(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, [email protected], https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: [email protected], or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the sources in the following paragraphs of this section.

(b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2311 Wilson Blvd., Suite 400, Arlington, VA 22201; (703) 524-8800; www.ahrinet.org.

(1) ANSI/AHRI Standard 210/240-2008 (AHRI 210/240-2008), 2008 Standard for Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump Equipment, approved by ANSI on October 27, 2011, and updated by addendum 1 in June 2011 and addendum 2 in March 2012; IBR approved for § 431.96 and appendix F to this subpart.

(2) AHRI Standard 210/240-2023 (AHRI 210/240-2023), 2023 Standard for Performance Rating of Unitary Air-conditioning & Air-source Heat Pump Equipment, copyright May 2020; IBR approved for appendix F1 to this subpart.

(3) AHRI Standard 310/380-2014 (“AHRI 310/380-2014”), “Standard for Packaged Terminal Air-Conditioners and Heat Pumps,” February 2014; IBR approved for § 431.96.

(4) AHRI Standard 340/360-2022 (I-P) (“AHRI 340/360-2022”), 2022 Standard for Performance Rating of Commercial and Industrial Unitary Air-conditioning and Heat Pump Equipment, approved January 26, 2022; IBR approved for appendix A to this subpart.

(5) AHRI Standard 390(I-P)-2021 (“AHRI 390-2021”), 2021 Standard for Performance Rating of Single Package Vertical Air-Conditioners and Heat Pumps, copyright 2021; (AHRI 390-2021), IBR approved for appendices G and G1 to this subpart.

(6) AHRI Standard 600-2023 (I-P) (“AHRI 600-2023”), 2023 Standard for Performance Rating of Water/Brine to Air Heat Pump Equipment, AHRI-approved September 11, 2023; IBR approved for appendix C1 to this subpart.

(7) AHRI Standard 920 (I-P) with Addendum 1 (“AHRI 920-2020”), “2020 Standard for Performance Rating of Direct Expansion-Dedicated Outdoor Air System Units,” copyright 2021; IBR approved for § 431.92; appendix B to this subpart.

(8) AHRI Standard 1060 (I-P) (“AHRI 1060-2018”), “2018 Standard for Performance Rating of Air-to-Air Exchangers for Energy Recovery Ventilation Equipment,” copyright 2018; IBR approved for appendix B to this subpart.

(9) ANSI/AHRI Standard 1230-2010 (AHRI 1230-2010), 2010 Standard for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment, approved August 2, 2010, and updated by addendum 1 in March 2011; IBR approved for § 431.96 and appendices D and F to this subpart.

(10) AHRI Standard 1230 (I-P), (“AHRI 1230-2021'), “2021 Standard for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment”, copyright in 2021; IBR approved for appendix D1 to this subpart.

(11) AHRI Standard 1340-2023 (I-P) (“AHRI 1340-2023”), 2023 Standard for Performance Rating of Commercial and Industrial Unitary Air-conditioning and Heat Pump Equipment, approved November 16, 2023; IBR approved for appendix A1 to this subpart.

(12) AHRI Standard 1360-2022 (I-P) (“AHRI 1360-2022”), 2022 Standard for Performance Rating of Computer and Data Processing Room Air Conditioners, copyright 2022; IBR approved for appendix E1 to this subpart.

(c) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, Georgia 30092; (404) 636-8400; www.ashrae.org.

(1) ANSI/ASHRAE Standard 16-1983 (RA 2014), (“ANSI/ASHRAE 16”), “Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners,” ASHRAE reaffirmed July 3, 2014, IBR approved for § 431.96.

(2) ANSI/ASHRAE Standard 37-2009 (“ANSI/ASHRAE 37-2009”), Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, approved June 24, 2009; IBR approved for § 431.96 and appendices A, A1, B, C1, D1, E1, F1, G, and G1 to this subpart.

(3) Errata Sheet for ANSI/ASHRAE Standard 37-2009, Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, March 27, 2019; IBR approved for appendices C1 and D1 to this subpart.

(4) 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 B to this subpart.

(5) ANSI/ASHRAE Standard 41.6- 2014 (“ANSI/ASHRAE 41.6-2014”), “Standard Method for Humidity Measurement,” ANSI-approved July 3, 2014; IBR approved for appendix B to this subpart.

(6) ANSI/ASHRAE Standard 58-1986 (RA 2014), (“ANSI/ASHRAE 58”), “Method of Testing for Rating Room Air-Conditioner and Packaged Terminal Air-Conditioner Heating Capacity,” ASHRAE reaffirmed July 3, 2014, IBR approved for § 431.96.

(7) ASHRAE Standard 127-2007, “Method of Testing for Rating Computer and Data Processing Room Unitary Air Conditioners,” approved on June 28, 2007, (ASHRAE 127-2007), IBR approved for § 431.96 and appendix E to this subpart.

(8) ANSI/ASHRAE Standard 127-2020 (“ANSI/ASHRAE 127-2020”), Method of Rating Air-Conditioning Units Serving Data Center (DC) and Other Information Technology Equipment (ITE) Spaces, ANSI-approved on November 30, 2020; IBR approved for appendix E1 to this subpart.

(9) ANSI/ASHRAE Standard 198- 2013 (“ANSI/ASHRAE 198-2013”), “Method of Test for Rating DX-Dedicated Outdoor Air Systems for Moisture Removal Capacity and Moisture Removal Efficiency,” ANSI-approved January 30, 2013; IBR approved for appendix B to this subpart.

(d) IIR. International Institute of Refrigeration, 177 Boulevard Malesherbes 75017 Paris, France; +33 (0)1 42 27 32 35; www.iifiir.org.

(1) Properties of Secondary Working Fluids for Indirect Systems, including Section 2.3 Errata Sheet, Melinder, published 2010 (“Melinder 2010”), IBR approved for appendix C1 to this subpart.

(2) [Reserved]

(e) ISO. International Organization for Standardization, Chemin de Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland; +41 22 749 01 11; www.iso.org/store.html.

(1) ISO Standard 13256-1 (“ISO 13256-1:1998”), “Water-source heat pumps—Testing and rating for performance—Part 1: Water-to-air and brine-to-air heat pumps,” approved 1998; IBR approved for appendix C to this subpart.

(2) [Reserved]

(a) Scope. This section contains test procedures for measuring, pursuant to EPCA, the energy efficiency of any small, large, or very large commercial package air-conditioning and heating equipment, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, variable refrigerant flow systems, single package vertical air conditioners and single package vertical heat pumps, and direct expansion-dedicated outdoor air systems.

(b) Testing and calculations. (1) Determine the energy efficiency and capacity of each category of covered equipment by conducting the test procedure(s) listed in table 1 to this paragraph (b) along with any additional testing provisions set forth in paragraphs (c) through (g) of this section and appendices A through G1 to this subpart, that apply to the energy efficiency descriptor for that equipment, category, and cooling capacity. The omitted sections of the test procedures listed in table 1 must not be used. For equipment with multiple appendices listed in table 1, consult the notes at the beginning of those appendices to determine the applicable appendix to use for testing.

(2) After June 24, 2016, any representations made with respect to the energy use or efficiency of packaged terminal air conditioners and heat pumps (PTACs and PTHPs) must be made in accordance with the results of testing pursuant to this section. Manufacturers conducting tests of PTACs and PTHPs after July 30, 2015 and prior to June 24, 2016, must conduct such test in accordance with either table 1 to this section or § 431.96 as it appeared at 10 CFR part 431, subpart F, in the 10 CFR parts 200 to 499 edition revised as of January 1, 2014. Any representations made with respect to the energy use or efficiency of such packaged terminal air conditioners and heat pumps must be in accordance with whichever version is selected.

(c) Optional break-in period for tests conducted using AHRI 210/240-2008, AHRI 1230-2010, and ASHRAE 127-2007. Manufacturers may optionally specify a “break-in” period, not to exceed 20 hours, to operate the equipment under test prior to conducting the test method specified by AHRI 210/240-2008 or ASHRAE 127-2007 (incorporated by reference; see § 431.95). A manufacturer who elects to use an 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 is required to be maintained under 10 CFR 429.71.

(d) Refrigerant line length corrections for tests conducted using AHRI 1230-2010. For test setups where it is physically impossible for the laboratory to use the required line length listed in Table 3 of the AHRI 1230-2010 (incorporated by reference, see § 431.95), then the actual refrigerant line length used by the laboratory may exceed the required length and the following correction factors are applied:

(e) Additional provisions for equipment set-up. The only additional specifications that may be used in setting up the basic model for test are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Paragraphs (e)(1) through (3) of this section provide specifications for addressing key information typically found in the installation and operation manuals.

(1) If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value shall be used.

(2) The air flow rate used for testing must be that set forth in the installation and operation manuals being shipped to the commercial customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a rated air flow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton shall be used.

(3) For VRF systems, the test set-up and the fixed compressor speeds (i.e., the maximum, minimum, and any intermediate speeds used for testing) should be recorded and maintained as part of the test data underlying the certified ratings that is required to be maintained under 10 CFR 429.71.

(f) Manufacturer involvement in assessment or enforcement testing for variable refrigerant flow systems. A manufacturer's representative will be allowed to witness assessment and/or enforcement testing for VRF systems. The manufacturer's representative will be allowed to inspect and discuss set-up only with a DOE representative and adjust only the modulating components during testing in the presence of a DOE representative that are necessary to achieve steady-state operation. Only previously documented specifications for set-up as specified under paragraphs (d) and (e) of this section will be used.

(g) Test Procedures for Packaged Terminal Air Conditioners and Packaged Terminal Heat Pumps—(1) Cooling mode testing. The test method for testing packaged terminal air conditioners and packaged terminal heat pumps in cooling mode shall consist of application of the methods and conditions in AHRI 310/380-2014 sections 3, 4.1, 4.2, 4.3, and 4.4 (incorporated by reference; see § 431.95), and in ANSI/ASHRAE 16 (incorporated by reference; see § 431.95) or ANSI/ASHRAE 37 (incorporated by reference; see § 431.95), except that instruments used for measuring electricity input shall be accurate to within ±0.5 percent of the quantity measured. Where definitions provided in AHRI 310/380-2014, ANSI/ASHRAE 16, and/or ANSI/ASHRAE 37 conflict with the definitions provided in 10 CFR 431.92, the 10 CFR 431.92 definitions shall be used. Where AHRI 310/380-2014 makes reference to ANSI/ASHRAE 16, it is interpreted as reference to ANSI/ASHRAE 16-1983 (RA 2014).

(2) Heating mode testing. The test method for testing packaged terminal heat pumps in heating mode shall consist of application of the methods and conditions in AHRI 310/380-2014 sections 3, 4.1, 4.2 (except the section 4.2.1.2(b) reference to ANSI/ASHRAE 37), 4.3, and 4.4 (incorporated by reference; see § 431.95), and in ANSI/ASHRAE 58 (incorporated by reference; see § 431.95). Where definitions provided in AHRI 310/380-2014 or ANSI/ASHRAE 58 conflict with the definitions provided in 10 CFR 431.92, the 10 CFR 431.92 definitions shall be used. Where AHRI 310/380-2014 makes reference to ANSI/ASHRAE 58, it is interpreted as reference to ANSI/ASHRAE 58-1986 (RA 2014).

(3) Wall sleeves. For packaged terminal air conditioners and packaged terminal heat pumps, the unit must be installed in a wall sleeve with a 14 inch depth if available. If a 14 inch deep wall sleeve is not available, use the available wall sleeve option closest to 14 inches in depth. The area(s) between the wall sleeve and the insulated partition between the indoor and outdoor rooms must be sealed to eliminate all air leakage through this area.

(4) Optional pre-filling of the condensate drain pan. For packaged terminal air conditioners and packaged terminal heat pumps, test facilities may add water to the condensate drain pan of the equipment under test (until the water drains out due to overflow devices or until the pan is full) prior to conducting the test method specified by AHRI 310/380-2014 (incorporated by reference, see § 431.95). No specific level of water mineral content or water temperature is required for the water added to the condensate drain pan.

(5) Filter selection. For packaged terminal air conditioners and packaged terminal heat pumps, the indoor filter used during testing shall be the standard or default filter option shipped with the model. If a particular model is shipped without a filter, the unit must be tested with a MERV-1 filter sized appropriately for the filter slot.

This subpart specifies test procedures and energy conservation standards for certain commercial air conditioners and heat pumps, pursuant to Part C of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.

The following definitions apply for purposes of this subpart, and of subparts J through M of this part. Any words or terms not defined in this section or elsewhere in this part shall be defined as provided in 42 U.S.C. 6311. For definitions that reference the application for which the equipment is marketed, DOE will consider any publicly available document published by the manufacturer (e.g., product literature, catalogs, and packaging labels) to determine marketing intent. For definitions in this section that pertain to computer room air conditioners, italicized terms within a definition indicate terms that are separately defined in this section.

Applied Coefficient of performance, or ACOP means the ratio of the heating capacity to the power input, including system pump power, for water-source heat pumps. ACOP is expressed in watts per watt and determined according to appendix C1 of this subpart.

Basic model means:

(1) For air-cooled, three-phase, small commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h. All units manufactured by one manufacturer, having the same primary energy source, and, which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency; where 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 airflow 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 airflow], and indoor blower(s) [no more than ten percent variation in indoor airflow, 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 429.67 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.

(2) For commercial package air conditioning and heating equipment (excluding air-cooled, three-phase, commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h). All units manufactured by one manufacturer within a single equipment class, having the same or comparably performing compressor(s), heat exchangers, and air moving system(s) that have a common “nominal” cooling capacity.

(3) For computer room air conditioners. All units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparably performing compressor(s), heat exchangers, and air moving system(s) that have a common “nominal” cooling capacity.

(4) For direct expansion-dedicated outdoor air system. All units manufactured by one manufacturer, having the same primary energy source (e.g., electric or gas), within a single equipment class; with the same or comparably performing compressor(s), heat exchangers, ventilation energy recovery system(s) (if present), and air moving system(s) that have a common “nominal” moisture removal capacity.

(5) For packaged terminal air conditioner (PTAC) or packaged terminal heat pump (PTHP). All units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparable compressors, same or comparable heat exchangers, and same or comparable air moving systems that have a cooling capacity within 300 Btu/h of one another.

(6) For single package vertical units. All units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparably performing compressor(s), heat exchangers, and air moving system(s) that have a rated cooling capacity within 1500 Btu/h of one another.

(7) For variable refrigerant flow systems (excluding air-cooled, three-phase, variable refrigerant flow air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h). All units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparably performing compressor(s) that have a common “nominal” cooling capacity and the same heat rejection medium (e.g., air or water) (includes VRF water source heat pumps).

(8) For water-source heat pumps. All units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparable compressors, same or comparable heat exchangers, and same or comparable “nominal” cooling capacity.

Ceiling-mounted means a configuration of a computer room air conditioner for which the unit housing the evaporator coil is configured for indoor installation on or through a ceiling.

Ceiling-mounted ducted means a configuration of a ceiling-mounted computer room air conditioner that is configured for use with discharge ducting (even if the unit is also configurable for use without discharge ducting).

Ceiling-mounted non-ducted means a configuration of a ceiling-mounted computer room air conditioner that is configured only for use without discharge ducting.

Coefficient of performance, or COP, means the ratio of the produced cooling effect of an air conditioner or heat pump (or its produced heating effect, depending on the mode of operation) to its net work input, when both the cooling (or heating) effect and the net work input are expressed in identical units of measurement. For air-cooled commercial package air conditioning and heating equipment (excluding equipment with a cooling capacity less than 65,000 Btu/h), COP is measured per appendix A to this subpart.

Coefficient of performance 2, or COP2, means the ratio of the produced cooling effect of an air conditioner or heat pump (or its produced heating effect, depending on the mode of operation) to its net work input, when both the cooling (or heating) effect and the net work input are expressed in identical units of measurement. COP2 must be used with a subscript to indicate the outdoor temperature in degrees Fahrenheit at which the COP2 was measured (e.g., COP217 for COP2 measured at 17 °F). For air-cooled commercial package air conditioning and heating equipment (excluding equipment with a cooling capacity less than 65,000 Btu/h), COP2 is measured per appendix A1 to this subpart.

Commercial package air-conditioning and heating equipment means air-cooled, water-cooled, evaporatively-cooled, or water source (not including ground water source) electrically operated, unitary central air conditioners and central air-conditioning heat pumps for commercial application.

Computer room air conditioner means commercial package air-conditioning and heating equipment (packaged or split) that is marketed for use in computer rooms, data processing rooms, or other information technology cooling applications and not a covered consumer product under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A computer room air conditioner may be provided with, or have as available options, an integrated humidifier, temperature and/or humidity control of the supplied air, and reheating function. Computer room air conditioners include, but are not limited to, the following configurations as defined in this section: down-flow, horizontal-flow, up-flow ducted, up-flow non-ducted, ceiling-mounted ducted, ceiling mounted non-ducted, roof-mounted, and wall-mounted.

Direct expansion-dedicated outdoor air system, or DX-DOAS, means a unitary dedicated outdoor air system that is capable of dehumidifying air to a 55 °F dew point—when operating under Standard Rating Condition A as specified in Table 4 or Table 5 of AHRI 920-2020 (incorporated by reference, see § 431.95) with a barometric pressure of 29.92 in Hg—for any part of the range of airflow rates advertised in manufacturer materials, and has a moisture removal capacity of less than 324 lb/h.

Double-duct air conditioner or heat pump means air-cooled commercial package air conditioning and heating equipment that meets the following criteria—

(1) Is either a horizontal single package or split-system unit; or a vertical unit that consists of two components that may be shipped or installed either connected or split; or a vertical single package unit that is not intended for exterior mounting on, adjacent interior to, or through an outside wall;

(2) Is intended for indoor installation with ducting of outdoor air from the building exterior to and from the unit (e.g., the unit and/or all of its components are non-weatherized);

(3) If it is a horizontal unit, the complete unit shall have a maximum height of 35 inches or the unit shall have components that do not exceed a maximum height of 35 inches. If it is a vertical unit, the complete (split, connected, or assembled) unit shall have components that do not exceed a maximum depth of 35 inches; and

(4) Has a rated cooling capacity greater than or equal to 65,000 Btu/h and less than 300,000 Btu/h.

Down-flow means a configuration of floor-mounted computer room air conditioner in which return air enters above the top of the evaporator coil and discharge air leaves below the bottom of the evaporator coil.

Ducted Condenser means a configuration of computer room air conditioner for which the condenser or condensing unit that manufacturer's installation instructions indicate is intended to exhaust condenser air through a duct(s).

Energy efficiency ratio, or EER, means the ratio of the produced cooling effect of an air conditioner or heat pump to its net work input, expressed in Btu/watt-hour. For commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), EER is measured per appendix A to this subpart.

Energy efficiency ratio 2, or EER2, means the ratio of the produced cooling effect of an air conditioner or heat pump to its net work input, expressed in Btu/watt-hour. For commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), EER2 is measured per appendix A1 to this subpart.

Floor-mounted means a configuration of a computer room air conditioner for which the unit housing the evaporator coil is configured for indoor installation on a solid floor, raised floor, or floor-stand. Floor-mounted computer room air conditioners are one of the following three configurations: down-flow, horizontal-flow, and up-flow.

Fluid economizer means an option available with a computer room air conditioner in which a fluid (other than air), cooled externally from the unit, provides cooling of the indoor air to reduce or eliminate unit compressor operation when outdoor temperature is low. The fluid may include, but is not limited to, chilled water, water/glycol solution, or refrigerant. An external fluid cooler such as, but not limited to a dry cooler, cooling tower, or condenser is utilized for heat rejection. This component is sometimes referred to as a free cooling coil, econ-o-coil, or economizer.

Heat Recovery (in the context of variable refrigerant flow multi-split air conditioners or variable refrigerant flow multi-split heat pumps) means that the air conditioner or heat pump is also capable of providing simultaneous heating and cooling operation, where recovered energy from the indoor units operating in one mode can be transferred to one or more other indoor units operating in the other mode. A variable refrigerant flow multi-split heat recovery heat pump is a variable refrigerant flow multi-split heat pump with the addition of heat recovery capability.

Heating seasonal performance factor, or HSPF means the total heating output of a central air-conditioning heat pump during its normal annual usage period for heating, expressed in Btu's and divided by the total electric power input, expressed in watt-hours, during the same period.

Horizontal-flow means a configuration of a floor-mounted computer room air conditioner that is neither a down-flow nor an up-flow unit.

Integrated energy efficiency ratio, or IEER, means a weighted average calculation of mechanical cooling EERs determined for four load levels and corresponding rating conditions, expressed in Btu/watt-hour. IEER is measured:

(1) Per appendix A to this subpart for commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h);

(2) Per appendix C1 to this subpart for water-source heat pumps;

(3) Per appendix D1 to this subpart for variable refrigerant flow multi-split air conditioners and heat pumps (other than air-cooled with rated cooling capacity less than 65,000 Btu/h); and

(4) Per appendix G1 to this subpart for single package vertical air conditioners and single package vertical heat pumps.

Integrated seasonal coefficient of performance 2 or ISCOP2, means a seasonal weighted-average heating efficiency for heat pump dedicated outdoor air systems, expressed in W/W, as measured according to appendix B of this subpart.

Integrated seasonal moisture removal efficiency 2, or ISMRE2, means a seasonal weighted average dehumidification efficiency for dedicated outdoor air systems, expressed in lbs. of moisture/kWh, as measured according to appendix B of this subpart.

Integrated ventilation and heating efficiency, or IVHE, means a sum of the space heating provided (Btu) divided by the sum of the energy consumed (Wh), including mechanical heating, supplementary electric resistance heating, and heating season ventilation operating modes. IVHE with subscript C (IVHEC) refers to the IVHE of heat pumps using a cold-climate heating load line. For air-cooled commercial package air conditioning and heating equipment (excluding equipment with a cooling capacity less than 65,000 Btu/h), IVHE and IVHEC are measured per appendix A1 to this subpart.

Integrated ventilation, economizing, and cooling, or IVEC, means a sum of the space cooling provided (Btu) divided by the sum of the energy consumed (Wh), including mechanical cooling, economizing, and cooling season ventilation operating modes. For commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), IVEC is measured per appendix A1 to this subpart.

Large commercial package air-conditioning and heating equipment means commercial package air-conditioning and heating equipment that is rated—

(1) At or above 135,000 Btu per hour; and

(2) Below 240,000 Btu per hour (cooling capacity).

Net sensible coefficient of performance, or NSenCOP, means a ratio of the net sensible cooling capacity in kilowatts to the total power input in kilowatts for computer room air conditioners, as measured in appendix E1 of this subpart.

Non-standard size means a packaged terminal air conditioner or packaged terminal heat pump with existing wall sleeve dimensions having an external wall opening of less than 16 inches high or less than 42 inches wide, and a cross-sectional area less than 670 square inches.

Packaged terminal air conditioner means a wall sleeve and a separate un-encased combination of heating and cooling assemblies specified by the builder and intended for mounting through the wall, and that is industrial equipment. It includes a prime source of refrigeration, separable outdoor louvers, forced ventilation, and heating availability by builder's choice of hot water, steam, or electricity.

Packaged terminal heat pump means a packaged terminal air conditioner that utilizes reverse cycle refrigeration as its prime heat source, that has a supplementary heat source available, with the choice of hot water, steam, or electric resistant heat, and that is industrial equipment.

Roof-mounted means a configuration of a computer room air conditioner that is not wall-mounted, and for which the unit housing the evaporator coil is configured for outdoor installation.

Seasonal energy efficiency ratio or SEER means the total cooling output of a central air conditioner or central air-conditioning heat pump, expressed in Btu's, during its normal annual usage period for cooling and divided by the total electric power input, expressed in watt-hours, during the same period.

Sensible Coefficient of Performance, or SCOP means the net sensible cooling capacity in watts divided by the total power input in watts (excluding reheaters and humidifiers).

Single package unit means any central air conditioner or central air-conditioning heat pump in which all the major assemblies are enclosed in one cabinet.

Single package vertical air conditioner means:

(1) Air-cooled commercial package air conditioning and heating equipment that—

(i) Is factory-assembled as a single package that—

(A) Has major components that are arranged vertically;

(B) Is an encased combination of cooling and optional heating components; and

(C) Is intended for exterior mounting on, adjacent interior to, or through an outside wall;

(ii) Is powered by a single-or 3-phase current;

(iii) May contain 1 or more separate indoor grilles, outdoor louvers, various ventilation options, indoor free air discharges, ductwork, well plenum, or sleeves; and

(iv) Has heating components that may include electrical resistance, steam, hot water, or gas, but may not include reverse-cycle refrigeration as a heating means; and

(2) Includes single-phase single package vertical air conditioner with cooling capacity less than 65,000 Btu/h, as defined in this section.

Single package vertical heat pump means:

(1) A single package vertical air conditioner that—

(i) Uses reverse-cycle refrigeration as its primary heat source; and

(ii) May include secondary supplemental heating by means of electrical resistance, steam, hot water, or gas; and

(2) Includes single-phase single package vertical heat pump with cooling capacity less than 65,000 Btu/h, as defined in this section.

Single-phase single package vertical air conditioner with cooling capacity less than 65,000 Btu/h means air-cooled commercial package air conditioning and heating equipment that meets the criteria in paragraphs (1)(i) through (iv) of the definition for a single package vertical air conditioner in this section; that is single-phase; has a cooling capacity less than 65,000 Btu/h, and that:

(1) Is weatherized, determined by a model being denoted for “Outdoor Use” or marked as “Suitable for Outdoor Use” on the equipment nameplate; or

(2) Is non-weatherized and is a model that has optional ventilation air provisions available. When such ventilation air provisions are present on the unit, the unit must be capable of drawing in and conditioning outdoor air for delivery to the conditioned space at a rate of at least 400 cubic feet per minute, as determined in accordance with § 429.134(x)(3) of this chapter, while the equipment is operating with the same drive kit and motor settings used to determine the certified efficiency rating of the equipment (as required for submittal to DOE by § 429.43(b)(4)(xi) of this chapter).

Single-phase single package vertical heat pump with cooling capacity less than 65,000 Btu/h means air-cooled commercial package air conditioning and heating equipment that meets the criteria in paragraphs (1)(i) and (ii) of the definition for a single package vertical heat pump in this section; that is single-phase; has a cooling capacity less than 65,000 Btu/h, and that:

(1) Is weatherized, determined by a model being denoted for “Outdoor Use” or marked as “Suitable for Outdoor Use” on the equipment nameplate; or

(2) Is non-weatherized and is a model that has optional ventilation air provisions available. When such ventilation air provisions are present on the unit, the unit must be capable of drawing in and conditioning outdoor air for delivery to the conditioned space at a rate of at least 400 cubic feet per minute, as determined in accordance with § 429.134(x)(3) of this chapter, while the equipment is operating with the same drive kit and motor settings used to determine the certified efficiency rating of the equipment (as required for submittal to DOE by § 429.43(b)(4)(xii) of this chapter).

Small commercial package air-conditioning and heating equipment means commercial package air-conditioning and heating equipment that is rated below 135,000 Btu per hour (cooling capacity).

Small-duct, high-velocity commercial package air conditioning and heating equipment means a basic model of commercial package, split-system air conditioning and heating equipment that:

(1) Has a rated cooling capacity no greater than 65,000 Btu/h;

(2) Is powered by three-phase current;

(3) Is air-cooled; and

(4) Is paired with an indoor unit that:

(i) Includes an indoor blower housed with the coil;

(ii) Is designed for, and produces, at least 1.2 inches of external static pressure when operated at the certified air volume rate of 220-350 CFM per rated ton cooling in the highest default cooling airflow-controls setting; and

(iii) When applied in the field, uses high velocity room outlets generally greater than 1,000 fpm that have less than 6.0 square inches of free area.

Space-constrained commercial package air conditioning and heating equipment means a basic model of commercial package air conditioning and heating equipment (packaged or split) that:

(1) Is air-cooled;

(2) Is powered by three-phase current;

(3) Is not a single package vertical air conditioner or a single package vertical heat pump;

(4) Has a rated cooling capacity no greater than 30,000 Btu/h;

(5) Has an outdoor or indoor unit having at least two overall exterior dimensions or an overall displacement that:

(i) Is substantially smaller than those of other units that are:

(A) Currently usually installed in site-built single-family homes; and

(B) Of a similar cooling, and, if a heat pump, heating capacity; and

(ii) If increased, would certainly result in a considerable increase in the usual cost of installation or would certainly result in a significant loss in the utility of the product to the consumer; and

(6) Of a product type that was available for purchase in the United States as of December 1, 2000.

Split system means any central air conditioner or central air conditioning heat pump in which one or more of the major assemblies are separate from the others.

Standard size means a packaged terminal air conditioner or packaged terminal heat pump with wall sleeve dimensions having an external wall opening of greater than or equal to 16 inches high or greater than or equal to 42 inches wide, and a cross-sectional area greater than or equal to 670 square inches.

Unitary dedicated outdoor air system, or unitary DOAS, means a category of small, large, or very large commercial package air-conditioning and heating equipment that is capable of providing ventilation and conditioning of 100-percent outdoor air and is marketed in materials (including but not limited to, specification sheets, insert sheets, and online materials) as having such capability.

Up-flow means a configuration of a floor-mounted computer room air conditioner in which return air enters below the bottom of the evaporator coil and discharge air leaves above the top of the evaporator coil.

Up-flow ducted means a configuration of an up-flow computer room air conditioner that is configured for use with discharge ducting (even if the unit is also configurable for use without discharge ducting).

Up-flow non-ducted means a configuration of an up-flow computer room air conditioner that is configured only for use without discharge ducting.

Variable Refrigerant Flow Multi-Split Air Conditioner means a unit of commercial package air-conditioning and heating equipment that is configured as a split system air conditioner incorporating a single refrigerant circuit, with one or more outdoor units, at least one variable-speed compressor or an alternate compressor combination for varying the capacity of the system by three or more steps, and multiple indoor fan coil units, each of which is individually metered and individually controlled by an integral control device and common communications network and which can operate independently in response to multiple indoor thermostats. Variable refrigerant flow implies three or more steps of capacity control on common, inter-connecting piping.

Variable Refrigerant Flow Multi-Split Heat Pump means a unit of commercial package air-conditioning and heating equipment that is configured as a split system heat pump that uses reverse cycle refrigeration as its primary heating source and which may include secondary supplemental heating by means of electrical resistance, steam, hot water, or gas. The equipment incorporates a single refrigerant circuit, with one or more outdoor units, at least one variable-speed compressor or an alternate compressor combination for varying the capacity of the system by three or more steps, and multiple indoor fan coil units, each of which is individually metered and individually controlled by a control device and common communications network and which can operate independently in response to multiple indoor thermostats. Variable refrigerant flow implies three or more steps of capacity control on common, inter-connecting piping.

Ventilation energy recovery system, or VERS, means a system that preconditions outdoor ventilation air entering the equipment through direct or indirect thermal and/or moisture exchange with the exhaust air, which is defined as the building air being exhausted to the outside from the equipment.

Very large commercial package air-conditioning and heating equipment means commercial package air-conditioning and heating equipment that is rated—

(1) At or above 240,000 Btu per hour; and

(2) Below 760,000 Btu per hour (cooling capacity).

Wall-mounted means a configuration of a computer room air conditioner for which the unit housing the evaporator coil is configured for installation on or through a wall.

Water-source heat pump means commercial package air-conditioning and heating equipment that is a single-phase or three-phase reverse-cycle heat pump that uses a circulating water loop as the heat source for heating and as the heat sink for cooling. The main components are a compressor, refrigerant-to-water heat exchanger, refrigerant-to-air heat exchanger, refrigerant expansion devices, refrigerant reversing valve, and indoor fan (except that coil-only units do not include an indoor fan). Such equipment includes, but is not limited to, water-to-air water-loop heat pumps.

(a) All basic models of commercial package air conditioning and heating equipment must be tested for performance using the applicable DOE test procedure in § 431.96, be compliant with the applicable standards set forth in paragraphs (b) through (i) of this section, and be certified to the Department under 10 CFR part 429.

(b) Each air-cooled commercial package air conditioning and heating equipment (excluding air-cooled equipment with cooling capacity less than 65,000 Btu/h and double-duct air conditioners or heat pumps) manufactured on or after January 1, 2023, and before January 1, 2029, must meet the applicable minimum energy efficiency standard level(s) set forth in table 1 to this paragraph (b). Each air-cooled commercial package air conditioning and heating equipment (excluding air-cooled equipment with cooling capacity less than 65,000 Btu/h and double-duct air conditioners or heat pumps) manufactured on or after January 1, 2029, must meet the applicable minimum energy efficiency standard level(s) set forth in table 2 to this paragraph (b). Each water-cooled commercial package air conditioning and heating equipment manufactured on or after the compliance date listed in table 3 to this paragraph (b) must meet the applicable minimum energy efficiency standard level(s) set forth in table 3. Each evaporatively-cooled commercial air conditioning and heating equipment manufactured on or after the compliance date listed in table 4 to this paragraph (b) must meet the applicable minimum energy efficiency standard level(s) set forth in table 4. Each double-duct air conditioner or heat pump manufactured on or after January 1, 2010, must meet the applicable minimum energy efficiency standard level(s) set forth in table 5 to this paragraph (b).

(c) Each water-source heat pump manufactured starting on the compliance date listed in table 6 to this paragraph (c) must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (c).

(d) Each non-standard size packaged terminal air conditioner (PTAC) and packaged terminal heat pump (PTHP) manufactured on or after October 7, 2010, must meet the applicable minimum energy efficiency standard level(s) set forth in table 7 to this paragraph (d). Each standard size PTAC manufactured on or after October 8, 2012, and before January 1, 2017, must meet the applicable minimum energy efficiency standard level(s) set forth in table 7. Each standard size PTHP manufactured on or after October 8, 2012, must meet the applicable minimum energy efficiency standard level(s) set forth in table 7. Each standard size PTAC manufactured on or after January 1, 2017, must meet the applicable minimum energy efficiency standard level(s) set forth in table 8 to this paragraph (d).

(e)(1) Each single package vertical air conditioner and single package vertical heat pump manufactured on or after January 1, 2010, but before October 9, 2015 (for models ≥65,000 Btu/h and <135,000 Btu/h), or October 9, 2016 (for models ≥135,000 Btu/h and <240,000 Btu/h), must meet the applicable minimum energy conservation standard level(s) set forth in this paragraph (e)(1).

(2) Each single package vertical air conditioner and single package vertical heat pump manufactured on and after October 9, 2015 (for models ≥65,000 Btu/h and <135,000 Btu/h), or October 9, 2016 (for models ≥135,000 Btu/h and <240,000 Btu/h), but before September 23, 2019, must meet the applicable minimum energy conservation standard level(s) set forth in this paragraph (e)(2).

(3) Each single package vertical air conditioner and single package vertical heat pump manufactured on and after September 23, 2019, must meet the applicable minimum energy conservation standard level(s) set forth in this paragraph (e)(3).

(f)(1) Each computer room air conditioner with a net sensible cooling capacity less than 65,000 Btu/h manufactured on or after October 29, 2012, and before May 28, 2024 and each computer room air conditioner with a net sensible cooling capacity greater than or equal to 65,000 Btu/h and less than 760,000 Btu/h manufactured on or after October 29, 2013, and before May 28, 2024 must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (f)(1).

(2) Each computer room air conditioner manufactured on or after May 28, 2024, must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (f)(2).

(g)(1) Each variable refrigerant flow air conditioner or heat pump manufactured on or after the compliance date listed in table 15 to this paragraph (g)(1) and prior to January 1, 2024, must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (g)(1).

(2) Each variable refrigerant flow air conditioner or heat pump (except air-cooled systems with cooling capacity less than 65,000 Btu/h) manufactured on or after January 1, 2024, must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (g)(2).

(h) Each direct expansion-dedicated outdoor air system manufactured on or after the compliance date listed in table 17 to this paragraph (h) must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (h).

(i) Air-cooled, three-phase, commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase variable refrigerant flow multi-split air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h manufactured on or after the compliance date listed in tables 18 and 19 to this paragraph (i) must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (i).

DOE incorporated by reference in § 431.95, the entire standard for AHRI 340/360-2022 and ANSI/ASHRAE 37-2009. However, certain enumerated provisions of AHRI 340/360-2022 and ANSI/ASHRAE 37-2009, as set forth in this section 1 are inapplicable. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

1.1. AHRI 340/360-2022:

(a) Section 1 Purpose is inapplicable,

(b) Section 2 Scope is inapplicable,

(c) The following subsections of Section 3 Definitions are inapplicable: 3.2 (Basic Model), 3.4 (Commercial and Industrial Unitary Air-conditioning Equipment), 3.5 (Commercial and Industrial Unitary Heat Pump), 3.7 (Double-duct System), 3.8 (Energy Efficiency Ratio (EER)), 3.12 (Heating Coefficient of Performance (COPH)), 3.14 (Integrated Energy Efficiency Ratio (IEER)), 3.23 (Published Rating), 3.26 (Single Package Air-Conditioners), 3.27 (Single Package Heat Pumps), 3.29 (Split System Air-conditioners), 3.30 (Split System Heat Pump), 3.36 (Year Round Single Package Air-conditioners),

(d) Section 7 Minimum Data Requirements for Published Ratings is inapplicable,

(e) Section 8 Operating Requirements is inapplicable,

(f) Section 9 Marking and Nameplate Data is inapplicable,

(g) Section 10 Conformance Conditions is inapplicable,

(h) Appendix B References—Informative is inapplicable,

(i) Appendix D Unit Configuration for Standard Efficiency Determination—Normative is inapplicable,

(j) Appendix F International Rating Conditions—Normative is inapplicable,

(k) Appendix G Examples of IEER Calculations—Informative is inapplicable,

(l) Appendix H Example of Determination of Fan and Motor Efficiency for Non-standard Integrated Indoor Fan and Motors—Informative is inapplicable, and

(m) Appendix I Double-duct System Efficiency Metrics with Non-Zero Outdoor Air External Static Pressure (ESP)—Normative is inapplicable.

1.2. ANSI/ASHRAE 37-2009:

(a) Section 1 Purpose is inapplicable

(b) Section 2 Scope is inapplicable, and

(c) Section 4 Classifications is inapplicable.

Determine the applicable energy efficiency metrics (IEER, EER, and COP) in accordance with this appendix and the applicable sections of AHRI 340/360-2022 and ANSI/ASHRAE 37-2009.

Section 3 of this appendix provides additional instructions for testing. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 340/360-2022, followed by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced document by the standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE.

The following conditions specified in Table 6 of AHRI 340/360-2022 apply when testing to certify to the energy conservation standards in § 431.97. For cooling mode tests for equipment subject to standards in terms of EER, test using the “Standard Rating Conditions Cooling”. For cooling mode tests for equipment subject to standards in terms of IEER, test using the “Standard Rating Conditions Cooling” and the “Standard Rating Part-Load Conditions (IEER)”. For heat pump heating mode tests for equipment subject to standards in terms of COP, test using the “Standard Rating Conditions (High Temperature Steady State Heating)”.

For equipment subject to standards in terms of EER, representations of IEER made using the “Standard Rating Part-Load Conditions (IEER)” in Table 6 of AHRI 340/360-2022 are optional. For equipment subject to standards in terms of IEER, representations of EER made using the “Standard Rating Conditions Cooling” in Table 6 of AHRI 340/360-2022 are optional. Representations of COP made using the “Standard Rating Conditions (Low Temperature Steady State Heating)” in Table 6 of AHRI 340/360-2022 are optional and are not to be used as the basis for determining compliance with energy efficiency standards in terms of COP.

DOE incorporated by reference in § 431.95, the entire standard for AHRI 1340-2023 and ANSI/ASHRAE 37-2009. However, certain enumerated provisions of AHRI 1340-2023 and ANSI/ASHRAE 37-2009, as listed in this section 1 are inapplicable. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

1.1. AHRI 1340-2023:

(a) Section 1 Purpose is inapplicable,

(b) Section 2 Scope is inapplicable,

(c) The following subsections of section 3 Definitions are inapplicable: 3.2.2 (Barometric Relief Damper), 3.2.3 (Basic Model), 3.2.5 (Commercial and Industrial Unitary Air-conditioner and Heat Pump Equipment), 3.2.5.1 (Commercial and Industrial Unitary Air-Conditioning System), 3.2.5.2 (Commercial and Industrial Unitary Heat Pump System), 3.2.7 (Double-duct System), 3.2.9 (Desiccant Dehumidification Component), 3.2.10 (Drain Pan Heater), 3.2.11.1 (Air Economizer), 3.2.12 (Energy Efficiency Ratio 2), 3.2.13 (Evaporative Cooling), 3.2.13.1 (Direct Evaporative Cooling System), 3.2.13.2 (Indirect Evaporative Cooling System), 3.2.14 (Fresh Air Damper), 3.2.15 (Fire, Smoke, or Isolation Damper), 3.2.17 (Hail Guard), 3.2.19 (Heating Coefficient of Performance 2 (COP2H)), 3.2.20 (High-Effectiveness Indoor Air Filtration), 3.2.22 (Indoor Single Package Air-conditioners), 3.2.23 (Integrated Ventilation, Economizing, and Cooling Efficiency (IVEC)), 3.2.34 (Integrated Ventilation and Heating Efficiency (IVHE)), 3.2.29 (Non-standard Ducted Condenser Fan), 3.2.31.2 (Boost2 Heating Operating Level (B2)), 3.2.34 (Power Correction Capacitor), 3.2.35 (Powered Exhaust Air Fan), 3.2.36 (Powered Return Air Fan), 3.2.37 (Process Heat Recovery, Reclaim, or Thermal Storage Coil), 3.2.38 (Published Rating), 3.2.41 (Refrigerant Reheat Coil), 3.2.42 (Single Package Air-conditioner), 3.2.43 (Single Package Heat Pumps), 3.2.44 (Single Package System), 3.2.45 (Sound Trap), 3.2.46 (Split System), 3.2.51 (Steam or Hydronic Heat Coils), 3.2.53 (UV Lights), 3.2.55 (Ventilation Energy Recovery System (VERS)), 3.2.56 (Year Round Single Package Air-conditioner), 3.2.57 (Year Round Single Package Heat Pump),

(d) Subsection 5.2 (Optional System Features) of section 5 Test Requirements is inapplicable,

(e) The following subsections of section 6 Rating Requirements are inapplicable: 6.4 (Rating Values), 6.5 (Uncertainty), and 6.6 (Verification Testing),

(f) Section 7 Minimum Data Requirements for Published Ratings is inapplicable,

(g) Section 8 Operating Requirements is inapplicable,

(h) Section 9 Marking and Nameplate Data is inapplicable,

(i) Section 10 Conformance Conditions is inapplicable,

(j) Appendix B References—Informative is inapplicable,

(k) Sections D.1 (Purpose) and D.2 (Configuration Requirements) of Appendix D Unit Configuration for Standard Efficiency Determination—Normative are inapplicable,

(l) Appendix F International Rating Conditions—Normative is inapplicable,

(m) Appendix G Example of Determination of Fan and Motor Efficiency for Non-standard Integrated Indoor Fan and Motors—Informative is inapplicable, and

(n) Appendix H Determination of Low-temperature Cut-in and Cut-out Temperatures—Normative is inapplicable.

1.2. ANSI/ASHRAE 37-2009:

(a) Section 1 Purpose is inapplicable

(b) Section 2 Scope is inapplicable, and

(c) Section 4 Classifications is inapplicable.

For air conditioners and heat pumps, determine IVEC and IVHE (as applicable) in accordance with this appendix and the applicable sections of AHRI 1340-2023 and ANSI/ASHRAE 37-2009. Representations of energy efficiency ratio 2 (EER2) and IVHEC may optionally be made. Representations of coefficient of performance 2 (COP2) at 5 °F, 17 °F, and 47 °F may optionally be made.

Sections 3 and 4 of this appendix provide additional instructions for testing. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 1340-2023, followed by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced document by the standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE.

The following conditions specified in AHRI 1340-2023 apply when testing to certify to the energy conservation standards in § 431.97. For cooling mode, use the rating conditions in Table 7 of AHRI 1340-2023. For heat pump heating mode tests, use the rating conditions in Table 23 of AHRI 1340-2023 and the IVHE building load profile in Table 22 of AHRI 1340-2023.

Representations of EER2 made using the “Cooling Bin A” conditions in Table 7 of AHRI 1340-2023 are optional. Representations of IVHEC made using the IVHEC Cold Climate building load profile in Table 22 of AHRI 1340-2023 are optional. Representations of COP247, COP217, and COP25 are optional.

Where equations 8, 10, 11, and 13 to AHRI 1340-2023 call for using the cooling tower fan and condenser water pump power rate (TFPPR) for the cooling bin specified in Table 7 to AHRI 1340-2023, instead use the TFPPR value for the cooling bin specified in table 1 to this appendix. Where equation 22 to AHRI 1340-2023 calls for using a value of 0.0094 W/(Btu/h) for TFPPR, instead use a value of 0.0102 W/(Btu/h).

In place of the boost2 heating operating level definition in section 3.2.31.2 of AHRI 1340-2023, use the following definition: An operating level allowed by the controls at 5.0 °F outdoor dry-bulb temperature with a capacity at 5.0 °F outdoor dry-bulb temperature that is less than or equal to the maximum capacity allowed by the controls at 5.0 °F outdoor dry-bulb temperature and greater than the capacity of:

(a) The boost heating operating level at 5.0 °F outdoor dry-bulb temperature, if there is an operating level that meets the definition for boost heating operating level specified in section 3.2.31.1 of AHRI 1340-2023; or

(b) The high heating operating level at 5.0 °F outdoor dry-bulb temperature, if there is not an operating level that meets the definition for boost heating operating level specified in section 3.2.31.1 of AHRI 1340-2023.

In place of the third to last paragraph of section 6.3.6 of AHRI 1340-2023, use the following provisions.

Run the H5B2 test in Table 23 of AHRI 1340-2023 only if there is an operating level allowed by the controls at 5.0 °F that meets the definition of the boost2 heating operating level specified in section 5.1 of this appendix, and the H5B2 test is being used to determine the capacity at 5.0 °F outdoor dry-bulb temperature and/or COP25.

If the unit has a boost heating operating level, run the H5B2 test in Table 23 of AHRI 1340-2023 with an operating level allowed by the controls at 5.0 °F outdoor dry-bulb temperature that has a capacity at 5.0 °F outdoor dry-bulb temperature that is greater than the capacity of the boost heating operating level at 5.0 °F outdoor dry-bulb temperature and less than or equal to the maximum capacity allowed by the controls at 5.0 °F outdoor dry-bulb temperature.

If the unit does not have a boost heating operating level, run the H5B2 test in Table 23 of AHRI 1340-2023 with an operating level allowed by the controls at 5.0 °F outdoor dry-bulb temperature that has a capacity at 5.0 °F outdoor dry-bulb temperature that is greater than the capacity of the high heating operating level at 5.0 °F outdoor dry-bulb temperature and less than or equal to the maximum capacity allowed by the controls at 5.0 °F outdoor dry-bulb temperature. Use the indoor airflow that is used by the controls at 5.0 °F outdoor dry-bulb temperature when operating at the chosen operating level.

The H5B2 test shall not be used in the calculation of IVHE or IVHEC.

Any references to COP2H in AHRI 1340-2023 shall be considered synonymous with COP2 as defined in § 431.92. In place of section 6.3.14.2 of AHRI 1340-2023, use the following provisions.

To determine COP247, use capacity and power determined for the H47H test.

To determine COP217, the following provisions apply. For units without a boost heating operating level, use capacity and power determined for the H17H test. For units with a boost operating level, use capacity and power determined for the H17B test.

To determine COP25, the following provisions apply. For units without a boost heating operating level and without a boost2 heating operating level, use capacity and power determined for the H5H test. For units with a boost heating operating level and without a boost2 heating operating level, use capacity and power determined for the H5B test. For units with a boost2 heating operating level, use capacity and power determined for the H5B2 test.

When testing equipment that includes any of the features listed in table 2 to this appendix, test in accordance with the set-up and test provisions specified in table 2.

DOE incorporated by reference in § 431.95, the entire standard for AHRI 920-2020, AHRI 1060-2018; ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013. However, only enumerated provisions of AHRI 920-2020, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013, as listed in this section 1 are required. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

(a) Section 3—Definitions, as specified in section 2.2.1(a) of this appendix;

(b) Section 5—Test Requirements, as specified in section 2.2.1(b) of this appendix;

(c) Section 6—Rating Requirements, as specified in section 2.2.1(c) of this appendix, omitting section 6.1.2 (but retaining sections 6.1.2.1-6.1.2.8) and 6.6.1;

(d) Section 11—Symbols and Subscripts, as specified in section 2.2.1(d) of this appendix;

(e) Appendix A—References—Normative, as specified in section 2.2.1(e) of this appendix; and

(f) Appendix C—ANSI/ASHRAE Standard 198 and ANSI/ASHRAE Standard 37 Additions, Clarifications and Exceptions—Normative, as specified in section 2.2.1(f) of this appendix.

(a) Section 5.1—Temperature Measuring Instruments (excluding sections 5.1.1 and 5.1.2), as specified in sections 2.2.1(b) and (f) of this appendix;

(b) Section 5.2—Refrigerant, Liquid, and Barometric Pressure Measuring Instruments, as specified in section 2.2.1(b) of this appendix;

(c) Sections 5.3—Air Differential Pressure and Airflow Measurements, as specified in section 2.2.1(b) of this appendix;

(d) Sections 5.5(b)—Volatile Refrigerant Measurement, as specified in section 2.2.1(b) of this appendix;

(e) Section 6.1—Enthalpy Apparatus (excluding 6.1.1 and 6.1.3 through 6.1.6), as specified in section 2.2.1(b) of this appendix;

(f) Section 6.2—Nozzle Airflow Measuring Apparatus, as specified in section 2.2.1(b) of this appendix;

(g) Section 6.3—Nozzles, as specified in section 2.2.1(b) of this appendix;

(h) Section 6.4—External Static Pressure Measurements, as specified in section 2.2.1(b) of this appendix;

(i) Section 6.5—Recommended Practices for Static Pressure Measurements, as specified in section 2.2.1(f) of this appendix;

(j) Section 7.3—Indoor and Outdoor Air Enthalpy Methods, as specified in section 2.2.1(f) of this appendix;

(k) Section 7.4—Compressor Calibration Method, as specified in section 2.2.1(f) of this appendix;

(l) Section 7.5—Refrigerant Enthalpy Method, as specified in section 2.2.1(f) of this appendix;

(m) Section 7.6—Outdoor Liquid Coil Method, as specified in section 2.2.1(f) of this appendix;

(n) Section 7.7—Airflow Rate Measurement (excluding sections 7.7.1.2, 7.7.3, and 7.7.4), as specified in section 2.2.1(b) of this appendix;

(o) Table 1—Applicable Test Methods, as specified in section 2.2.1(f) of this appendix;

(p) Section 8.6—Additional Requirements for the Outdoor Air Enthalpy Method, as specified in section 2.2.1(f) of this appendix;

(q) Table 2b—Test Tolerances (I-P Units), as specified in sections 2.2.1(c) and 2.2(f) of this appendix; and

(r) Errata sheet issued on October 3, 2016, as specified in section 2.2.1(f) of this appendix.

(a) Section 4—Classifications, as specified in section 2.2.1(f) of this appendix;

(b) Section 5—Requirements, as specified in section 2.2.1(f) of this appendix;

(c) Section 6—Instruments and Calibration, as specified in section 2.2.1(f) of this appendix;

(d) Section 7.1—Standard Method Using the Cooled-Surface Condensation Hygrometer as specified in section 2.2.1(f) of this appendix; and

(e) Section 7.4—Electronic and Other Humidity Instruments. As specified in section 2.2.1(f) of this appendix.

(a) Section 4.4—Temperature Measuring Instrument, as specified in section 2.2.1(b) of this appendix;

(b) Section 4.5—Electrical Instruments, as specified in section 2.2.1(b) of this appendix;

(c) Section 4.6—Liquid Flow Measurement, as specified in section 2.2.1(b) of this appendix;

(d) Section 4.7—Time and Mass Measurements, as specified in section 2.2.1(b) of this appendix;

(e) Section 6.1—Test Room Requirements, as specified in section 2.2.1(b) of this appendix;

(f) Section 6.6—Unit Preparation, as specified in section 2.2.1(b) of this appendix;

(g) Section 7.1—Preparation of the Test Room(s), as specified in section 2.2.1(b) of this appendix;

(h) Section 7.2—Equipment Installation, as specified in section 2.2.1(b) of this appendix;

(i) Section 8.2—Equilibrium, as specified in section 2.2.1(b) of this appendix; and

(j) Section 8.4—Test Duration and Measurement Frequency, as specified in section 2.2.1(b) of this appendix.

Moisture removal capacity (in pounds per hour) and supply airflow rate (in standard cubic feet per minute) are determined according to AHRI 920-2020 as specified in section 2.2 of this appendix.

2.2.1. Determine the ISMRE2 for all DX-DOASes and the ISCOP2 for all heat pump DX-DOASes in accordance with the following sections of AHRI 920-2020 and the additional provisions described in this section.

(a) Section 3—Definitions, including the references to AHRI 1060-2018;

(i) Non-standard Low-static Fan Motor. A supply fan motor that cannot maintain external static pressure as high as specified in Table 7 of AHRI 920-2020 when operating at a manufacturer-specified airflow rate and that is distributed in commerce as part of an individual model within the same basic model of a DX-DOAS that is distributed in commerce with a different motor specified for testing that can maintain the required external static pressure.

(ii) Manufacturer-specified. Information provided by the manufacturer through manufacturer's installation instructions, as defined in Section 3.14 of AHRI 920-2020.

(iii) Reserved

(b) Section 5—Test Requirements, including the references to Sections 5.1, 5.2, 5.3, 5.5, 6.1, 6.2, 6.3, 6.4, and 7.7 (not including Sections 7.7.1.2, 7.7.3, and 7.7.4) of ANSI/ASHRAE 37-2009, and Sections 4.4, 4.5, 4.6, 4.7, 5.1, 6.1, 6.6, 7.1, 7.2, 8.2, and 8.4 of ANSI/ASHRAE 198-2013;

(i) All control settings are to remain unchanged for all Standard Rating Conditions once system set up has been completed, except as explicitly allowed or required by AHRI 920-2020 or as indicated in the supplementary test instructions (STI). Component operation shall be controlled by the unit under test once the provisions in section 2.2.1(c) of this appendix are met.

(ii) Break-in. The break-in conditions and duration specified in section 5.6 of AHRI 920-2020 shall be manufacturer-specified values.

(iii) Reserved

(c) Section 6—Rating Requirements (omitting sections 6.1.2 and 6.6.1), including the references to Table 2b of ANSI/ASHRAE 37-2009, and ANSI/ASHRAE 198-2013.

(i) For water-cooled DX-DOASes, the “Condenser Water Entering Temperature, Cooling Tower Water” conditions specified in Table 4 of AHRI 920-2020 shall be used. For water-source heat pump DX-DOASes, the “Water-Source Heat Pumps” conditions specified in Table 5 of AHRI 920-2020 shall be used.

(ii) For water-cooled or water-source DX- DOASes with integral pumps, set the external head pressure to 20 ft. of water column, with a −0/+1 ft. condition tolerance and a 1 ft. operating tolerance.

(iii) When using the degradation coefficient method as specified in Section 6.9.2 of AHRI 920-2020, Equation 20 applies to DX- DOAS without VERS, with deactivated VERS (see Section 5.4.3 of AHRI 920-2020), or sensible-only VERS tested under Standard Rating Conditions other than D.

(iv) Rounding requirements for representations are to be followed as stated in Sections 6.1.2.1 through 6.1.2.8 of AHRI 920-2020;

(d) Section 11—Symbols and Subscripts, including references to AHRI 1060-2018;

(e) Appendix A—References—Normative;

(f) Appendix C—ANSI/ASHRAE 198-2013 and ANSI/ASHRAE 37 Additions, Clarifications and Exceptions—Normative, including references to Sections 5.1, 6.5, 7.3, 7.4, 7.5, 7.6, 8.6, Table 1, Table 2b, and the errata sheet of ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, Sections 4, 5, 6, 7.1, and 7.4 of ANSI/ASHRAE 41.6-2014, and AHRI 1060-2018;

(g) Appendix E—Typical Test Unit Installations—Informative, for information only.

2.2.2. Set-Up and Test Provisions for Specific Components. When testing a DX-DOAS that includes any of the features listed in Table 2.1 of this section, test in accordance with the set-up and test provisions specified in Table 2.1 of this section.

2.2.3. Optional Representations. Test provisions for the determination of the metrics indicated in paragraphs (a) through (d) of this section are optional and are determined according to the applicable provisions in section 2.2.1 of this appendix. The following metrics in AHRI 920-2020 are optional:

(a) ISMRE270;

(b) COPFull,x:

(c) COPDOAS,x: and

(d) ISMRE2 and ISCOP2 for water-cooled DX-DOASes using the “Condenser Water Entering Temperature, Chilled Water” conditions specified in Table 4 of AHRI 920-2020 and for water-source heat pump DX-DOASes using the “Water-Source Heat Pump, Ground-Source Closed Loop” conditions specified in Table 5 of AHRI 920-2020.

(a) Any references to energy recovery or energy recovery ventilator (ERV) in AHRI 920-2020 and ANSI/ASHRAE 198-2013 shall be considered synonymous with ventilation energy recovery system (VERS) as defined in § 431.92.

(b) Reserved

DOE incorporated by reference in § 431.95, the entire standard for ISO 13256-1:1998. To the extent there is a conflict between the terms or provisions of a referenced industry standard and this appendix, the appendix provisions control.

Determine the energy efficiency ratio (EER) and coefficient of performance (COP) in accordance with ISO 13256-1:1998.

Section 3 of this appendix provides additional instructions for determining EER and COP.

The only additional specifications that may be used in setting up the basic model for testing are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Sections 3.1 through 3.2 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals.

3.1. If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value must be used.

3.2. The airflow rate used for testing must be that set forth in the installation and operation manuals being shipped to the commercial customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a rated airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton must be used.

DOE incorporated by reference in § 431.95 the entire standards for AHRI 600-2023, ANSI/ASHRAE 37-2009 (as corrected by the Errata sheet for ANSI/ASHRAE 37-2009), and Melinder 2010. However, certain enumerated provisions of AHRI 600-2023 and ASHRAE 37-2009, as listed in this section 1, are inapplicable.

To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

(a) Section 1 Purpose is inapplicable,

(b) Section 2 Scope is inapplicable,

(c) The following subsections of section 3 Definitions are inapplicable:

(1) 3.2.1 (Air Economizer),

(2) 3.2.3 (Barometric Relief Dampers),

(3) 3.2.4 (Basic Model),

(4) 3.2.5 (Coated Coils),

(5) 3.2.6 (Coefficients of Performance),

(6) 3.2.9 (Condenser Pump/Valves/Fittings),

(7) 3.2.10 (Condenser Water Reheat),

(8) 3.2.13 (Desiccant Dehumidification Components),

(9) 3.2.14 (Desuperheater),

(10) 3.2.15.1 (Energy Efficiency Ratio),

(11) 3.2.16 (Evaporative Cooling of Ventilation Air),

(12) 3.2.17 (Fire/Smoke/Isolation Dampers),

(13) 3.2.19 (Fresh Air Dampers),

(14) 3.2.21 (Grill Options),

(15) 3.2.23 (High-effectiveness Indoor Air Filtration),

(16) 3.2.24 (Hot Gas Bypass),

(17) 3.2.27 (Integrated Energy Efficiency Ratio),

(18) 3.2.28 (Low-static Heat Pump),

(19) 3.2.35 (Power Correction Capacitors),

(20) 3.2.36 (Powered Exhaust Air Fan),

(21) 3.2.37 (Powered Return Air Fan),

(22) 3.2.38 (Process Heat Recovery/Reclaim Coils/Thermal Storage),

(23) 3.2.40 (Published Rating),

(24) 3.2.42 (Refrigerant Reheat Coils),

(25) 3.2.43 (Single Package Heat Pumps),

(26) 3.2.44 (Sound Traps/Sound Attenuators),

(27) 3.2.45 (Split System Heat Pump),

(28) 3.2.51 (Steam/Hydronic Heat Coils),

(29) 3.2.53 (UV Lights),

(30) 3.2.54 (Ventilation Energy Recovery System),

(31) 3.2.55 (Water/Brine to Air Heat Pump Equipment), and

(32) 3.2.56 (Waterside Economizer),

(d) The following subsections of section 6 Rating Requirements are inapplicable:

(1) 6.5 (Residential Cooling Capacity and Efficiency),

(2) 6.6 (Residential Heating Capacity and Efficiency),

(3) 6.7 (Test Data vs Computer Simulation),

(4) 6.8 (Rounding and Precision),

(5) 6.9 (Uncertainty), and

(6) 6.10 (Verification Testing),

(e) Section 7 Minimum Data Requirements for Published Ratings is inapplicable

(f) Section 8 Operating Requirements is inapplicable,

(g) Section 9 Marking and Nameplate Data is inapplicable,

(h) Section 10 Conformance Conditions is inapplicable,

(i) Appendix B References—Informative is inapplicable,

(j) Sections D.1 (Purpose), D.2 (Configuration Requirements), and D.3 (Optional System Features) of Appendix D Unit Configuration For Standard Efficiency Determination—Normative are inapplicable, and

(k) Appendix F Example of Determination of Fan and Motor Efficiency for Non-standard Integrated Indoor Fan and Motors—Informative is inapplicable.

(a) Section 1 Purpose is inapplicable.

(b) Section 2 Scope is inapplicable.

(c) Section 4 Classification is inapplicable.

Determine integrated energy efficiency ratio (IEER) and heating applied coefficient of performance (ACOP) in accordance with this appendix and the applicable sections of AHRI 600-2023, ANSI/ASHRAE 37-2009, and Melinder 2010. Representations of AEER, EER, and COP may optionally be made.

Section 3 of this appendix provides additional instructions for testing. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 600-2023, followed by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced document by the standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE. Material is incorporated as it exists on the date of the approval, and a notification of any change in the incorporation must be published in the Federal Register.

When testing a water-source heat pump that includes any of the features listed in table 1 to this appendix, test in accordance with the setup and test provisions specified in table 1 to this appendix.

DOE incorporated by reference in § 431.95, the entire standard for ANSI/AHRI 1230-2010. However, enumerated provisions of ANSI/AHRI 1230-2010, as listed in this section 1, are excluded. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

(a) Section 5.1.2—Manufacturer involvement.

(b) Section 6.6—Verification testing and uncertainty is inapplicable as specified in section 2.2 of this appendix.

2. General. Determine the energy efficiency ratio (EER) and coefficient of performance (COP) (as applicable) in accordance with ANSI/AHRI 1230-2010.

3. Optional break-in period. Manufacturers may optionally specify a “break-in” period, not to exceed 20 hours, to operate the equipment under test prior to conducting the test method specified in this appendix. A manufacturer who elects to use an optional compressor break-in period in its certification testing should record this period's duration as part of the information in the supplemental testing instructions under 10 CFR 429.43.

4. Refrigerant line length corrections. For test set-ups where it is physically impossible for the laboratory to use the required line length listed in Table 3 of the ANSI/AHRI 1230-2010, then the actual refrigerant line length used by the laboratory may exceed the required length and the following cooling capacity correction factors are applied:

5. Additional provisions for equipment set-up. The only additional specifications that may be used in setting up the basic model for test are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Sections 5.1 through 5.3 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals.

5.1. If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value must be used.

5.2. The airflow rate used for testing must be that set forth in the installation and operation manual being shipped to the commercial customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a rated airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton must be used.

5.3. The test set-up and the fixed compressor speeds (i.e., the maximum, minimum, and any intermediate speeds used for testing) should be recorded and maintained as part of the test data underlying the certified ratings that is required to be maintained under 10 CFR 429.71.

6. Manufacturer involvement in assessment or enforcement testing. A manufacturer's representative will be allowed to witness assessment and/or enforcement testing for variable refrigerant flow multi-split air conditioners and heat pumps. The manufacturer's representative will be allowed to inspect and discuss set-up only with a DOE representative. During testing, the manufacturer's representative may adjust only the modulating components that are necessary to achieve steady-state operation in the presence of a DOE representative. Only previously documented specifications for set-up as specified under sections 4 and 5 of this appendix will be used.

DOE incorporated by reference in § 431.95, the entire standard for AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as corrected by the Errata sheet for ANSI/ASHRAE 37-2009 issued on March 27, 2019 (“ANSI/ASHRAE 37-2009 (as corrected)”). However, only enumerated provisions of AHRI 1230-2021 and ANSI/ASHRAE 37-2009 are required or excluded, as listed in this section 1. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

(a) Section 3—Definitions, except section 3.11, as specified in section 2 of this appendix,

(b) Section 5—Test Requirements, except section 5.1.2, as specified in sections 2 and 5.1 of this appendix,

(c) Section 6—Rating Requirements, except sections 6.3.3 and 6.5, as specified in sections 2, 4.1, 4.1.1, 4.2, 4.2.1, and 5.1 of this appendix,

(d) Section 11—Calculations is applicable as specified in sections 2, 5.2.1.2, and 5.2.2 of this appendix,

(e) Section 12—Symbols, Subscripts, and Superscripts as specified in section 2 of this appendix,

(f) Appendix E—ANSI/ASHRAE Standard 37-2009 Clarifications/Exceptions—Normative as specified in section 2 of this appendix.

(a) Section 1—Purpose,

(b) Section 2—Scope, and

(c) Section 4—Classification.

2. General. Determine IEER and coefficient of performance (COP) (as applicable) in accordance with AHRI 1230-2021 and ANSI/ASHRAE 37-2009 (as corrected). Sections 3 through 5 of this appendix provide additional instructions for determining IEER and COP. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 1230-2021, followed by ANSI/ASHRAE 37-2009 (as corrected).

3.1. Critical Parameter(s) are the following settings of modulating components of variable refrigerant flow multi-split air conditioners and heat pumps: compressor speed(s), outdoor fan speed(s), and outdoor variable valve position(s).

4.1 Test Conditions for Air-Cooled VRF Multi-split Systems with Rated Cooling Capacity Greater Than 65,000 Btu/h. When testing to certify to the energy conservation standards in § 431.97, test using the “Standard Rating Conditions, Cooling” and “Standard Rating Part-Load Conditions (IEER)” conditions for cooling mode tests and “Standard Rating Conditions (High Temperature Steady-state Test for Heating)” conditions for heat pump heating mode tests, as specified in Table 9 in Section 6 of AHRI 1230-2021.

4.1.1 Representations of COP for air-cooled VRF multi-split systems with rated cooling capacity greater than 65,000 Btu/h made using the “Low Temperature Operation, Heating” condition specified in Table 9 in Section 6 of AHRI 1230-2021 are optional.

4.2 Test Conditions for Water-source VRF Multi-split Systems. When testing to certify to the energy conservation standards in § 431.97, test using the “Part-load Conditions (IEER)” conditions specified for “Water Loop Heat Pumps” in Table 10 of AHRI 1230-2021 for cooling mode tests and the “Standard Rating Test” conditions specified for “Water Loop Heat Pumps” in Table 11 in Section 6 of AHRI 1230-2021 for heat pump heating mode tests.

4.2.1 For water-source VRF multi-split systems, representations of EER made using the “Standard Rating Test” conditions specified for “Ground-loop Heat pumps” in Table 10 of Section 6 of AHRI 1230-2021 and representations of COP made using the “Standard Rating Test” conditions specified for “Ground-loop Heat Pumps” in Table 11 of Section 6 of AHRI 1230-2021 are optional.

5.1 Control Settings. Control settings must be set in accordance with Sections 5.1.3, 5.1.4, 5.1.5, and 5.2 of AHRI 1230-2021. For systems equipped with head pressure controls, the head pressure controls must be set per manufacturer installation instructions or per factory settings if no instructions are provided. Indoor airflow-control settings must be set in accordance with Section 6.3.1 of AHRI 1230-2021. At each load point, critical parameters must be set to the values certified in the supplemental testing instructions (STI) provided by the manufacturer pursuant to § 429.43(b)(4) of this chapter. In cases in which a certified critical parameter value is not in the STI, the system must operate per commands from the system controls for that parameter. Once set, control settings must remain unchanged for the remainder of the test (except for allowable adjustment of critical parameters as described in section 5.2 of this appendix).

5.2 Allowable Critical Parameter Adjustments for IEER Cooling Tests. The following sections describe allowable adjustments to critical parameters after the initial system set-up (during which all control settings, including certified critical parameters, are set). Adjust critical parameters in order to achieve full- and part-load cooling capacity targets and sensible heat ratio (SHR) limits.

5.2.1 Critical Parameter Adjustments for Meeting Cooling Capacity Targets. Once critical parameters have been set to the values certified in the STI, if the unit cannot operate within 3% of the target cooling capacity (i.e., within 3% of the load fraction for a given part-load cooling test (75%, 50%, or 25% load) or within 3% of the certified cooling capacity for a 100% full-load cooling test), manually-controlled critical parameters must be adjusted according to the following provisions:

5.2.1.1. Cooling Capacity is Below Lower Tolerance. If, for any test, the cooling capacity operates below the lower tolerance for the target cooling capacity, increase the compressor speed(s) beyond the STI-certified value(s) until the cooling capacity operates within 3% of the target cooling capacity. If multiple compressors are present in the system, increase compressor speed by the same absolute increment in RPM or Hz for each compressor for which the following conditions apply:

(a) The STI specifies a non-zero compressor speed for the compressor for that test and

(b) The compressor has not yet reached its maximum capable operating speed. The compressor speed(s) must not be less than the STI-certified value(s) at any point during the test. Upward adjustments to compressor speed are not constrained by a budget on RSS Points Total (See section 5.2.1.2.1 of this appendix).

5.2.1.2 Cooling Capacity is Above Upper Tolerance. If, for any test, the cooling capacity operates above the upper tolerance for the target cooling capacity, adjust any manually-controlled critical parameters per the STI. If the STI does not include a hierarchy of instructions for adjustment of critical parameters to reduce cooling capacity during IEER cooling tests, then reduce only the compressor speed(s) to reduce cooling capacity. If multiple compressors are present in the system, decrease compressor speed by the same absolute increment for each compressor for which the following conditions apply:

(a) The STI specifies a non-zero compressor speed for the compressor for that test and

(b) The compressor has not yet reached minimum speed. Continue reducing cooling capacity in this manner until one of the following occurs:

(1) The unit operates within 3% of the target cooling capacity; or

(2) The RSS point total reaches a budget of 70 points (see section 5.2.1.2.1 of this appendix). For the 75%, 50%, and 25% part-load cooling test points, if the RSS point total reaches 70 during critical parameter adjustments before the capacity operates within 3% of the target cooling capacity, stop adjustment and follow cyclic degradation procedures in accordance with Section 11.2.2.1 of AHRI 1230-2021.

5.2.1.2.1 Measuring Critical Parameter Variation During Adjustment Period. When adjusting critical parameters to reduce cooling capacity, critical parameter variation must be calculated each time the critical parameters are adjusted, using the following equations:

(a) First, use equation 5.2-1 to calculate the absolute parameter percent difference () between each adjusted critical parameter and the value for that parameter certified in the STI.

(b) Next, use equation 5.2-2 to this section to determine the accrued points for each critical parameter:

(c) Finally, use equation 5.2-3 to this section to calculate the root-sum-squared (RSS) Points Total across all critical parameters.

5.2.2 Critical Parameter Adjustments for Meeting SHR Limits. The SHR for the 100% load test point and the 75% part-load test point must not be higher than 0.82 and 0.85, respectively (measured to the nearest hundredth). If the SHR is above the allowable limit, increase the compressor speed(s) until either the SHR is less than or equal to the allowable limit or the cooling capacity reaches 3% greater than the target cooling capacity for that test, whichever happens first. If multiple compressors are present in the system, increase compressor speed by the same absolute increment for each compressor for which the following conditions apply:

(a) The STI specifies a non-zero compressor speed for the compressor for that test and

(b) The compressor has not yet reached maximum speed. Upwards adjustments to compressor speed are not constrained by a budget on RSS Points Total. Should the SHR remain above the maximum limit when the cooling capacity reaches its upper 3% tolerance, no further compressor adjustments shall be made, and the calculation procedures specified in Section 11.2.2.2 of AHRI 1230-2021 must be applied using the adjusted SHR value obtained after increasing the compressor speed(s).

6. Set-Up and Test Provisions for Specific Components. When testing a VRF multi-split system that includes any of the specific components listed in table 6.1 to this appendix, test in accordance with the set-up and test provisions specified in table 6.1.

1. Incorporation by Reference.

DOE incorporated by reference in § 431.95 the entire standard for ASHRAE 127-2007. However, certain enumerated provisions of ASHRAE 127-2007, as listed in section 1.1, are inapplicable. To the extent that there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

1.1 ASHRAE 127-2007:

(a) Section 5.11 is inapplicable as specified in section 2 of this appendix.

(b) [Reserved]

1.2 [Reserved]

2. General. Determine the sensible coefficient of performance (SCOP) in accordance with ASHRAE 127-2007.

3. Optional break-in period. Manufacturers may optionally specify a “break-in” period, not to exceed 20 hours, to operate the equipment under test prior to conducting the test method specified in this appendix. A manufacturer who elects to use an optional compressor break-in period in its certification testing should record this period's duration as part of the information in the supplemental testing instructions under 10 CFR 429.43.

4. Additional provisions for equipment set-up. The only additional specifications that may be used in setting up the basic model for test are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Sections 4.1 and 4.2 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals.

4.1. If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value must be used.

4.2. The airflow rate used for testing must be that set forth in the installation and operation manuals being shipped to the commercial customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a rated airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton must be used.

1. Incorporation by Reference

DOE incorporated by reference in § 431.95 the entire standards for AHRI 1360-2022, ANSI/ASHRAE 37-2009, and ANSI/ASHRAE 127-2020. However, as listed in sections 1.1, 1.2, and 1.3 of this appendix, only certain enumerated provisions of AHRI 1360-2022 and ANSI/ASHRAE 127-2020 are applicable, and only certain enumerated provisions of ANSI/ASHRAE 37-2009 are not applicable. To the extent that there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

1.1 AHRI 1360-2022:

(a) The following sections of Section 3. Definitions—3.1 (Expressions of Provision), 3.2.2 (Air Sampling Device(s)), 3.2.7 (Computer and Data Processing Room Air Conditioner), 3.2.22 (Indoor Unit), 3.2.25 (Manufacturer's Installation Instruction), 3.2.27 (Net Sensible Cooling Capacity), 3.2.28 (Net Total Cooling Capacity), 3.2.37 (Standard Air) and 3.2.38 (Standard Airflow) are applicable.

(b) Section 5. Test Requirements, is applicable.

(c) The following sections of Section 6. Rating Requirements—6.1-6.3, 6.5 and 6.7 are applicable.

(d) Appendix C. Standard Configurations—Normative, is applicable.

(e) Section D2 of Appendix D. Non-Standard Indoor Fan Motors for CRAC units, is applicable.

(f) Appendix E. Method of Testing Computer and Data Processing Room Air Conditioners—Normative, is applicable.

(g) Appendix F. Indoor and Outdoor Air Condition Measurement—Normative is applicable.

1.2 ANSI/ASHRAE 127-2020:

(a) Appendix A—Figure A-1, Test duct for measuring air flow and static pressure on downflow units, is applicable.

(b) [Reserved].

1.3 ASHRAE 37-2009:

(a) Section 1 Purpose is inapplicable.

(b) Section 2 Scope is inapplicable.

(c) Section 4 Classification is inapplicable.

2. General. Determine the net sensible coefficient of performance (NSenCOP), in accordance with AHRI 1360-2022, ANSI/ASHRAE 127-2020, and ANSI/ASHRAE 37-2009. In cases where there is a conflict between these sources, the language of this appendix takes highest precedence, followed by AHRI 1360-2022, followed by ANSI/ASHRAE 127-2020, followed by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced document by a standard-setting organization will not affect the test procedure in this appendix, unless and until this test procedure is amended by DOE. Material is incorporated as it exists on the date of the approval, and notification of any change in the incorporation will be published in the Federal Register.

3. Test Conditions

3.1. Test Conditions for Certification. When testing to certify to the energy conservation standards in § 431.97, test using the “Indoor Return Air Temperature Standard Rating Conditions” and “Heat Rejection/Cooling Fluid Standard Rating Conditions” conditions, as specified in Tables 3 and 4 of AHRI 1360-2022, respectively.

4. Set-Up and Test Provisions for Specific Components. When testing a unit that includes any of the features listed in Table 4.1 of this appendix, test in accordance with the set-up and test provisions specified in Table 4.1 of this appendix.

DOE incorporated by reference in § 431.95, the entire standard for ANSI/AHRI 210/240-2008 and ANSI/AHRI 1230-2010. However, certain enumerated provisions of those standards, as set forth in this section 1, are inapplicable. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.

1.1 ANSI/AHRI 210/240-2008:

(a) Section 6.5—Tolerances

(b) Reserved.

1.2 ANSI/AHRI 1230-2010:

(a) Section 5.1.2—Manufacturer involvement

(b) Section 6.6—Verification testing and uncertainty

2.1 Air-cooled, three-phase, small commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h. Determine the seasonal energy efficiency ratio (SEER) and heating seasonal performance factor (HSPF) (as applicable) in accordance with ANSI/AHRI 210/240-2008. Sections 3 to 6 of this appendix provide additional instructions for determining SEER and HSPF.

2.2 Air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h. Determine the SEER and HSPF (as applicable) in accordance with ANSI/AHRI 1230-2010.

Sections 3 through 6 of this appendix provide additional instructions for determining SEER and HSPF.

3. Optional break-in period. Manufacturers may optionally specify a “break-in” period, not to exceed 20 hours, to operate the equipment under test prior to conducting the test method specified in this appendix. A manufacturer who elects to use an optional compressor break-in period in its certification testing should record this period's duration as part of the information in the supplemental testing instructions under 10 CFR 429.43.

4. Additional provisions for equipment set-up. The only additional specifications that may be used in setting up the basic model for test are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Sections 3.1 through 3.3 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals.

4.1. If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value shall be used.

4.2. The airflow rate used for testing must be that set forth in the installation and operation manuals being shipped to the commercial customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a rated airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton shall be used.

4.3. For air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h, the test set-up and the fixed compressor speeds (i.e., the maximum, minimum, and any intermediate speeds used for testing) should be recorded and maintained as part of the test data underlying the certified ratings that is required to be maintained under 10 CFR 429.71.

5. Refrigerant line length corrections for air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h. For test setups where it is physically impossible for the laboratory to use the required line length listed in Table 3 of ANSI/AHRI 1230-2010, then the actual refrigerant line length used by the laboratory may exceed the required length and the following cooling capacity correction factors are applied:

6. Manufacturer involvement in assessment or enforcement testing for air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h. A manufacturer's representative will be allowed to witness assessment and/or enforcement testing. The manufacturer's representative will be allowed to inspect and discuss set-up only with a DOE representative and adjust only the modulating components during testing in the presence of a DOE representative that are necessary to achieve steady-state operation. Only previously documented specifications for set-up as specified under sections 3 and 4 of this appendix will be used.

1. Incorporation by Reference. DOE incorporated by reference in § 431.95, the entire standard for AHRI 210/240-2023 and ANSI/ASHRAE 37-2009. However, certain enumerated provisions of AHRI 210/240-2023 and ANSI/ASHRAE 37-2009, as set forth in this section 1, are inapplicable. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control. Any subsequent amendment to a referenced document by the standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE.

1.1. AHRI 210/240-2023:

(a) Section 6 Rating Requirements—6.1 Standard Ratings—6.1.8 Tested Combinations or Tested Units

1.2. ANSI/ASHRAE 37-2009:

2. General. Determine the seasonal energy efficiency ratio 2 (SEER2) and heating seasonal performance factor 2 (HSPF2) (as applicable) in accordance with AHRI 210/240-2023 and ANSI/ASHRAE 37-2009. Sections 3 and 4 to this appendix provide additional instructions for determining SEER2 and HSPF2.

3. Energy Measurement Accuracy. The Watt-hour (W⋅h) measurement system(s) shall be accurate within ± 0.5 percent or 0.5 W⋅h, whichever is greater, for both ON and OFF cycles. If two measurement systems are used, then the meters shall be switched within 15 seconds of the start of the OFF cycle and switched within 15 seconds prior to the start of the ON cycle.

4. Cycle Stability Requirements. Conduct three complete compressor OFF/ON cycles. 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.

DOE incorporated by reference in § 431.95 the entire standard for AHRI 390-2021 and ASHRAE 37-2009. However, only certain enumerated provisions of AHRI 390-2021 and ANSI/ASHRAE 37-2009 are required or excluded as listed in this section 1. To the extent there is a conflict between the terms or provisions of a referenced industry standard and this appendix, the appendix provisions control, followed by AHRI 390-2021, followed by ANSI/ASHRAE 37-2009.

1.1. Only the following provisions of AHRI 390-2021 apply:

1.2. All provisions of ANSI/ASHRAE 37-2009 apply except for the following provisions:

2. General. Determine cooling capacity (Btu/h) and energy efficiency ratio (EER) for all single package vertical air conditioners and heat pumps and coefficient of performance (COP) for all single package vertical heat pumps, in accordance with the specified sections of AHRI 390-2021 and the specified sections of ANSI/ASHRAE 37-2009. Only identified provisions of AHRI 390-2021 are applicable and certain sections of ANSI/ASHRAE 37-2009 are inapplicable, as set forth in section 1 of this appendix. In addition, the instructions in section 3 of this appendix apply to determining EER and COP. Any subsequent amendment to a referenced document by a standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE.

3. Test Conditions. The “Standard Rating Full Load Capacity Test, Cooling” conditions for cooling mode tests and “Standard Rating Full Load Capacity Test, Heating” conditions for heat pump heating mode tests specified in Table 3 of section 5.8.3 of AHRI 390-2021 shall be used.

3.1. Optional Representations. Representations of COP for single package vertical heat pumps made using the “Low Temperature Operation, Heating” condition specified in Table 3 of section 5.8.3 of AHRI 390-2021 are optional and are determined according to the applicable provisions in section 1 of this appendix.

3.2. [Reserved]

DOE incorporated by reference in § 431.95 the entire standard for AHRI 390-2021 and ASHRAE 37-2009. However, only certain enumerated provisions of AHRI 390-2021 and ANSI/ASHRAE 37-2009 are required or excluded as listed in this section 1. To the extent there is a conflict between the terms or provisions of a referenced industry standard and this appendix, the appendix provisions control, followed by AHRI 390-2021, followed by ANSI/ASHRAE 37-2009.

1.1. Only the following provisions of AHRI 390-2021 apply:

1.2. All provisions of ANSI/ASHRAE 37-2009 apply except for the following provisions:

2. General. Determine cooling capacity (Btu/h) and integrated energy efficiency ratio (IEER) for all single package vertical air conditioners and heat pumps and coefficient of performance (COP) for all single package vertical heat pumps, in accordance with the specified sections of AHRI 390-2021and the specified sections of ANSI/ASHRAE 37-2009. Only identified provisions of AHRI 390-2021 and ANSI/ASHRAE 37-2009 are applicable, as set forth in section 1 of this appendix. In addition, the instructions in section 4 of this appendix apply to determining IEER and COP. Any subsequent amendment to a referenced document by a standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE.

3. Test Conditions. The “Part-Load Standard Rating Conditions” conditions for cooling mode tests and “Standard Rating Full Load Capacity Test, Heating” conditions for heat pump heating mode tests specified in Table 3 of section 5.8.3 of AHRI 390-2021 shall be used.

3.1. Optional Representations. Representations of COP for single package vertical heat pumps made using the “Low Temperature Operation, Heating” condition specified in Table 3 of section 5.8.3 of AHRI 390-2021 are optional and are determined according to the applicable provisions in section 1.1 of this appendix.

4. Set-Up and Test Provisions for Specific Components. When testing a single package vertical unit (SPVU) that includes any of the features listed in table 4.1 to this appendix, test in accordance with the set-up and test provisions specified in table 4.1 to this appendix.