the system's low-voltage components, complying 
with any additional requirements for the transformer mentioned in 
the installation manuals included with the unit by the system 
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 such that the transformer is 
loaded between 25 and 90 percent of this rating for the highest 
level of power measured during the off mode test (section 3.13 of 
this appendix);
    (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. Include the power consumption 
of the components connected to the transformer as part of the total 
system power consumption during the off mode tests; do not include 
the power consumed by the transformer when no load is connected to 
it.
    e. Test an outdoor unit with no match (i.e., that is not 
distributed in commerce with any indoor units) using a coil-only 
indoor unit with a single cooling air volume rate 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 1.0 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.

    f If the outdoor unit or the outdoor portion of a single-package 
unit has a drain pan heater to prevent freezing of defrost water, 
the heater shall be energized, subject to control to de-energize it 
when not needed by the heater's thermostat or the unit's control 
system, for all tests.

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 of this appendix for 
information on region IV.) For heat pumps that use a time-adaptive 
defrost control system (see section 1.2 of this appendix, 
Definitions), the manufacturer must specify in the certification 
report the frosting interval to be used during frost accumulation 
tests and provide the procedure for manually initiating the defrost 
at the specified time.

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

[[Page 37066]]

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 and Ducted Systems Using a Single Indoor Section Containing 
Multiple Indoor 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/or 
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. 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 must designate in the certification 
report 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 in the certification report 
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 must choose to turn off zero, one, 
two, or more indoor units. The chosen configuration must 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 split systems with a 
single indoor unit containing multiple indoor blowers (or for 
single-package units with an indoor section containing multiple 
indoor blowers) where the indoor blowers are designed to cycle on 
and off independently of one another and are not controlled such 
that all indoor blowers are modulated to always operate at the same 
air volume rate or speed. 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--indoor 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 indoor blowers as permitted by the unit's controls. Where more 
than one option exists for meeting this ``off'' requirement, the 
manufacturer shall indicate in its certification report which indoor 
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 a switched-off 
indoor blower.
    c. For test setups where the laboratory's physical limitations 
requires use of more than the required line length of 25 feet as 
listed in section 2.2.a(4) of this appendix, 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 AHRI 1230-2010 are applied to the cooling capacity 
measured for each cooling mode test.

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 so that the wet-bulb 
temperature is as 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 of this appendix. 
For dry coil tests on such units, it may be necessary to limit the 
moisture content of the air entering the outdoor coil of the unit to 
meet the requirements of section 3.4 of this appendix.

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 (section 
2.10.1 of this appendix) 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 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, adjust the refrigerant charge per the outdoor 
installation instructions.
    c. For systems consisting of an outdoor unit manufacturer's 
outdoor unit and an independent coil manufacturer's indoor unit with 
differing charging procedures, adjust the refrigerant charge per the 
indoor unit's installation instructions. If instructions are 
provided only with the outdoor unit or are provided only with an 
independent coil manufacturer's indoor unit, then use the provided 
instructions.

2.2.5.2 Test(s) To Use for Charging

    a. Use the tests or operating conditions specified in the 
manufacturer's installation instructions for charging. The 
manufacturer's installation instructions may specify use of tests 
other than the A or A2 test for charging, but, unless the 
unit is a heating-only heat pump, the air volume rate must be 
determined by the A or A2 test as specified in section 
3.1 of this appendix.
    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 operate in 
the H1 or H12 test (e.g., due to shut down by the unit 
limiting devices) when tested using the charge determined at the A 
or A2 test, and for heating-only heat pumps, use the H1 
or H12 test.

2.2.5.3 Parameters To Set and Their Target Values

    a. Consult the manufacturer's installation instructions 
regarding which parameters (e.g., superheat) 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 (i.e., 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.

2.2.5.4 Charging Tolerances

    a. If the manufacturer's installation instructions specify 
tolerances on target values for the charging parameters, set the 
values within these tolerances.

[[Page 37067]]

    b. Otherwise, set parameter values within the following test 
condition tolerances for the different charging parameters:
    (1) Superheat: +/- 2.0 [deg]F
    (2) Subcooling: +/- 2.0 [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

2.2.5.5 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 
installation 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 the A or A2 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, located depending on the parameters 
used to verify or set charge, as described:
    (1) Install a pressure gauge at the location of the service 
valve 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 at the location of the service 
valve on the suction line if charging is on the basis of superheat, 
or low side pressure or corresponding saturation or dew point 
temperature.
    Use methods for installing pressure gauge(s) at the required 
location(s) as indicated in manufacturer's instructions if 
specified.

2.2.5.6 Near-Azeotropic and Zeotropic Refrigerants

    Perform charging of near-azeotropic and zeotropic refrigerants 
only with refrigerant in the liquid state.

2.2.5.7 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. If measurements indicate that refrigerant charge has 
leaked during the test, repair the refrigerant leak, repeat any 
necessary set-up steps, and repeat all tests.

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 requirements that 
are specified in section 3.1.4 of this appendix.
    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. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the requirements that 
are specified in section 3.1.4 of this appendix.
    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 as 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 
 ft\2\  [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 indoor blower outlet. In order to reduce the number 
of required airflow measurement apparati (section 2.6 of this 
appendix), each such apparatus may serve multiple outlet plenums 
connected to a single common duct leading to the apparatus. More 
than one indoor test room may be used, which may use one or more 
common ducts leading to one or more airflow measurement apparati 
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 of this 
appendix) and airflow measuring apparatus are located downstream of 
the inlet(s) to the common duct. For multiple-circuit (or multi-
circuit) systems for which each indoor coil outlet is measured 
separately and its outlet plenum is not connected to a common duct 
connecting multiple outlet plenums, the outlet air temperature grid 
and airflow measuring apparatus must be installed at each outlet 
plenum.
    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 in Table 2. 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. Figure 9 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) 
shows allowed options for the manifold configuration. The cross-
sectional dimensions of plenum shall be equal to the dimensions of 
the indoor unit outlet. See Figures 7a, 7b, and 7c of ANSI/ASHRAE 
37-2009 for the minimum length of the (each) outlet plenum and the 
locations for adding the static pressure taps for ducted blower coil 
indoor units and single-package systems. See Figure 8 of ANSI/ASHRAE 
37-2009 for coil-only indoor units.

Table 2--Size of Outlet Plenum for Small-Duct High-Velocity Indoor Units
------------------------------------------------------------------------
                                                              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, a 
ducted blower coil indoor unit, or a single-package system. See 
Figures 7b and 7c of ANSI/ASHRAE 37-2009 for cross-sectional 
dimensions, the minimum length of the inlet plenum, and the 
locations of the static-pressure taps for ducted blower coil indoor 
units and single-package systems. See Figure 8 of ANSI/ASHRAE 37-
2009 for coil-only indoor units. The inlet plenum duct size shall 
equal the size of the inlet opening of the air-handling (blower 
coil) unit or furnace. For a ducted blower coil indoor unit the set 
up may omit the inlet plenum if an inlet airflow prevention device 
is installed with a straight internally unobstructed duct on its 
outlet end with a minimum length equal to 1.5 times the square root 
of the cross-sectional area of the indoor unit inlet. See section 
2.5.1.2 of this appendix for requirements for the locations of 
static pressure taps built into the inlet airflow prevention device. 
For all of these arrangements, make a manifold that connects the 
four static-pressure taps using one of the three configurations 
specified in section 2.4.1.d of this appendix. Never use an inlet 
plenum when testing non-ducted indoor units.

2.5 Indoor Coil Air Property Measurements and Airflow Prevention 
Devices

    Follow instructions for indoor coil air property measurements as 
described in section 2.14 of this appendix, unless otherwise 
instructed in this section.
    a. Measure the dry-bulb temperature and water vapor content of 
the air entering and

[[Page 37068]]

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 ANSI/ASHRAE 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 be used for measurement of 
dry bulb temperature by transferring the sampled air to a remotely 
located sensor(s). 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 sensor(s) may be used to determine the leaving air 
dry bulb temperature for all tests except:
    (1) Cyclic tests; and
    (2) Frost accumulation tests.
    b. Install grids of temperature sensors to measure dry bulb 
temperatures of both the entering and leaving airstreams of the 
indoor unit. These grids of dry bulb temperature sensors may be used 
to measure average dry bulb temperature entering and leaving the 
indoor unit in all cases (as an alternative to the dry bulb sensor 
measuring the sampled air). The leaving airstream grid is required 
for measurement of average dry bulb temperature leaving the indoor 
unit for the two special cases noted above. The grids are also 
required to measure the air temperature distribution of the entering 
and leaving airstreams as described in sections 3.1.8 and 3.1.9 of 
this appendix. Two such grids may applied as a thermopile, to 
directly obtain the average temperature difference rather than 
directly measuring both entering and leaving average temperatures.
    c. Use of airflow prevention devices. Use an inlet and outlet 
air damper box, or use an inlet upturned duct and an outlet air 
damper box when conducting one or both of the cyclic tests listed in 
sections 3.2 and 3.6 of this appendix on ducted systems. If not 
conducting any cyclic tests, an outlet air damper box is required 
when testing ducted and non-ducted heat pumps that cycle off the 
indoor blower during defrost cycles and there is no other means 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 non-ducted indoor units. An inlet 
upturned duct is a length of ductwork 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 any pair of 5-minute averages of 
the dry bulb temperature at this location, measured at least every 
minute during the compressor OFF period of the cyclic test, do not 
differ by more than 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.

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  ft\2\ 
 [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 at a distance from the indoor unit inlet equal to 
0.5 times the square root of the cross sectional area of the indoor 
unit inlet. This location must be between the damper and the inlet 
of the indoor unit, if a damper is used. Make a manifold that 
connects the four static pressure taps using one of the 
configurations shown in Figure 9 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). Insulate the ductwork 
with thermal insulation that has a nominal overall resistance (R-
value) of at least 19 hr  ft\2\  [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 of this appendix, 
preferably at the entrance plane of the inlet plenum. If the section 
2.4.2 inlet plenum is not used (i.e. for non-ducted units) locate a 
grid approximately 6 inches upstream of the indoor unit inlet. In 
the case of a system having multiple non-ducted indoor units, do 
this for each indoor unit. 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

    Fabricate pressure taps meeting all requirements described in 
section 6.5.2 of ANSI/ASHRAE 37-2009 (incorporated by reference, see 
Sec.  430.3) and illustrated in Figure 2A of AMCA 210-2007 
(incorporated by reference, see Sec.  430.3), however, if adhering 
strictly to the description in section 6.5.2 of ANSI/ASHRAE 37-2009, 
the minimum pressure tap length of 2.5 times the inner diameter of 
Figure 2A of AMCA 210-2007 is waived. 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. For non-ducted 
indoor units 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 of this appendix. 
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  
ft\2\  [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). Turn off the sampler fan motor during the cyclic tests. Air 
leaving an indoor unit that is sampled by an air sampling device for 
remote water-vapor-content measurement must be returned to the 
interconnecting duct at a location:

[[Page 37069]]

    (1) Downstream of the air sampling device;
    (2) On the same side of the outlet air damper as the air 
sampling device; 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 of this 
appendix), 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 of this appendix. Mixing devices are described in sections 
5.3.2 and 5.3.3 of ANSI/ASHRAE 41.1-2013 and section 5.2.2 of ASHRAE 
41.2-1987 (RA 1992) (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 of this 
appendix. 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, and 7 of ANSI/ASHRAE 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, and 
7.4 of ASHRAE 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, 7.1, and 7.4 of ASHRAE 41.6-2014 
(incorporated by reference, see Sec.  430.3). 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 of this appendix), 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 airflow measuring apparatus as 
specified in section 6.2 and 6.3 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). Place the static 
pressure taps and position the diffusion baffle (settling means) 
relative to the chamber inlet as indicated in Figure 12 of AMCA 210-
2007 and/or Figure 14 of ASHRAE 41.2-1987 (RA 1992) (incorporated by 
reference, see Sec.  430.3). 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 ANSI/ASHRAE 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 of this 
appendix. See sections 6.1.1, 6.1.2, and 6.1.4, and Figures 1, 2, 
and 4 of ANSI/ASHRAE 37-2009; and Figures D1, D2, and D4 of AHRI 
210/240-2008 (incorporated by reference, see Sec.  430.3) 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 ANSI/ASHRAE 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) for 
``Standard Rating Tests.'' If either the indoor or the outdoor unit 
has a 208V or 200V nameplate voltage and the other unit has a 230V 
nameplate rating, select the voltage supply on the outdoor unit for 
testing. Otherwise, supply each unit with its own nameplate voltage. 
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 within 15 seconds 
prior to beginning an ON cycle. For ducted blower coil systems, the 
ON cycle lasts from compressor ON to indoor blower OFF. For ducted 
coil-only systems, 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 (to determine the average electrical 
power consumption of the indoor blower motor to within 1.0 percent) 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 of this appendix. 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.

[[Page 37070]]

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 of this appendix),
    (2) An airflow measuring apparatus (section 2.6 of this 
appendix),
    (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 of this appendix), and
    (4) On the inlet side, a sampling device and temperature grid 
(section 2.11.b of this appendix).
    c. During the preliminary tests described in sections 3.11.1 and 
3.11.1.1 of this appendix, 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 
37-2009. Use this 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 and measure refrigerant properties according 
to section 7.4.2 and 8.2.5 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). If removing the refrigerant before 
applying refrigerant lines and subsequently recharging, use the 
steps in 7.4.2 of ANSI/ASHRAE 37-2009 in addition to the methods of 
section 2.2.5 of this appendix to confirm the refrigerant charge. 
Use refrigerant temperature and pressure measuring instruments that 
meet the specifications given in sections 5.1.1 and 5.2 of ANSI/
ASHRAE 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 
ANSI/ASHRAE 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 ANSI/ASHRAE 37-2009. Refrigerant 
flow measurement device(s), if used, must be either 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.

2.11 Measurement of Test Room Ambient Conditions

    Follow instructions for setting up air sampling device and 
aspirating psychrometer as described in section 2.14 of this 
appendix, 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 ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3)), add instrumentation 
to permit measurement of the indoor test room dry-bulb temperature.
    b. On the outdoor side, use one of the following two approaches, 
except that approach (1) is required for all evaporatively-cooled 
units and units that transfer condensate to the outdoor unit for 
evaporation using condenser heat.
    (1) Use sampling tree air collection on all air-inlet surfaces 
of the outdoor unit.
    (2) Use sampling tree air collection on one or more faces of the 
outdoor unit and demonstrate air temperature uniformity as follows. 
Install a grid of evenly-distributed thermocouples on each air-
permitting face on the inlet of the outdoor unit. Install the 
thermocouples on the air sampling device, locate them individually 
or attach them to a wire structure. If not installed on the air 
sampling device, install the thermocouple grid 6 to 24 inches from 
the unit. The thermocouples shall be evenly spaced across the coil 
inlet surface and be installed to avoid sampling of discharge air or 
blockage of air recirculation. The grid of thermocouples must 
provide at least 16 measuring points per face or one measurement per 
square foot of inlet face area, whichever is less. This grid must be 
constructed and used as per section 5.3 of ANSI/ASHRAE 41.1-2013 
(incorporated by reference, see Sec.  430.3). The maximum difference 
between the readings of any two pairs of these individual 
thermocouples located at any of the faces of the inlet of the 
outdoor unit, must not exceed 2.0 [deg]F, otherwise approach (1) 
must be used.
    The air sampling devices shall be located at the geometric 
center of each side; the branches may be oriented either parallel or 
perpendicular to the longer edges of the air inlet area. The air 
sampling devices in the outdoor air inlet location shall be sized 
such that they cover at least 75% of the face area of the side of 
the coil that they are measuring.
    Air distribution at the test facility point of supply to the 
unit shall be reviewed and may require remediation prior to the 
beginning of testing. Mixing fans can be used to ensure adequate air 
distribution in the test room. If used, mixing fans shall be 
oriented such that they are pointed away from the air intake so that 
the mixing fan exhaust does not affect the outdoor coil air volume 
rate. Particular attention should be given to prevent the mixing 
fans from affecting (enhancing or limiting) recirculation of 
condenser fan exhaust air back through the unit. Any fan used to 
enhance test room air mixing shall not cause air velocities in the 
vicinity of the test unit to exceed 500 feet per minute.
    The air sampling device may be larger than the face area of the 
side being measured, however care shall be taken to prevent 
discharge air from being sampled. If an air sampling device 
dimension extends beyond the inlet area of the unit, holes shall be 
blocked in the air sampling device to prevent sampling of discharge 
air. Holes can be blocked to reduce the region of coverage of the 
intake holes both in the direction of the trunk axis or 
perpendicular to the trunk axis. For intake hole region reduction in 
the direction of the trunk axis, block holes of one or more adjacent 
pairs of branches (the branches of a pair connect opposite each 
other at the same trunk location) at either the outlet end or the 
closed end of the trunk. For intake hole region reduction 
perpendicular to the trunk axis, block off the same number of holes 
on each branch on both sides of the trunk.
    A maximum of four (4) air sampling devices shall be connected to 
each aspirating psychrometer. In order to proportionately divide the 
flow stream for multiple air sampling devices for a given aspirating 
psychrometer, the tubing or conduit conveying sampled air to the 
psychrometer shall be of equivalent lengths for each air sampling 
device. Preferentially, the air sampling device should be hard 
connected to the aspirating psychrometer, but if space constraints 
do not allow this, the assembly shall have a means of allowing a 
flexible tube to connect the air sampling device to the aspirating 
psychrometer. The tubing or conduit shall be insulated and routed to 
prevent heat transfer to the air stream. 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. Alternatively the conduit 
may have lower thermal resistance if additional sensor(s) are used 
to measure dry bulb temperature at the outlet of each air sampling 
device. 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.
    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.

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.

[[Page 37071]]

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 ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3).

2.14 Air Sampling Device and Aspirating Psychrometer Requirements

    Air temperature measurements shall be made in accordance with 
ANSI/ASHRAE 41.1-2013, unless otherwise instructed in this section.

2.14.1 Air Sampling Device Requirements

    The air sampling device is intended to draw in a sample of the 
air at the critical locations of a unit under test. It shall be 
constructed of stainless steel, plastic or other suitable, durable 
materials. It shall have a main flow trunk tube with a series of 
branch tubes connected to the trunk tube. Holes shall be on the side 
of the sampler facing the upstream direction of the air source. 
Other sizes and rectangular shapes can be used, and shall be scaled 
accordingly with the following guidelines:
    (1) Minimum hole density of 6 holes per square foot of area to 
be sampled
    (2) Sampler branch tube pitch (spacing) of 6  3 in
    (3) Manifold trunk to branch diameter ratio having a minimum of 
3:1 ratio
    (4) Hole pitch (spacing) shall be equally distributed over the 
branch (1/2 pitch from the closed end to the nearest hole)
    (5) Maximum individual hole to branch diameter ratio of 1:2 (1:3 
preferred)
    The minimum average velocity through the air sampling device 
holes shall be 2.5 ft/s as determined by evaluating the sum of the 
open area of the holes as compared to the flow area in the 
aspirating psychrometer.

2.14.2 Aspirating Psychrometer

    The psychrometer consists of a flow section and a fan to draw 
air through the flow section and measures an average value of the 
sampled air stream. At a minimum, the flow section shall have a 
means for measuring the dry bulb temperature (typically, a 
resistance temperature device (RTD) and a means for measuring the 
humidity (RTD with wetted sock, chilled mirror hygrometer, or 
relative humidity sensor). The aspirating psychrometer shall include 
a fan that either can be adjusted manually or automatically to 
maintain required velocity across the sensors.
    The psychrometer shall be made from suitable material which may 
be plastic (such as polycarbonate), aluminum or other metallic 
materials. All psychrometers for a given system being tested, shall 
be constructed of the same material. Psychrometers shall be designed 
such that radiant heat from the motor (for driving the fan that 
draws sampled air through the psychrometer) does not affect sensor 
measurements. For aspirating psychrometers, velocity across the wet 
bulb sensor shall be 1000  200 ft/min. For all other 
psychrometers, velocity shall be as specified by the sensor 
manufacturer.

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 of this 
appendix to determine indoor space conditioning capacity. Calculate 
this secondary check of capacity according to section 3.11 of this 
appendix. 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 ANSI/ASHRAE 37-2009 (and, if testing a coil-only 
system, compare capacities before before making 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 of 
this appendix.

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) 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 ANSI/ASHRAE 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

    Identify the certified cooling full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified Cooling full-load air volume rate, use a value equal 
to the certified cooling capacity of the unit times 400 scfm per 
12,000 Btu/h. If there are no instructions for setting fan speed or 
controls, use the as-shipped settings. Use the following procedure 
to confirm and, if necessary, adjust the Cooling full-load air 
volume rate and the fan speed or control settings to meet each test 
procedure requirement:
    a. For all ducted blower coil systems, except those having a 
constant-air-volume-rate indoor blower:
    Step (1) Operate the unit under conditions specified for the A 
(for single-stage units) or A2 test using the certified 
fan speed or controls settings, and adjust the exhaust fan of the 
airflow measuring apparatus to achieve the certified Cooling full-
load air volume rate;
    Step (2) Measure the external static pressure;
    Step (3) If this external static pressure is equal to or greater 
than the applicable minimum external static pressure cited in Table 
3, the pressure requirement is satisfied; proceed to step 7 of this 
section. If this external static pressure is not equal to or greater 
than the applicable minimum external static pressure cited in Table 
3, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either
    (i) The applicable Table 3 minimum is equaled or
    (ii) The measured air volume rate equals 90 percent or less of 
the Cooling full-load air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4 (ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until the applicable 
Table 3 minimum is equaled; proceed to step 7 of this section;

[[Page 37072]]

    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the Cooling full-load air volume rate. 
Use the final fan speed or control settings for all tests that use 
the Cooling full-load air volume rate.
    b. For ducted blower coil systems with a constant-air-volume-
rate indoor blower. 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] TR08JN16.007

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 coil-only indoor units. 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 Blower Coil Systems
------------------------------------------------------------------------
                                            Minimum external resistance
                                              \3\  (inches of water)
                                         -------------------------------
Rated cooling \1\or heating \2\ capacity    Small-duct,
                 (Btu/h)                   high-velocity     All other
                                            systems 4 5       systems
 
------------------------------------------------------------------------
Up Thru 28,800..........................            1.10            0.10
29,000 to 42,500........................            1.15            0.15
43,000 and Above........................            1.20            0.20
------------------------------------------------------------------------
\1\ For air conditioners and air-conditioning heat pumps, the value
  certified by the manufacturer for the unit's cooling capacity when
  operated at the A or A2 Test conditions.
\2\ For heating-only heat pumps, the value certified by the manufacturer
  for the unit's heating 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 of this appendix, 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 blower
  coil indoor unit 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 
indoor blowers operating unless prevented by the controls of the unit. 
In such cases, turn on the maximum number of indoor blowers permitted 
by the unit's controls. Where more than one option exists for meeting 
this ``on'' indoor blower requirement, which indoor blower(s) are 
turned on must match that specified in the certification report. 
Conduct section 3.1.4.1.1 setup steps for each indoor blower 
separately. If two or more indoor blowers are connected to a common 
duct as per section 2.4.1 of this appendix, temporarily divert their 
air volume to the test room when confirming or adjusting the setup 
configuration of individual indoor blowers. The allocation of the 
system's full-load air volume rate assigned to each ``on'' indoor 
blower must match that specified by the manufacturer in the 
certification report.
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
    Identify the certified cooling minimum air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified cooling minimum air volume rate, use the final indoor 
blower control settings as determined when setting the cooling full-
load air volume rate, and readjust the exhaust fan of the airflow 
measuring apparatus if necessary to reset to the cooling full load air 
volume obtained in section 3.1.4.1 of this appendix. Otherwise, 
calculate the target external static pressure and follow instructions 
a, b, c, d, or e below. 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] TR08JN16.008

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 of 
this appendix.

    a. For a ducted blower coil system without a constant-air-volume 
indoor blower, adjust for external static pressure as follows:
    Step (1) Operate the unit under conditions specified for the B1 
test using the certified fan speed or controls settings, and adjust the 
exhaust fan of the airflow measuring apparatus to achieve the certified 
cooling minimum air volume rate;
    Step (2) Measure the external static pressure;
    Step (3) If this pressure is equal to or greater than the minimum 
external static pressure computed above, the pressure requirement is 
satisfied; proceed to step 7 of this section. If this pressure is not 
equal to or greater than the minimum external static pressure computed 
above, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either
    (i) The pressure is equal to the minimum external static pressure 
computed above or
    (ii) The measured air volume rate equals 90 percent or less of the 
cooling minimum air volume rate, whichever occurs first;

[[Page 37073]]

    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of this 
section. If the conditions of step 4 (ii) of this section occur first, 
proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at step 
1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the exhaust 
fan of the airflow measuring apparatus until it equals the minimum 
external static pressure computed above; proceed to step 7 of this 
section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the cooling minimum air volume rate. Use 
the final fan speed or control settings for all tests that use 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 of this 
appendix, 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 coil-only systems, 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) system, 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 
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 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.b 
of this appendix for the minimum number of blowers that must be turned 
off. Using the target external static pressure and the certified air 
volume rates, follow the procedures described in section 3.1.4.2.a of 
this appendix if the indoor blowers are not constant-air-volume indoor 
blowers or as described in section 3.1.4.2.b of this appendix if the 
indoor blowers are constant-air-volume indoor blowers. The sum of the 
individual ``on'' indoor blowers' air volume rates is the cooling 
minimum air volume rate for the system.
3.1.4.3 Cooling Intermediate Air Volume Rate
    Identify the certified cooling intermediate air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified cooling intermediate air volume rate, use the final indoor 
blower control settings as determined when setting the cooling full 
load air volume rate, and readjust the exhaust fan of the airflow 
measuring apparatus if necessary to reset to the cooling full load air 
volume obtained in section 3.1.4.1 of this appendix. Otherwise, 
calculate target minimum external static pressure as described in 
section 3.1.4.2 of this appendix, and set the air volume rate as 
follows.
    a. For a ducted blower coil system without a constant-air-volume 
indoor blower, adjust for external static pressure as described in 
section 3.1.4.2.a of this appendix for cooling minimum air volume rate.
    b. For a ducted blower coil system with a constant-air-volume 
indoor blower, 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 of this appendix, 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 blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, and that operate at the same 
airflow-control setting during both the A (or A2) and the H1 
(or H12) Tests;
    (2) Ducted blower coil system heat pumps with constant-air-flow 
indoor blowers 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 with a coil-only indoor unit 
(except two-capacity northern heat pumps that are tested only at low 
capacity cooling--see section 3.1.4.4.2 of this appendix).
    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. Use the final indoor blower control 
settings as determined when setting the Cooling full-load air volume 
rate, and readjust the exhaust fan of the airflow measuring apparatus 
if necessary to reset to the cooling full-load air volume obtained in 
section 3.1.4.1 of this appendix. 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 of this 
appendix, 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 Changes in Indoor Blower Operation, 
i.e. Speed Adjustment by the System Controls
    Identify the certified heating full-load air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified heating full-load air volume rate, use the final indoor 
blower control settings as

[[Page 37074]]

determined when setting the cooling full-load air volume rate, and 
readjust the exhaust fan of the airflow measuring apparatus if 
necessary to reset to the cooling full load air volume obtained in 
section 3.1.4.1 of this appendix. Otherwise, calculate target minimum 
external static pressure as described in section 3.1.4.2 of this 
appendix and set the air volume rate as follows.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static pressure 
as described in section 3.1.4.2.a of this appendix 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 of this appendix, 
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 blower coil system northern 
heat pumps (see section 1.2 of this appendix, Definitions), use the 
appropriate approach of the above two cases. For coil-only system 
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'' indoor blowers as used for the Cooling full-load 
air volume rate. Using the target external static pressure and the 
certified air volume rates, follow the procedures as described in 
section 3.1.4.4.2.a of this appendix if the indoor blowers are not 
constant-air-volume indoor blowers or as described in section 
3.1.4.4.2.b of this appendix if the indoor blowers are constant-air-
volume indoor blowers. The sum of the individual ``on'' indoor blowers' 
air volume rates is the heating full load air volume rate for the 
system.
3.1.4.4.3 Ducted Heating-Only Heat Pumps
    Identify the certified heating full-load air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified heating full-load air volume rate, use a value equal to 
the certified heating capacity of the unit times 400 scfm per 12,000 
Btu/h. If there are no instructions for setting fan speed or controls, 
use the as-shipped settings.
    a. For all ducted heating-only blower coil system heat pumps, 
except those having a constant-air-volume-rate indoor blower. Conduct 
the following steps only during the first test, the H1 or 
H12 est:
    Step (1) Adjust the exhaust fan of the airflow measuring apparatus 
to achieve the certified heating full-load air volume rate.
    Step (2) Measure the external static pressure.
    Step (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, the pressure requirement is 
satisfied; proceed to step 7 of this section. If this pressure is not 
equal to or greater than the applicable Table 3 minimum external static 
pressure, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either (i) the 
pressure is equal to the applicable Table 3 minimum external static 
pressure or (ii) the measured air volume rate equals 90 percent or less 
of the heating full-load air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of this 
section. If the conditions of step 4 (ii) of this section occur first, 
proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at step 
1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the exhaust 
fan of the airflow measuring apparatus until it equals the applicable 
Table 3 minimum external static pressure; proceed to step 7 of this 
section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the heating full-load air volume rate. Use 
the final fan speed or control settings for all tests that use the 
heating full-load air volume rate.
    b. For ducted heating-only blower coil system heat pumps having a 
constant-air-volume-rate indoor blower. 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 
of this appendix, 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 coil-only system heat pumps in 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 blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, and that operates at the same 
airflow-control setting during both the A1 and the 
H11 tests;
    (2) Ducted blower coil system heat pumps with constant-air-flow 
indoor blowers installed that provide the same air flow for the 
A1 and the H11 Tests; and
    (3) Ducted coil-only system heat pumps.
    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. Use the final indoor blower control 
settings as determined when setting the cooling minimum air volume 
rate, and readjust the exhaust fan of the airflow measuring apparatus 
if

[[Page 37075]]

necessary to reset to the cooling minimum air volume rate obtained in 
section 3.1.4.2 of this appendix. 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 of this 
appendix, 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 Changes in Indoor Blower Operation, 
i.e., Speed Adjustment by the System Controls
    Identify the certified heating minimum air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified heating minimum air volume rate, use the final indoor 
blower control settings as determined when setting the cooling minimum 
air volume rate, and readjust the exhaust fan of the airflow measuring 
apparatus if necessary to reset to the cooling minimum air volume 
obtained in section 3.1.4.2 of this appendix. Otherwise, calculate the 
target minimum external static pressure as described in section 3.1.4.2 
of this appendix.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static pressure 
as described in section 3.1.4.2.a of this appendix 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 than the air volume rate 
variation QVar, defined in section 3.1.4.1.1.b of this 
appendix, 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 blower coil system northern heat pumps, 
use the appropriate approach of the above two cases.
    d. For ducted two-capacity coil-only system heat pumps, use the 
cooling minimum air volume rate as the heating minimum air volume rate. 
For ducted two-capacity coil-only system northern heat pumps, use the 
cooling full-load air volume rate as the heating minimum air volume 
rate. For ducted two-capacity heating-only coil-only system heat pumps, 
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'' indoor blowers as used for the cooling minimum air volume 
rate. Using the target external static pressure and the certified air 
volume rates, follow the procedures as described in section 3.1.4.5.2.a 
of this appendix if the indoor blowers are not constant-air-volume 
indoor blowers or as described in section 3.1.4.5.2.b of this appendix 
if the indoor blowers are constant-air-volume indoor blowers. The sum 
of the individual ``on'' indoor blowers' air volume rates is the 
heating full-load air volume rate for the system.
3.1.4.6 Heating Intermediate Air Volume Rate
    Identify the certified heating intermediate air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified heating intermediate air volume rate, use the final indoor 
blower control settings as determined when setting the heating full-
load air volume rate, and readjust the exhaust fan of the airflow 
measuring apparatus if necessary to reset to the cooling full load air 
volume obtained in section 3.1.4.2 of this appendix. Calculate the 
target minimum external static pressure as described in section 3.1.4.2 
of this appendix.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static pressure 
as described in section 3.1.4.2.a of this appendix 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 of this appendix, 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 
of this appendix. Make adjustments as described in section 3.1.4.6 of 
this appendix 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 ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3)), 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,

[[Page 37076]]

calculate the air volume rate through the indoor coil as specified in 
sections 7.7.2.1 and 7.7.2.2 of ANSI/ASHRAE 37-2009. When using the 
outdoor air enthalpy method, follow sections 7.7.2.1 and 7.7.2.2 of 
ANSI/ASHRAE 37-2009 to calculate the air volume rate through the 
outdoor coil. To express air volume rates in terms of standard air, 
use:
[GRAPHIC] [TIFF OMITTED] TR08JN16.009

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
v'n = 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 ANSI/ASHRAE 37-2009, the second 
IP equation for
[GRAPHIC] [TIFF OMITTED] TR08JN16.010

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 a 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 of this appendix. 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 of this 
appendix 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 of this 
appendix. 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 of this appendix, 
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 of this 
appendix, 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 System Having a Single-Speed Compressor and Fixed 
Cooling Air Volume Rate
    This set of tests is for single-speed-compressor units that do not 
have a cooling minimum air volume rate or a cooling intermediate air 
volume rate that is different than the cooling full load air volume 
rate. Conduct two steady-state wet coil tests, the A and B Tests. Use 
the two optional dry-coil tests, the steady-state C Test and the cyclic 
D Test, to determine the cooling mode cyclic degradation coefficient, 
CD\c\. A default value for CD\c\ may be used in 
lieu of conducting the cyclic test. The default value of 
CD\c\ is 0.20. 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 0.25. Table 4 specifies test 
conditions for these four tests.

[[Page 37077]]



                  Table 4--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed Cooling Air Volume Rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 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--optional (steady, dry coil).........              80           (\3\)              82  ..............  Cooling full-load.\2\
D Test--optional (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 of this appendix.
\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 Indoor 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 Indoor Blowers
    Conduct four steady-state wet coil tests: The A2, 
A1, B2, and B1 tests. Use the two 
optional dry-coil tests, the steady-state C1 test and the 
cyclic D1 test, to determine the cooling mode cyclic 
degradation coefficient, CD\c\. A default value for 
CD\c\ may be used in lieu of conducting the cyclic test. The 
default value of CD\c\ is 0.20.
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 
of this appendix 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\--optional (steady, dry coil).....              80           (\4\)              82  ..............  Cooling minimum.\3\
D1 Test\4\--optional (cyclic, dry coil).....              80           (\4\)              82  ..............  (\5\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ Defined in section 3.1.4.2 of this appendix.
\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 of This Appendix, Definitions)
    a. Conduct four steady-state wet coil tests: the A2, 
B2, B1, and F1 Tests. Use the two 
optional dry-coil tests, the steady-state C1 Test and the 
cyclic D1 Test, to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. A default value for 
CD\c\ may be used in lieu of conducting the cyclic test. The 
default value of CD\c\ is 0.20. 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 of this 
appendix, 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 of this appendix 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)].

[[Page 37078]]



                                    Table 6--Cooling 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        Cooling air volume rate
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet              80              67              95          \1\ 75  High.......................  Cooling Full-Load.\2\
 coil).
B2 Test--required (steady, wet              80              67              82          \1\ 65  High.......................  Cooling Full-Load.\2\
 coil).
B1 Test--required (steady, wet              80              67              82          \1\ 65  Low........................  Cooling Minimum.\3\
 coil).
C2 Test--optional (steady, dry-             80           (\4\)              82  ..............  High.......................  Cooling Full-Load.\2\
 coil).
D2 Test--optional (cyclic, dry-             80           (\4\)              82  ..............  High.......................  (\5\)
 coil).
C1 Test--optional (steady, dry-             80           (\4\)              82  ..............  Low........................  Cooling Minimum.\3\
 coil).
D1 Test--optional (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 of this appendix.
\3\ Defined in section 3.1.4.2 of this appendix.
\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 optional dry-coil tests, the steady-state G1 
Test and the cyclic I1 Test, to determine the cooling mode 
cyclic degradation coefficient, CD\c\. A default value for 
CD\c\ may be used in lieu of conducting the cyclic test. The 
default value of CD\c\ is 0.25. Table 7 specifies test 
conditions for these seven tests. The compressor shall operate at the 
same cooling full speed, measured by RPM or power input frequency (Hz), 
for both the A2 and B2 tests. The compressor 
shall operate at the same cooling minimum speed, measured by RPM or 
power input frequency (Hz), for the B1, F1, 
G1, and I1 tests. Determine the cooling 
intermediate compressor speed cited in Table 7 using:
[GRAPHIC] [TIFF OMITTED] TR08JN16.011

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 full 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.

[[Page 37079]]



                                    Table 7--Cooling Mode Test Condition 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         Cooling air volume rate
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet              80              67              95          \1\ 75  Cooling Full...............  Cooling Full-Load.\2\
 coil).
B2 Test--required (steady, wet              80              67              82          \1\ 65  Cooling Full...............  Cooling Full-Load.\2\
 coil).
EV Test--required (steady, wet              80              67              87          \1\ 69  Cooling Intermediate.......  Cooling Intermediate.\3\
 coil).
B1 Test--required (steady, wet              80              67              82          \1\ 65  Cooling Minimum............  Cooling Minimum.\4\
 coil).
F1 Test--required (steady, wet              80              67              67        \1\ 53.5  Cooling Minimum............  Cooling Minimum.\4\
 coil).
G1 Test \5\--optional (steady,              80           (\6\)              67  ..............  Cooling Minimum............  Cooling Minimum.\4\
 dry-coil).
I1 Test \5\--optional (cyclic,              80           (\6\)              67  ..............  Cooling 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 of this appendix.
\3\ Defined in section 3.1.4.3 of this appendix.
\4\ Defined in section 3.1.4.2 of this appendix.
\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 of this appendix 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 Indoor Blowers and Offering Two Stages of 
Compressor Modulation
    Conduct the cooling mode tests specified in section 3.2.3 of this 
appendix.
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 
of this appendix, 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 of this appendix cases where its control 
is required, the water vapor content of the air entering the outdoor 
coil.
    Refer to section 3.11 of this appendix 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 ANSI/ASHRAE 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., seven 
consecutive 5-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 ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3). To 
calculate capacity, use the averages of the measurements (e.g. inlet 
and outlet dry bulb and wet bulb temperatures measured at the 
psychrometers) that are continuously recorded for the same 30-minute 
interval used as described above to evaluate compliance with test 
tolerances. 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 of ANSI/ASHRAE 37-
2009 (incorporated by reference, see Sec.  430.3) 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 
Ec\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 full speed, k = 1 to denote low capacity 
or minimum speed, and k = v to denote the intermediate speed.
    d. For coil-only system tests, decrease Qc\k\(T) by

[[Page 37080]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.012

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 of this appendix, 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-
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] TR08JN16.013

    (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 of 
this appendix 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 ANSI/ASHRAE 37-2009). In preparing for the section 3.5 
cyclic tests of this appendix, 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.

[[Page 37081]]

For units having a variable-speed indoor blower (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 blower turned off 
(see section 3.5 of this appendix), include the electrical power used 
by the indoor blower 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] TR08JN16.014

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)
    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.
    a. For all cyclic tests, the measured capacity must be adjusted for 
the thermal mass stored in devices and connections located between 
measured points. Follow the procedure outlined in section 7.4.3.4.5 of 
ASHRAE 116-2010 (incorporated by reference, see Sec.  430.3) to ensure 
any required measurements are taken.
    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 of this appendix specify airflow 
requirements through the indoor coil of ducted and non-ducted indoor 
units, respectively. In all cases, use the exhaust fan of the airflow 
measuring apparatus (covered under section 2.6 of this appendix) 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 indoor blower, 
temporarily remove the indoor blower.
    e. Conduct three complete compressor OFF/ON cycles with the test 
tolerances given in Table 9 satisfied. Calculate the degradation 
coefficient CD for each complete cycle. If all three 
CD values are within 0.02 of the average CD then 
stability has been achieved, and the highest CD value of 
these three shall be used. If stability has not been achieved, conduct 
additional cycles, up to a maximum of eight cycles total, until 
stability has been achieved between three consecutive cycles. Once 
stability has been achieved, use the highest CD value of the 
three consecutive cycles that establish stability. If stability has not 
been achieved after eight cycles, use the highest CD from 
cycle one through cycle eight, or the default CD, whichever 
is lower.
    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

[[Page 37082]]

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 blower coil systems tested 
with the unit's indoor blower operating for the cycling test, 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 of this appendix, 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.

    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] TR08JN16.015

Where,

Vi, Cp,a, v'n (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.

    Adjust the total space cooling delivered, qcyc,dry, 
according to calculation method outlined in section 7.4.3.4.5 of ASHRAE 
116-2010 (incorporated by reference, see Sec.  430.3).
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 
coil-only systems 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 coil-only systems, 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 coil-only systems (excluding the special case where 
a variable-speed fan is temporarily removed), increase 
ecyc,dry by the quantity,

[[Page 37083]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.016

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 Indoor Units
    Do not use airflow prevention devices when conducting cyclic tests 
on non-ducted indoor 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 indoor 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 of this appendix 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] TR08JN16.017

where:
[GRAPHIC] [TIFF OMITTED] TR08JN16.018

the average energy efficiency ratio during the cyclic dry coil cooling 
mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR08JN16.019

the average energy efficiency ratio during the steady-state dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR08JN16.020

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 and Fixed 
Heating Air Volume Rate
    This set of tests is for single-speed-compressor heat pumps that do 
not have a heating minimum air volume rate or a heating intermediate 
air volume rate that is different than the heating full load air volume 
rate. Conduct the optional high temperature cyclic (H1C) test to 
determine the heating mode cyclic-degradation coefficient, 
CD\h\. A default value for CD\h\ may be used in 
lieu of conducting the cyclic test. The default value of 
CD\h\ is 0.25. Test conditions for the four tests are 
specified in Table 10.

[[Page 37084]]



  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)
              Test description               ----------------------------------------------------------------           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 (optional, 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 of this appendix.
\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 indoor 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 
optional high temperature cyclic (H1C1) test to determine 
the heating mode cyclic-degradation coefficient, CD\h\. A 
default value for CD\h\ may be used in lieu of conducting 
the cyclic. The default value of CD\h\ is 0.25. 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] TR08JN16.021

where:
[GRAPHIC] [TIFF OMITTED] TR08JN16.022

The quantities Qh\k=2\(47), Eh\k=2\(47), 
Qh\k=1\(47), and Eh\k=1\(47) are determined from 
the H12 and H11 tests and evaluated as specified 
in section 3.7 of this appendix; the quantities Qh\k=2\(35) 
and Eh\k=2\(35) are determined from the H22 test 
and evaluated as specified in section 3.9 of this appendix; and the 
quantities Qh\k=2\(17), Eh\k=2\(17), 
Qh\k=1\(17), and Eh\k=1\(17), are determined from 
the H32 and H31 tests and evaluated as specified 
in section 3.10 of this appendix.

          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)
              Test description               ----------------------------------------------------------------           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 (optional, 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\

[[Page 37085]]

 
H31 Test (required, steady).................              70      60 \(max)\              17              15  Heating Minimum.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4 of this appendix.
\2\ Defined in section 3.1.4.5 of this appendix.
\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 of This Appendix, Definitions), Including Two-Capacity, 
Northern Heat Pumps (see Section 1.2 of This Appendix, Definitions)
    a. Conduct one maximum temperature test (H01), two high 
temperature tests (H12 and 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 of this appendix 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] TR08JN16.023

    Determine the quantities Qh\k=1\ (47) and 
Eh\k=1\ (47) from the H11 test and evaluate them 
according to section 3.7 of this appendix. Determine the quantities 
Qh\k=1\ (17) and Eh\k=1\ (17) from the 
H31 test and evaluate them according to section 3.10 of this 
appendix.
    b. Conduct the optional high temperature cyclic test 
(H1C1) to determine the heating mode cyclic-degradation 
coefficient, CD\h\. A default value for CD\h\ may 
be used in lieu of conducting the cyclic. The default value of 
CD\h\ is 0.25. 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 (optional,\7\                     70         60(max)              47              43  High.......................  (\3\)
 cyclic).
H11 Test (required)...........              70         60(max)              47              43  Low........................  Heating Minimum.\1\
H1C1 Test (optional, 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,                     70         60(max)              17              15  Low........................  Heating Minimum.\1\
 steady).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Defined in section 3.1.4.4 of this appendix.
\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.

[[Page 37086]]

 
\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 Qhk=1 (35) and Ehk=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 
optional maximum temperature cyclic (H0C1) test to determine 
the heating mode cyclic-degradation coefficient, CD\h\. A 
default value for CD\h\ may be used in lieu of conducting 
the cyclic. The default value of CD\h\ is 0.25. Test 
conditions for the eight tests are specified in Table 13. The 
compressor shall operate at the same heating full speed, measured by 
RPM or power input frequency (Hz), for the H12, 
H22, and H32 tests. The compressor shall operate 
at the same heating minimum speed, measured by RPM or power input 
frequency (Hz), for the H01, H0C1, and 
H11 tests. Determine the heating intermediate compressor 
speed cited in Table 13 using the heating mode full and minimum 
compressors speeds and:
Heating intermediate speed
[GRAPHIC] [TIFF OMITTED] TR08JN16.024

Where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed.
    If the H22 test is not done, use the following equations 
to approximate the capacity and electrical power at the H22 
test conditions:
[GRAPHIC] [TIFF OMITTED] TR08JN16.025

    b. Determine the quantities Qhk=2(47) and 
from Ehk=2(47) from the H12 test and 
evaluate them according to section 3.7 of this appendix. Determine the 
quantities Qhk=2(17) and 
Ehk=2(17) from the H32 test and 
evaluate them according to section 3.10 of this appendix. For heat 
pumps where the heating mode full compressor speed exceeds its cooling 
mode full 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 of this appendix 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  Heating Minimum............  Heating Minimum.\1\
H0C1 test (optional, cyclic)..              70         60(max)              62            56.5  Heating Minimum............  (\2\)
H12 test (required, steady)...              70         60(max)              47              43  Heating Full...............  Heating Full-Load.\3\
H11 test (required, steady)...              70         60(max)              47              43  Heating Minimum............  Heating Minimum.\1\
H1N test (optional, steady)...              70         60(max)              47              43  Cooling Full...............  Heating Nominal.\4\
H22 test (optional)...........              70         60(max)              35              33  Heating Full...............  Heating Full-Load.\3\
H2V test (required)...........              70         60(max)              35              33  Heating Intermediate.......  Heating Intermediate.\5\
H32 test (required, steady)...              70         60(max)              17              15  Heating Full...............  Heating Full-Load.\3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\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 of this appendix.
\4\ Defined in section 3.1.4.7 of this appendix.
\5\ Defined in section 3.1.4.6 of this appendix.

    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

[[Page 37087]]

within \1/4\ and \3/4\ of the difference between the full 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 of this appendix, 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 3.1.10 
of this appendix 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 
Qhk=1(35) and Ehk=1(35) is 
to use the following equations to approximate this capacity and 
electrical power:
[GRAPHIC] [TIFF OMITTED] TR08JN16.026

    In evaluating the above equations, determine the quantities 
Qhk=1(47) from the H11 test and 
evaluate them according to section 3.7 of this appendix. Determine the 
quantities Qhk=1(17) and 
Ehk=1(17) from the H31 test and 
evaluate them according to section 3.10 of this appendix. Use the 
paired values of Qhk=1(35) and 
Ehk=1(35) derived from conducting the 
H21 frost accumulation test and evaluated as specified in 
section 3.9.1 of this appendix 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 
Qhk=3(35) and Ehk=3(35) 
using the following equations to approximate this capacity and 
electrical power:
[GRAPHIC] [TIFF OMITTED] TR08JN16.027

    Determine the quantities Qhk=2(47) and 
Ehk=2(47) from the H12 test and 
evaluate them according to section 3.7 of this appendix. Determine the 
quantities Qhk=2(35) and 
Ehk=2(35) from the H22 test and 
evaluate them according to section 3.9.1 of this appendix. Determine 
the quantities Qhk=2(17) and 
Ehk=2(17) from the H32 test, determine 
the quantities Qhk=3(17) and 
Ehk=3(17) from the H33 test, and 
determine the quantities Qhk=3(2) and 
Ehk=3(2) from the H43 test. Evaluate 
all six quantities according to section 3.10 of this appendix. Use the 
paired values of Qhk=3(35) and 
Ehk=3(35) derived from conducting the 
H23 frost accumulation test and calculated as specified in 
section 3.9.1 of this appendix or use the paired values calculated 
using the above default equations, whichever contribute

[[Page 37088]]

to a higher Region IV HSPF based on the DHRmin.
    c. Conduct the optional high-temperature cyclic test 
(H1C1) to determine the heating mode cyclic-degradation 
coefficient, CD\h\. A default value for CD\h\ may 
be used in lieu of conducting the cyclic. The default value of 
CD\h\ is 0.25. 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 (optional \8\,                    70         60(max)              47              43  High.......................  (\3\)
 cyclic).
H11 Test (required)...........              70         60(max)              47              43  Low........................  Heating Minimum.\1\
H1C1 Test (optional, 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\ (optional,                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,                     70         60(max)              17              15  Low........................  Heating Minimum.\1\
 steady).
H43 Test (required, steady)...              70         60(max)               2               1  Booster....................  Heating Full-Load.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Defined in section 3.1.4.4 of this appendix.
\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 4.2.6 HSPF calculations.
\6\ If table note \5\ applies, the section 3.6.6 equations for Qhk=1(35) and Ehk=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 
Indoor Blowers and Offering Two Stages of Compressor Modulation
    Conduct the heating mode tests specified in section 3.6.3 of this 
appendix.
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 of this appendix 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 ANSI/ASHRAE 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., seven consecutive 5-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

[[Page 37089]]

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 of this appendix, 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 ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). To calculate capacity, use the averages of 
the measurements (e.g. inlet and outlet dry bulb temperatures measured 
at the psychrometers) that are continuously recorded for the same 30-
minute interval used as described above to evaluate compliance with 
test tolerances. 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 
Eh\k\(T) respectively. The ``T'' and superscripted ``k'' are 
the same as described in section 3.3 of this appendix. Additionally, 
for the heating mode, use the superscript to denote results from the 
optional H1N test, if conducted.
    c. For coil-only system heat pumps, increase Qh\k\(T) by
    [GRAPHIC] [TIFF OMITTED] TR08JN16.028
    
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 Eh\k\(47).
    d. If conducting the cyclic heating mode test, which is described 
in section 3.8 of this appendix, 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 (Efan,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 Efan,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 
Efan,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 (Efan,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:

[[Page 37090]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.029

    (iv) Decrease the total space heating capacity, 
Qh\k\(T), by the quantity (Efan,1 - 
Efan,min), when expressed on a Btu/h basis. Decrease the 
total electrical power, Eh\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] TR08JN16.030

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 of this appendix. 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 of this appendix for the outdoor coil entering dry-bulb 
temperature. Drop the subscript ``dry'' used in variables cited in 
section 3.5 of this appendix 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 
of this appendix) 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 of 
this appendix 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] TR08JN16.031

where FCD* is the value recorded during the section 3.7 
steady-state test conducted at the same test condition.
    b. For ducted coil-only system heat pumps (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 ANSI/ASHRAE 
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 CD\h\ is calculated as follows:

[[Page 37091]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.032

the average coefficient of performance during the cyclic heating mode 
test, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR08JN16.033

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] TR08JN16.034

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 of this appendix, 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 of this appendix. 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

[[Page 37092]]

next occurring automatic defrost cycle. When testing a heat pump that 
uses a time-adaptive defrost control system (see section 1.2 of this 
appendix, 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 of this appendix 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 coil-only system heat 
pumps, 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 ANSI/ASHRAE 37-2009) at equal intervals that span 10 minutes or 
less. (Note: In the first printing of ANSI/ASHRAE 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, 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
                                                           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 of this appendix, 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] TR08JN16.035

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.

[[Page 37093]]

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] TR08JN16.036

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 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3).
    b. Evaluate average electrical power, 
Ehk(35), when expressed in units of watts, using:
[GRAPHIC] [TIFF OMITTED] TR08JN16.037

    For coil-only system heat pumps, increase 
Qhk(35) by,
[GRAPHIC] [TIFF OMITTED] TR08JN16.038

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 (Efan,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 (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 had the frost accumulation heating mode test been conducted at 
[Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR08JN16.039

    (5) Decrease the total heating capacity, 
Qhk(35), by the quantity [(Efan,1 - 
Efan,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 of this

[[Page 37094]]

appendix to the value of 1 in all cases except for heat pumps having a 
demand-defrost control system (see section 1.2 of this appendix, 
Definitions). For such qualifying heat pumps, evaluate Fdef 
using,
[GRAPHIC] [TIFF OMITTED] TR08JN16.040


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 certification report.

    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 of this appendix 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 Eh\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 of this appendix, from which 
Qh\k\(17) and Eh\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 of this appendix 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 
of this appendix steady-state cooling mode test and prior to the first 
section 3.6 of this appendix 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 Preliminary Test
3.11.1.1.1 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 of this appendix 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., seven 
consecutive 5-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.
3.11.1.1.2 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.
3.11.1.1 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 of this 
appendix; 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 ANSI/ASHRAE 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 ANSI/ASHRAE 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 ANSI/ASHRAE 37-2009, when calculating the 
capacity.

[[Page 37095]]

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 23.1-
2010 (incorporated by reference, see Sec.  430.3); sections 5, 6, 7, 8, 
9, and 11 of ASHRAE 41.9-2011 (incorporated by reference, see Sec.  
430.3); and section 7.4 of ANSI/ASHRAE 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 ANSI/ASHRAE 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 ANSI/
ASHRAE 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 calculations in section 4 
of this appendix, however, round only to the nearest integer.
3.13 Laboratory Testing To Determine Off Mode Average Power Ratings
    Voltage tolerances: As a percentage of reading, test operating 
tolerance shall be 2.0 percent and test condition tolerance shall be 
1.5 percent (see section 1.2 of this appendix for definitions of these 
tolerances).
    Conduct one of the following tests: If the central air conditioner 
or heat pump lacks a compressor crankcase heater, perform the test in 
section 3.13.1 of this appendix; if the central air conditioner or heat 
pump has a compressor crankcase heater that lacks controls and is not 
self-regulating, perform the test in section 3.13.1 of this appendix; 
if the central air conditioner or heat pump has a crankcase heater with 
a fixed power input controlled with a thermostat that measures ambient 
temperature and whose sensing element temperature is not affected by 
the heater, perform the test in section 3.13.1 of this appendix; if the 
central air conditioner or heat pump has a compressor crankcase heater 
equipped with self-regulating control or with controls for which the 
sensing element temperature is affected by the heater, perform the test 
in section 3.13.2 of this appendix.
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 Heating System That 
Can Be Tested Without Control of Ambient Temperature During the Test. 
This Test Has No Ambient Condition Requirements
    a. Test Sample Set-up and Power Measurement: For coil-only systems, 
provide a furnace or modular blower that is compatible with the system 
to serve as an interface with the thermostat (if used for the test) and 
to provide low-voltage control circuit power. Make all control circuit 
connections between the furnace (or modular blower) and the outdoor 
unit as specified by the manufacturer's installation instructions. 
Measure power supplied to both the furnace or modular blower and power 
supplied to the outdoor unit. Alternatively, provide a compatible 
transformer to supply low-voltage control circuit power, as described 
in section 2.2.d of this appendix. Measure transformer power, either 
supplied to the primary winding or supplied by the secondary winding of 
the transformer, and power supplied to the outdoor unit. For blower 
coil and single-package systems, make all control circuit connections 
between components as specified by the manufacturer's installation 
instructions, and provide power and measure power supplied to all 
system components.
    b. 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. Use a compatible 
building thermostat if necessary to achieve this configuration. For a 
thermostat-controlled crankcase heater with a fixed power input, bypass 
the crankcase heater thermostat if necessary to energize the heater.
    c. Measure P2x: If the unit has a crankcase heater time 
delay, make sure that time delay function is disabled or wait until 
delay time has passed. 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 
P2x, the heating season total off mode power.
    d. Measure P2x for coil-only split systems and for 
blower coil split systems for which a furnace or a modular blower 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, P2x. This power measurement 
does not include line power supplied to the outdoor unit. It is the 
line power supplied to the air mover, or, if a compatible 
transformer is used instead of an air mover, it is the line power 
supplied to the transformer primary coil. If a compatible transformer 
is used instead of an air mover and power output of the low-voltage 
secondary circuit is measured, Px is zero.
    e. Calculate P2: Set the number of compressors equal to the unit's 
number of single-stage compressors plus 1.75 times the unit's number of 
compressors that are not single-stage.
    For single-package systems and blower coil split systems for which 
the designated air mover is not a furnace or modular blower, 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 P2 to the nearest watt. The expression for calculating P2 
is as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.041

    For coil-only split systems and blower coil split systems for which 
a furnace or a modular blower 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 
P2 to the nearest

[[Page 37096]]

watt. The expression for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.042

    f. Shoulder-season per-compressor off mode power, P1: If the system 
does not have a crankcase heater, has a crankcase heater without 
controls that is not self-regulating, or has a value for the crankcase 
heater turn-on temperature (as certified in the DOE Compliance 
Certification Database) that is higher than 71 [deg]F, P1 is equal to 
P2.
    Otherwise, de-energize the crankcase heater (by removing the 
thermostat bypass or otherwise disconnecting only the power supply to 
the crankcase heater) and repeat the measurement as described in 
section 3.13.1.c of this appendix. Designate the measured average power 
as P1x, the shoulder season total off mode power.
    Determine the number of compressors as described in section 
3.13.1.e of this appendix.
    For single-package systems and blower coil systems for which the 
designated air mover is not a furnace or modular blower, 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 P1 to the nearest watt. The expression for 
calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.043

    For coil-only split systems and blower coil split systems for which 
a furnace or a modular blower 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 
P1 to the nearest watt. The expression for calculating P1 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.044

3.13.2 This test determines the off mode average power rating for 
central air conditioners and heat pumps for which ambient temperature 
can affect the measurement of crankcase heater power.

    a. Test Sample Set-up and Power Measurement: Set up the test and 
measurement as described in section 3.13.1.a of this appendix.
    b. 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 control 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. Use 
a compatible building thermostat if necessary to achieve this 
configuration.
    Conduct the test after completion of the B, B1, or 
B2 test. Alternatively, start the test when the outdoor dry-
bulb temperature is at 82 [deg]F and the temperature of the compressor 
shell (or temperature of each compressor's shell if there is more than 
one compressor) is at least 81 [deg]F. Then 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 while making the power measurement, as 
described in section 3.13.2.c of this appendix.
    c. Measure P1x: If the unit has a crankcase heater time 
delay, make sure that time delay function is disabled or wait until 
delay time has passed. 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. For units 
with crankcase heaters which operate during this part of the test and 
whose controls cycle or vary crankcase heater power over time, the test 
period shall consist of three complete crankcase heater cycles or 18 
hours, whichever comes first. Designate the average power over the test 
period as P1x, the shoulder season total off mode power.
    d. Reduce outdoor temperature: Approach the target outdoor dry-bulb 
temperature by adjusting the outdoor temperature at a rate of change of 
no more than 20 [deg]F per hour. This target temperature is five 
degrees Fahrenheit less than the temperature specified by the 
manufacturer in the DOE Compliance Certification Database at which the 
crankcase heater turns on. Maintain the target temperature within +/-2 
[deg]F while making the power measurement, as described in section 
3.13.2.e of this appendix.
    e. Measure P2x: If the unit has a crankcase heater time 
delay, make sure that time delay function is disabled or wait until 
delay time has passed. 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. For units with crankcase heaters whose controls cycle or vary 
crankcase heater power over time, the test period shall consist of 
three complete crankcase heater cycles or 18 hours, whichever comes 
first. Designate the average power over the test period as 
P2x, the heating season total off mode power.
    f. Measure Px for coil-only split systems and for blower 
coil split systems for which a furnace or modular blower 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. This power measurement does not include line 
power supplied to the outdoor unit. It is the line power supplied to 
the air mover, or, if a compatible transformer is used 
instead of an air mover, it is the line power supplied to the 
transformer primary coil. If a compatible transformer is used instead 
of an air mover and power output of the low-voltage secondary circuit 
is measured, Px is zero.
    g. Calculate P1:
    Set the number of compressors equal to the unit's number of single-
stage compressors plus 1.75 times the unit's number of compressors that 
are not single-stage.
    For single-package systems and blower coil split systems for which 
the air mover is not a furnace or modular blower, 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. The expression for calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.045

    For coil-only split systems and blower coil split systems for which 
a furnace or a modular blower 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. The expression for calculating P1 is as follows:

[[Page 37097]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.046

    h. Calculate P2:
    Determine the number of compressors as described in section 
3.13.2.g of this appendix.
    For 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 (P1x) by the number of compressors to calculate P2, the 
heating season per-compressor off mode power. Round to the nearest 
watt. The expression for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.047

    For coil-only split systems and blower coil split systems for which 
a furnace or a modular blower 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. The expression for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.048

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 of 
this appendix, evaluate the seasonal energy efficiency ratio,
[GRAPHIC] [TIFF OMITTED] TR08JN16.049

    Additionally, for sections 4.1.2, 4.1.3, and 4.1.4 of this 
appendix, use a building cooling load, BL(Tj). When 
referenced, evaluate BL(Tj) for cooling using,
[GRAPHIC] [TIFF OMITTED] TR08JN16.050

Where:

Qc\k=2\(95) = the space cooling capacity determined from 
the A2 test and calculated as specified in section 3.3 of 
this appendix, 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

[[Page 37098]]

and the zero-load base temperature, respectively.
4.1.1 SEER Calculations for a Blower Coil System Having a Single-Speed 
Compressor and Either a Fixed-Speed Indoor Blower or a Constant-Air-
Volume-Rate Indoor Blower, or a Coil-Only System Air Conditioner or 
Heat Pump
    a. Evaluate the seasonal energy efficiency ratio, expressed in 
units of Btu/watt-hour, using:

SEER = PLF(0.5) * EERB

Where:

[GRAPHIC] [TIFF OMITTED] TR08JN16.051

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 of this appendix regarding the definition 
and calculation of Qc(82) and Ec(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 of this appendix 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] TR08JN16.052

    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,

[[Page 37099]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.053

    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 of 
this appendix), 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 of this appendix 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] TR08JN16.054

Where:

PLFj = 1 - CD\c\ [middot] [1 - 
X(Tj)], the part load factor, dimensionless.
Ec(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 Ec(Tj) using,

[[Page 37100]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.055

    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 of this appendix regarding the definitions and 
calculations of Ec\k=1\(82), Ec\k=1\(95), 
Ec\k=2\(82), and Ec\k=2\(95).
4.1.2.2 Units Covered by Section 3.2.2.2 of This Appendix 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 of this appendix.
4.1.2.3 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, Ec\k=1\ (Tj), of the test unit when 
operating at low compressor capacity and outdoor temperature 
Tj using,
[GRAPHIC] [TIFF OMITTED] TR08JN16.056

where Qc\k=1\ (82) and Ec\k=1\ (82) are 
determined from the B1 test, Qc\k=1\ (67) and 
Ec\k=1\ (67) are determined from the F1 test, and 
all four quantities are calculated as specified in section 3.3 of this 
appendix. Evaluate the space cooling capacity, Qc\k=2\ 
(Tj), and electrical power consumption, Ec\k=2\ 
(Tj), of the test unit when operating at high compressor 
capacity and outdoor temperature Tj using,
[GRAPHIC] [TIFF OMITTED] TR08JN16.057


[[Page 37101]]


where Qc\k=2\(95) and Ec\k=2\(95) are determined 
from the A2 test, Qc\k=2\(82), and 
Ec\k=2\(82), are determined from the B2test, and 
all are calculated as specified in section 3.3 of this appendix.
    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 4.1.2.4 of this appendix), cycle between low and high 
capacity (section 4.1.2.5 of this appendix), or operate at high 
capacity (sections 4.1.2.6 and 4.1.2.7 of this appendix) 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.

4.1.2.4 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] TR08JN16.059

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.
[GRAPHIC] [TIFF OMITTED] TR08JN16.060


                Table 18--Distribution of Fractional Hours Within Cooling Season Temperature Bins
----------------------------------------------------------------------------------------------------------------
                                                                                                    Fraction of
                                                                        Bin       Representative       total
                          Bin number, j                             temperature     temperature     temperature
                                                                   range, [deg]F     for bin,     bin hours, nj/
                                                                                      [deg]F             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
----------------------------------------------------------------------------------------------------------------

4.1.2.5 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).

[[Page 37102]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.061

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 
Ec\k=1\(Tj). Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qc\k=2\(Tj) and 
Ec\k=2\(Tj).

4.1.2.6 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] TR08JN16.062

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 - CDc(k = 2) * [1 - Xk=2(Tj) the part load factor, 
dimensionless.
[GRAPHIC] [TIFF OMITTED] TR08JN16.063


4.1.2.7 Unit must operate continuously at high (k = 2) compressor 
capacity at temperature Tj, BL(Tj) 
>=Qc\k=2\(Tj).
[GRAPHIC] [TIFF OMITTED] TR08JN16.064

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 
Ec\k=2\(Tj).
4.1.3 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, Ec\k=1\(Tj), of the test unit when 
operating at minimum compressor speed and outdoor temperature 
Tj. Use,

[[Page 37103]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.065

where Qc\k=1\(82) and Ec\k=1\(82) are determined 
from the B1 test, Qc\k=1\(67) and 
Ec\k=1\(67) are determined from the F1 test, and all four 
quantities are calculated as specified in section 3.3 of this appendix. 
Evaluate the space cooling capacity, Qc\k=2\(Tj), 
and electrical power consumption, Ec\k=2\(Tj), of 
the test unit when operating at full compressor speed and outdoor 
temperature Tj. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, where Qc\k=2\(95) and Ec\k=2\(95) 
are determined from the A2 test, Qc\k=2\(82) and 
Ec\k=2\(82) are determined from the B2 test, and 
all four quantities are calculated as specified in section 3.3 of this 
appendix. Calculate the space cooling capacity, 
Qc\k=v\(Tj), and electrical power consumption, 
Ec\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 of this 
appendix using,

Equation 4.1.4-3 Qck=v(Tj) = Qck=v(87) + MQ * (Tj - 87)

Equation 4.1.4-4 Eck=v(Tj) = Ehk=v(87) + ME * (Tj - 87)

where Qc\k=v\(87) and Ec\k=v\(87) are determined 
from the EV test and calculated as specified in section 3.3 
of this appendix. Approximate the slopes of the k=v intermediate speed 
cooling capacity and electrical power input curves, MQ and 
ME, as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.066

    Use Equations 4.1.4-1 and 4.1.4-2, respectively, to calculate 
Qc\k=1\(87) and Ec\k=1\(87).

4.1.3.1 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] TR08JN16.067

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 = 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 
Ec\k=l\ (Tj).

4.1.3.2 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] TR08JN16.068

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.

[[Page 37104]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.069

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 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] TR08JN16.070

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 of this appendix, 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 4.1.4-3 and 4.1-2 and 
solving for outdoor temperature.
T2 = the outdoor temperature at which the unit, when 
operating at full 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] TR08JN16.071

4.1.3.3 Unit must operate continuously at full (k = 2) compressor speed 
at temperature Tj, BL(Tj) 
>=Qc\k=2\(Tj). Evaluate the Equation 4.1-1 
quantities
[GRAPHIC] [TIFF OMITTED] TR08JN16.072

as specified in section 4.1.2.7 of this appendix with the understanding 
that Qck=2(Tj) and 
Eck=2(Tj) correspond to full 
compressor speed operation and are derived from the results of the 
tests specified in section 3.2.4 of this appendix.
4.1.4 SEER Calculations for an Air Conditioner or Heat Pump Having a 
Single Indoor Unit With Multiple Indoor Blowers
    Calculate SEER using Eq. 4.1-1, where qc(Tj)/N and 
ec(Tj)/N are evaluated as specified in the applicable 
subsection.
4.1.4.1 For Multiple Indoor Blower Systems That Are Connected to a 
Single, Single-Speed Outdoor Unit
    a. Calculate the space cooling capacity, Qck=1(Tj), and 
electrical power consumption, Eck=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 
of this appendix. Calculate the space cooling capacity, 
Qck=2(Tj), and electrical power consumption, 
Eck=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 of this appendix. In evaluating 
the section 4.1.2.1 equations, determine the quantities 
Qck=1(82) and Eck=1(82) from the B1 test, 
Qck=1(95) and Eck=1(95) from the Al test, 
Qck=2(82) and Eck=2(82) from the B2 test, and 
Qck=2(95) and Eck=2(95) from the A2 test. 
Evaluate all eight quantities as specified in section 3.3 of this 
appendix. Refer to section 3.2.2.1 and Table 5 of this appendix 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 of this

[[Page 37105]]

appendix. Assign this same value to CDc(K=2).
    c. Except for using the above values of Qck=1(Tj), 
Eck=1(Tj), Eck=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 of this appendix 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 of this appendix if 
Qck=2(Tj) > BL(Tj) or as specified in section 
4.1.3.4 of this appendix if Qck=2(Tj) <= BL(Tj).

4.1.4.2 For multiple indoor blower systems that are connected to either 
a lone outdoor unit having a two-capacity compressor or to two separate 
single-speed outdoor units of identical model, calculate the quantities 
qc(Tj)/N and ec(Tj)/N as specified in section 
4.1.3 of this appendix.
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] TR08JN16.073


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 of this appendix, 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 section 4.2.5 of this appendix).
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 of this appendix, 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 No.                                I              II              III             IV               V              VI
--------------------------------------------------------------------------------------------------------------------------------------------------------
Heating Load Hours, HLH.................................             750           1,250           1,750           2,250           2,750         * 2,750
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.


[[Page 37106]]

    Evaluate the building heating load using
    [GRAPHIC] [TIFF OMITTED] TR08JN16.074
    
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 of this 
appendix, Definitions), Btu/h.

    Calculate the minimum and maximum design heating requirements for 
each generalized climatic region as follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.075

where Qh\k\(47) is expressed in units of Btu/h and otherwise 
defined as follows:
    a. For a single-speed heat pump tested as per section 3.6.1 of this 
appendix, Qh\k\(47) = Qh(47), the space heating 
capacity determined from the H1 test.
    b. 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, 
Qn\k\(47) = Qn\k=2\(47), the space heating 
capacity determined from the H12 test.
    c. For two-capacity, northern heat pumps (see section 1.2 of this 
appendix, Definitions), Q\k\h(47) = Q\k=1\h(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 of this appendix, whichever applies.
    For heat pumps with heat comfort controllers (see section 1.2 of 
this appendix, 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 of 
this appendix for the additional steps required for calculating the 
HSPF.

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

    4.2.1 Additional steps for calculating the HSPF of a blower coil 
system heat pump having a single-speed compressor and either a fixed-
speed indoor blower or a constant-air-volume-rate indoor blower 
installed, or a coil-only system heat pump.
[GRAPHIC] [TIFF OMITTED] TR08JN16.076


[[Page 37107]]


[GRAPHIC] [TIFF OMITTED] TR08JN16.077

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.
Eh(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] TR08JN16.078
    
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 
Eh(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR08JN16.079

where Qh(47) and Eh(47) are determined from the 
H1 test and calculated as specified in section 3.7 of this appendix; 
Qh(35) and Eh(35) are determined from the H2 test 
and calculated as specified in section 3.9.1 of this appendix; and 
Qh(17) and Eh(17) are determined from the H3 test 
and calculated as specified in section 3.10 of this appendix.

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] TR08JN16.080

in Equation 4.2-1 as specified in section 4.2.1 of this appendix with 
the exception of replacing references to the

[[Page 37108]]

H1C test and section 3.6.1 of this appendix with the H1C1 
test and section 3.6.2 of this appendix. In addition, evaluate the 
space heating capacity and electrical power consumption of the heat 
pump Qh(Tj) and Eh(Tj) 
using
[GRAPHIC] [TIFF OMITTED] TR08JN16.081

    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 Eh\k=1\(47) from the 
H11 test, and Qh\k=2\(47) and 
Eh\k=2\(47) from the H12 test. Calculate all four 
quantities as specified in section 3.7 of this appendix. Determine 
Qh\k=1\(35) and Eh\k=1\(35) as specified in 
section 3.6.2 of this appendix; determine Qh\k=2\(35) and 
Eh\k=2\(35) and from the H22 test and the 
calculation specified in section 3.9 of this appendix. Determine 
Qh\k=1\(17) and Eh\k=1\(17 from the 
H31 test, and Qh\k=2\(17) and 
Eh\k=2\(17) from the H32 test. Calculate all four 
quantities as specified in section 3.10 of this appendix.
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 of this appendix), cycle between low and high capacity (section 
4.2.3.2 of this appendix), or operate at high capacity (sections 
4.2.3.3 and 4.2.3.4 of this appendix) 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] TR08JN16.082

    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

[[Page 37109]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.083

    b. Evaluate the space heating capacity and electrical power 
consumption (Qh\k=2\(Tj) and Eh\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 
Eh\k=1\(62) from the H01 test, 
Qh\k=1\(47) and Eh\k=1\(47) from the 
H11 test, and Qh\k=2\(47) and 
Eh\k=2\(47) from the H12 test. Calculate all six 
quantities as specified in section 3.7 of this appendix. Determine 
Qh\k=2\(35) and Eh\k=2\(35) from the 
H22 test and, if required as described in section 3.6.3 of 
this appendix, determine Qh\k=1\(35) and 
Eh\k=1\(35) from the H21 test. Calculate the 
required 35 [deg]F quantities as specified in section 3.9 of this 
appendix. Determine Qh\k=2\(17) and Eh\k=2\(17) 
from the H32 test and, if required as described in section 
3.6.3 of this appendix, determine Qh\k=1\(17) and 
Eh\k=1\(17) from the H31 test. Calculate the 
required 17 [deg]F quantities as specified in section 3.10 of this 
appendix.

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] TR08JN16.084

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] TR08JN16.085
    
where Toff and Ton are defined in section 4.2.1 
of this appendix. Use the calculations given in section 4.2.3.3 of this 
appendix, 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, Qhk=1(Tj) 
j) hk=2(Tj).

[[Page 37110]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.086

    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] TR08JN16.087

    If the H1C2 test described in section 3.6.3 and Table 12 
of this appendix is not conducted, set CD\h\ (k=2) equal to 
the default value specified in section 3.8.1 of this appendix.
    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] TR08JN16.088


[[Page 37111]]


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, Ehk=1(Tj), of the 
heat pump when operating at minimum compressor speed and outdoor 
temperature Tj using
[GRAPHIC] [TIFF OMITTED] TR08JN16.089

where Qhk=1(62) and 
Ehk=1(62) are determined from the H01 
test, Qhk=1(47) and 
Ehk=1(47) are determined from the H11 
test, and all four quantities are calculated as specified in section 
3.7 of this appendix.

    Evaluate the space heating capacity, 
Qhk=2(Tj), and electrical power 
consumption, Ehk=2(Tj), of the heat 
pump when operating at full 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 Ehk=2(47) 
from the H12 test and the calculations specified in section 
3.7 of this appendix. Determine Qhk=2(35) and 
Ehk=2(35) from the H22 test and the 
calculations specified in section 3.9 of this appendix or, if the 
H22 test is not conducted, by conducting the calculations 
specified in section 3.6.4 of this appendix. Determine 
Qhk=2(17) and Ehk=2(17) 
from the H32 test and the calculations specified in section 
3.10 of this appendix. Calculate the space heating capacity, 
Qhk=v(Tj), and electrical power 
consumption, Ehk=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 of this appendix using

Equation 4.2.4-3 Qhk=v(Tj = 
Qhk=v (35) + MQ*(Tj - 35)
Equation 4.2.4-4 Ehk=v(Tj = 
Ehk=v (35) + ME * (Tj - 35)

where Qhk=v(35) and 
Ehk=v(35) are determined from the H2V 
test and calculated as specified in section 3.9 of this appendix. 
Approximate the slopes of the k=v intermediate speed heating capacity 
and electrical power input curves, MQ and ME, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR08JN16.090

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

[[Page 37112]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.091

as specified in section 4.2.3.1 of this appendix. Except now use 
Equations 4.2.4-1 and 4.2.4-2 to evaluate 
Qhk=1(Tj) and 
Ehk=1(Tj), respectively, and replace 
section 4.2.3.1 references to ``low capacity'' and section 3.6.3 of 
this appendix with ``minimum speed'' and section 3.6.4 of this 
appendix. Also, the last sentence of section 4.2.3.1 of this appendix 
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).
[GRAPHIC] [TIFF OMITTED] TR08JN16.092

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.
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.
    For each heat pump, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TR08JN16.093

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 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 of this appendix, 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 full 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.

[[Page 37113]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.094

    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] TR08JN16.095

4.2.4.3 Heat pump must operate continuously at full (k=2) compressor 
speed at temperature Tj, BL(Tj) 
>=Qhk=2(Tj). Evaluate the Equation 
4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TR08JN16.096

as specified in section 4.2.3.4 of this appendix with the 
understanding that Qhk=2(Tj) and 
Eh\k=2\(Tj) correspond to full compressor 
speed operation and are derived from the results of the specified 
section 3.6.4 tests of this appendix.

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 Blower coil system heat pump having a heat comfort 
controller: Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor and either a fixed-speed indoor 
blower or a constant-air-volume-rate indoor blower installed, or a 
coil-only system heat pump.

    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 of this appendix (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] TR08JN16.097

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,

[[Page 37114]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.098

    Evaluate eh(Tj/N), RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 of this appendix. 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 of this appendix), determine 
Qh(Tj) and Eh(Tj) as 
specified in section 4.2.1 of this appendix (i.e., 
Qh(Tj) = Qhp(Tj) and 
Ehp(Tj) = Ehp(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 Eh(Tj) using 
Qh(Tj) = Qhp(Tj) + 
QCC(Tj) Eh(Tj) = 
Ehp(Tj) + ECC(Tj)
where:
[GRAPHIC] [TIFF OMITTED] TR08JN16.099

    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 of this appendix (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] TR08JN16.100

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] TR08JN16.101

    Evaluate eh(Tj)/N, RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 of this appendix with the exception of 
replacing references to the H1C test and section 3.6.1 of this 
appendix with the H1C1 test and section 3.6.2 of this 
appendix. 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 of this appendix), determine 
Qh(Tj) and Eh(Tj) as 
specified in section 4.2.2 of this appendix (i.e. 
Qh(Tj) = Qhp(Tj) and 
Eh(Tj) = Ehp(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 Eh(Tj) using 
Qh(Tj) = Qhp(Tj) + 
QCC(Tj) Eh(Tj) = 
Ehp(Tj) + ECC(Tj)
[GRAPHIC] [TIFF OMITTED] TR08JN16.102

    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 of this appendix 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:

[[Page 37115]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.103

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] TR08JN16.104

    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] TR08JN16.105

    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 of this appendix, 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 of this appendix), determine 
Qh\k=1\(Tj) and 
Eh\k=1\(Tj) as specified in section 4.2.3 of 
this appendix (i.e., Qh\k=1\(Tj) = 
Qhp\k=1\(Tj) and 
Eh\k=1\(Tj) = 
Ehp\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 
Eh\k=1\(Tj) using 
Qh\k=1\(Tj) = 
Qhp\k=1\(Tj) + 
QCC\k=1\(Tj) Eh\k=1\(Tj) 
= Ehp\k=1\(Tj) + 
ECC\k=1\(Tj)
where,
[GRAPHIC] [TIFF OMITTED] TR08JN16.106

    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 
Eh\k=2\(Tj) as specified in section 4.2.3 of 
this appendix (i.e., Qh\k=2\(Tj) = 
Qhp\k=2\(Tj) and 
Eh\k=2\(Tj) = 
Ehp\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 
Eh\k=2\(Tj) using 
Qh\k=2\(Tj) = 
Qhp\k=2\(Tj) + 
QCC\k=2\(Tj) Eh\k=2\(Tj) 
= Ehp\k=2\(Tj) + 
ECC\k=2\(Tj)
where,
[GRAPHIC] [TIFF OMITTED] TR08JN16.107

    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] TR08JN16.108

differ depending on whether the heat pump would cycle on and off at 
low capacity (section 4.2.6.1 of this appendix), cycle on and off at 
high capacity (section 4.2.6.2 of this appendix), cycle on and off 
at booster capacity (section 4.2.6.3 of this appendix), cycle 
between low and high capacity (section 4.2.6.4 of this appendix), 
cycle between high and booster capacity (section 4.2.6.5 of this 
appendix), operate continuously at low capacity (4.2.6.6 of this 
appendix), operate continuously at high capacity (section 4.2.6.7 of 
this appendix), operate continuously at booster capacity (section 
4.2.6.8 of this appendix), or heat solely using resistive

[[Page 37116]]

heating (also section 4.2.6.8 of this appendix) 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 [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 of this appendix for Qh\k=1\(Tj) 
and Eh\k=1\(Tj)) In evaluating the section 
4.2.3 equations, Determine Qh\k=1\(62) and 
Eh\k=1\(62) from the H01 test, 
Qh\k=1\(47) and Eh\k=1\(47) from the 
H11 test, and Qh\k=2\(47) and 
Eh\k=2\(47) from the H12 test. Calculate all 
four quantities as specified in section 3.7 of this appendix. If, in 
accordance with section 3.6.6 of this appendix, the H31 
test is conducted, calculate Qh\k=1\(17) and 
Eh\k=1\(17) as specified in section 3.10 of this appendix 
and determine Qh\k=1\(35) and Eh\k=1\(35) as 
specified in section 3.6.6 of this appendix.
    b. Evaluate the space heating capacity and electrical power 
consumption (Qh\k=2\(Tj) and 
Eh\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 Eh\k=1\(62) from the 
H01 test, Qh\k=1\(47) and 
Eh\k=1\(47) from the H11 test, and 
Qh\k=2\(47) and Eh\k=2\(47) from the 
H12 test, evaluated as specified in section 3.7 of this 
appendix. Determine the equation input for Qh\k=2\(35) 
and Eh\k=2\(35) from the H22, evaluated as 
specified in section 3.9.1 of this appendix. Also, determine 
Qh\k=2\(17) and Eh\k=2\(17) from the 
H32 test, evaluated as specified in section 3.10 of this 
appendix.
    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] TR08JN16.109

    Determine Qh\k=3\(17) and Eh\k=3\(17) from 
the H33 test and determine Qh\k=2\(2) and 
Eh\k=3\(2) from the H43 test. Calculate all 
four quantities as specified in section 3.10 of this appendix. 
Determine the equation input for Qh\k=3\(35) and 
Eh\k=3\(35) as specified in section 3.6.6 of this 
appendix.

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
    [GRAPHIC] [TIFF OMITTED] TR08JN16.110
    
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 of this 
appendix. 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 of this appendix.

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) < 
Qh\k=2\(Tj).

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR08JN16.111
    
as specified in section 4.2.3.3 of this appendix. Determine the 
equation inputs X\k=2\(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.3 of this 
appendix. 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 of this appendix.

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] TR08JN16.112


[[Page 37117]]


where
X\k=3\(Tj) = BL(Tj)/
Qh\k=3\(Tj) and PLFj = 1 - 
CD\h\(k = 3) * [1 - X\k=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 of this appendix.

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) < 
BL(Tj) < Qh\k=2\(Tj).

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR08JN16.113
    
as specified in section 4.2.3.2 of this appendix. Determine the 
equation inputs X\k=1\(Tj), X\k=2\(Tj), and 
[delta]'(Tj) as specified in section 4.2.3.2 of this 
appendix.

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) < BL 
(Tj) < Qh\k=3\(Tj).
[GRAPHIC] [TIFF OMITTED] TR08JN16.114

where:
[GRAPHIC] [TIFF OMITTED] TR08JN16.115

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] TR08JN16.116

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] TR08JN16.117
    
as specified in section 4.2.3.4 of this appendix. Calculate 
[delta]''(Tj) using the equation given in section 4.2.3.4 of this 
appendix.

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] TR08JN16.116

where [delta]''(Tj) is calculated as specified in section 4.2.3.4 of 
this appendix 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 indoor blowers. The 
calculation of the Eq. 4.2-1 quantities 
eh(Tj)/N and RH(Tj)/N are evaluated 
as specified in the applicable subsection.


[[Page 37118]]


4.2.7.1 For multiple indoor 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, Ehk=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, 
Ehk=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 Ehk=1(47) from the H11 test; 
determine Qhk=2(47) and Ehk=2(47) from the H12 test. 
Evaluate all four quantities according to section 3.7 of this 
appendix. Determine the quantities Qhk=1(35) and Ehk=1(35) as 
specified in section 3.6.2 of this appendix. Determine Qhk=2(35) and 
Ehk=2(35) from the H22 frost accumulation test as 
calculated according to section 3.9.1 of this appendix. Determine 
the quantities Qhk=1(17) and Ehk=1(17) from the H31 test, 
and Qhk=2(17) and Ehk=2(17) from the H32 test. Evaluate 
all four quantities according to section 3.10 of this appendix. 
Refer to section 3.6.2 and Table 11 of this appendix 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 of this 
appendix. Assign this same value to CDh(k = 2).
    c. Except for using the above values of Qhk=1(Tj), Ehk=1(Tj), 
Qhk=2(Tj), Ehk=2(Tj), CDh, and CDh(k = 2), 
calculate the quantities eh(Tj)/N as specified 
in section 4.2.3.1 of this appendix 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 of this appendix if Qhk=2(Tj) > 
BL(Tj) or as specified in section 4.2.3.4 of this appendix if 
Qhk=2(Tj) <= BL(Tj)

4.2.7.2 For multiple indoor blower heat pumps connected to either a 
single outdoor unit with a two-capacity compressor or to two 
separate single-speed outdoor units of identical model, calculate 
the quantities eh(Tj)/N and RH(Tj)/
N as specified in section 4.2.3 of this appendix.

4.3 Calculations of Off-Mode Power Consumption

    For central air conditioners and heat pumps with a cooling 
capacity of: Less than 36,000 Btu/h, determine the off mode 
represented value, PW,OFF, with the following equation:
[GRAPHIC] [TIFF OMITTED] TR08JN16.119

4.4 Rounding of SEER and HSPF for Reporting Purposes

    After calculating SEER according to section 4.1 of this appendix 
and HSPF according to section 4.2 of this appendix round the values 
off as specified per Sec.  430.23(m) of title 10 of the Code of 
Federal Regulations.

[[Page 37119]]

[GRAPHIC] [TIFF OMITTED] TR08JN16.120


    Table 21--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
                                                     Cooling    Heating
                                                       load       load
                  Climatic region                     hours      hours
                                                       CLHR       HLHR
------------------------------------------------------------------------
I.................................................      2,400        750
II................................................      1,800      1,250
III...............................................      1,200      1,750

[[Page 37120]]

 
IV................................................        800      2,250
Rating Values.....................................      1,000      2,080
V.................................................        400      2,750
VI................................................        200      2,750
------------------------------------------------------------------------

4.5 Calculations of the SHR, which should be computed for different 
equipment configurations and test conditions specified in Table 22.

                                     Table 22--Applicable Test Conditions for Calculation of the Sensible Heat Ratio
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              Reference
         Equipment configuration            table No. of          SHR computation with results from                       Computed values
                                             Appendix M
--------------------------------------------------------------------------------------------------------------------------------------------------------
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] TR08JN16.121
    
    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.

4.6 Calculations of the Energy Efficiency Ratio (EER). Calculate the 
energy efficiency ratio using,
[GRAPHIC] [TIFF OMITTED] TR08JN16.122

where Qck(T) and Eck(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 of this appendix. 
Add the letter identification for each steady-state test as a 
subscript (e.g., EERA2) to differentiate among the resulting EER 
values.

[FR Doc. 2016-12592 Filed 6-7-16; 8:45 am]
 BILLING CODE 6450-01-P