[Federal Register Volume 75, Number 105 (Wednesday, June 2, 2010)]
[Proposed Rules]
[Pages 31223-31271]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-12271]



[[Page 31223]]

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Part III





Department of Energy





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10 CFR Part 430



Energy Conservation Program for Consumer Products: Test Procedure for 
Residential Central Air Conditioners and Heat Pumps; Proposed Rule

Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / 
Proposed Rules

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DEPARTMENT OF ENERGY

10 CFR Part 430

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


Energy Conservation Program for Consumer Products: Test Procedure 
for Residential Central Air Conditioners and Heat Pumps

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

ACTION: Notice of proposed rulemaking and public meeting.

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SUMMARY: The U.S. Department of Energy (DOE) proposes amendments to its 
test procedure for residential central air conditioners and heat pumps. 
The proposed amendments would add requirements for the calculation of 
sensible heat ratio, incorporate a method to evaluate off mode power 
consumption, and add parameters for establishing regional measures of 
energy efficiency. DOE will hold a public meeting to receive and 
discuss comments on the proposal.

DATES: DOE will hold a public meeting in Washington, DC on Friday, June 
11, 2010 from 9 a.m. to 4 p.m. The purpose of the meeting is to receive 
comments and to help DOE understand potential issues associated with 
this proposed rulemaking. DOE must receive requests to speak at the 
meeting before 4 p.m. Friday, June 4, 2010. DOE must receive a signed 
original and an electronic copy of statements to be given at the public 
meeting before 4 p.m. Friday, June 4, 2010.
    DOE will accept comments, data, and other information regarding 
this notice of proposed rulemaking (NOPR) before or after the public 
meeting, but no later than August 16, 2010. See section V., ``Public 
Participation,'' of this NOPR for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089. You may submit comments, 
identified by docket number EERE-2009-BT-TP-0004 and/or Regulation 
Identifier Number (RIN) 1904-AB94, by any of the following methods:
     Federal eRulemaking Portal http://www.regulations.gov.: 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include the 
docket number EERE-2009-BT-TP-0004 and/or RIN number 1904-AB94 in the 
subject line of the message.
     Postal Mail: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, Mailstop EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Please submit one 
signed paper original.
     Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Program, 6th Floor, 950 L'Enfant 
Plaza, SW., Washington, DC 20024. Telephone: (202) 586-2945. Please 
submit one signed paper original.
    Instructions: All submissions must include the agency name and 
docket number or RIN for this rulemaking. For detailed instructions on 
submitting comments and additional information on the rulemaking 
process, see section V., ``Public Participation,'' of this document.
    Docket: For access to the docket to read background documents or 
comments received, visit the U.S. Department of Energy, 6th Floor, 950 
L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, between 9 
a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please 
call Ms. Brenda Edwards at (202) 586-2945 for additional information 
regarding visiting the Resource Room. Please note: DOE's Freedom of 
Information Reading Room (Forrestal Building, Room 1E-190) no longer 
houses rulemaking materials.

FOR FURTHER INFORMATION CONTACT: Mr. Wes Anderson, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, 
DC 20585-0121. Telephone: (202) 586-7335. E-mail: 
[email protected].
    Ms. Francine Pinto, U.S. Department of Energy, Office of the 
General Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 
20585. Telephone: (202) 586-7432. E-mail: [email protected].

SUPPLEMENTARY INFORMATION: 
I. Authority and Background
    A. Authority
    B. Background
II. Summary of the Proposed Rule
III. Discussion
    A. Framework Comment Summary and DOE Responses
    1. Test Procedure Schedule
    2. Bench Testing of Third-Party Coils
    3. Defaults for Fan Power
    4. Changes to External Static Pressure Values
    5. Fan Time Delay Relays
    6. Inverter-Driven Compressors
    7. Addition of Calculation for Sensible Heat Ratio
    8. Regional Rating Procedure
    9. Address Testing Inconsistencies for Ductless Mini- and Multi-
Splits
    10. Standby Power Consumption and Measurement
    B. Summary of the Test Procedure Revisions
    1. Modify the Definition of ``Tested Combination'' for 
Residential Multi-Split Systems
    2. Add Alternative Minimum External Static Pressure Requirements 
for Testing Ducted Multi-Split Systems
    3. Clarify That Optional Tests May Be Conducted Without 
Forfeiting Use of the Default Value(s)
    4. Allow a Wider Tolerance on Air Volume Rate To Yield More 
Repeatable Laboratory Setups
    5. Change the Magnitude of the Test Operating Tolerance 
Specified for the External Resistance to Airflow and the Nozzle 
Pressure Drop
    6. Modify Third-Party Testing Requirements When Charging the 
Test Unit
    7. Clarify Unit Testing Installation Instruction and Address 
Manufacturer and Third-Party Testing Laboratory Interactions
    8. When Determining the Cyclic Degradation Coefficient 
CD, Correct the Indoor-Side Temperature Sensors Used 
During the Cyclic Test To Align With the Temperature Sensors Used 
During the Companion Steady-State Test, If Applicable
    9. Clarify Inputs for the Demand Defrost Credit Equation
    10. Add Calculations for Sensible Heat Ratio
    11. Incorporate Changes To Cover Testing and Rating of Ducted 
Systems Having More Than One Indoor Blower
    12. Add Changes To Cover Triple-Capacity, Northern Heat Pumps
    13. Specify Requirements for the Low-Voltage Transformer Used 
When Testing Only Air Conditioners and Heat Pumps and Require 
Metering of All Sources of Energy Consumption During All Tests
    14. Add Testing Procedures and Calculations for Off Mode Energy 
Consumption
    15. Add Parameters for Establishing Regional Standards
    a. Use a Bin Method for Single-Speed SEER Calculations for the 
Hot-Dry Region and National Rating
    b. Add New Hot-Dry Region Bin Data
    c. Add Optional Testing at the A and B Test Conditions With the 
Unit in a Hot-Dry Region Setup
    d. Add a New Equation for Building Load Line in the Hot-Dry 
Region
    16. Add References to ASHRAE 116-1995 (RA 2005) for Equations 
That Calculate SEER and HSPF for Variable Speed Systems
    17. Update Test Procedure References to the Current Standards of 
AHRI and ASHRAE
IV. Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the National Environmental Policy Act
    C. Review Under the Regulatory Flexibility Act
    D. Review Under the Paperwork Reduction Act

[[Page 31225]]

    E. Review Under the Unfunded Mandates Reform Act of 1995
    F. Review Under the Treasury and General Government 
Appropriations Act, 1999
    G. Review Under Executive Order 13132
    H. Review Under Executive Order 12988
    I. Review Under the Treasury and General Government 
Appropriations Act, 2001
    J. Review Under Executive Order 13211
    K. Review Under Executive Order 12630
    L. Review Under Section 32 of the Federal Energy Administration 
(FEA) Act of 1974
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Requests To Speak
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 
et seq.; EPCA or the Act) sets forth a variety of provisions designed 
to improve energy efficiency. Part A of Title III (42 U.S.C. 6291-6309) 
establishes the ``Energy Conservation Program for Consumer Products 
Other Than Automobiles.'' (This part was originally titled Part B; 
however, it was redesignated Part A in the United States Code for 
editorial reasons.) The program covers consumer products and certain 
commercial products (collectively ``covered products''), including 
residential central air conditioners and heat pumps having rated 
cooling capacities less than 65,000 British thermal units/hour (Btu/h). 
(42 U.S.C. 6291(1)-(2), (21) and 6292(a)(3))
    Under the Act, the overall program consists of testing, labeling, 
and Federal energy conservation standards. Manufacturers of covered 
products must use the test procedures prescribed under EPCA to measure 
energy efficiency, to certify to DOE that products comply with EPCA's 
energy conservation standards, and for representing the energy 
efficiency of their products. Similarly, DOE must use these test 
procedures when determining whether the equipment complies with energy 
conservation standards adopted pursuant to EPCA.
    Section 323 of EPCA (42 U.S.C. 6293) sets forth generally 
applicable criteria and procedures for DOE's adoption and amendment of 
such test procedures. For example, the Act states that ``[a]ny test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results which measure energy efficiency, 
energy use * * * or estimated annual operating cost of a covered 
product during a representative average use cycle or period of use, as 
determined by the Secretary [of Energy], and shall not be unduly 
burdensome to conduct.'' (42 U.S.C. 6293(b)(3)) DOE's existing test 
procedures for central air conditioners and heat pumps adopted pursuant 
to these provisions appear under Title 10 of the Code of Federal 
Regulations (CFR) part 430, subpart B, appendix M (``Uniform Test 
Method for Measuring the Energy Consumption of Central Air Conditioners 
and Heat Pumps'').
    Further, if any rulemaking amends a test procedure, DOE must 
determine ``to what extent, if any, the proposed test procedure would 
alter the measured energy efficiency * * * of any covered product as 
determined under the existing test procedure.'' (42 U.S.C. 6293(e)(1)) 
If it determines that the amended test procedure would alter the 
measured efficiency of a covered product, DOE must amend the applicable 
energy conservation standard accordingly. (42 U.S.C. 6293(e)(2)) The 
amendments proposed in today's rulemaking will not alter the measured 
efficiency, as represented in the regulating metrics of SEER and HSPF. 
Thus, today's proposed test procedure changes can be adopted without 
amending the standards for SEER and HSPF.
    On December 19, 2007, the President signed the Energy Independence 
and Security Act of 2007 (EISA 2007; Pub. L. 110-140), which contains 
numerous amendments to EPCA. Section 310 of EISA 2007 established that 
the Department's test procedures for all covered products must account 
for standby and off mode energy consumption. (42 U.S.C. 6295(gg)(2)(A)) 
DOE must modify the test procedures to integrate such energy 
consumption into the energy descriptor(s) for each product, unless the 
Secretary determines that ``(i) the current test procedures for a 
covered product already fully account for and incorporate the standby 
mode and off mode energy consumption of the covered product; or (ii) 
such an integrated test procedure is technically infeasible * * * in 
which case the Secretary shall prescribe a separate standby mode and 
off mode energy use test for the covered product, if technically 
feasible. (42 U.S.C. 6295 (gg)(2)(A)) In addition, section 306(a) of 
EISA 2007 amended EPCA section 325(o)(6) to consider one or two 
regional standards for central air conditioners and heat pumps (among 
other products) in addition to a base national standard. (42 U.S.C. 
6295(o)(6)(B)) EPCA 325(o)(6)(C)(i) requires that DOE consider only 
regions made up of contiguous States. (42 U.S.C. 6295(o)(6)(C)(i)) 
Accordingly, today's proposed test procedure rulemaking includes 
additions that specifically address sections 306 and 310 of EISA 2007.

B. Background

    Most portions of the existing test procedure for central air 
conditioners and heat pumps were originally published as a final rule 
in the Federal Register on December 27, 1979. 44 FR 76700. DOE modified 
the test procedure on March 14, 1988, to expand coverage to variable-
speed central air conditioners and heat pumps, to address testing of 
split non-ducted units, and to change the method for crediting heat 
pumps that provide a demand defrost capability. 53 FR 8304.
    The next revision of the central air conditioners and heat pumps 
test procedure was published as a final rule on October 11, 2005, and 
became effective on April 10, 2006. 70 FR 59122. The October 2005 final 
rule provided a much needed updating to reference current standards, 
adopted improved measurement capabilities, and presented more detail on 
how to conduct the laboratory testing. The 2005 final rule also 
expanded coverage for equipment features previously not covered (e.g., 
two-capacity northern heat pumps, heat comfort controllers, triple-
split systems, etc.). During this revision process, the test procedure 
was significantly reorganized in an effort to improve its readability.
    On July 20, 2006, DOE published a proposed rule to consider 
additional changes to the test procedure in response to issues 
interested parties submitted before the October 2005 publication of the 
final rule. 71 FR 41320. DOE determined that it was appropriate to 
consider additional modifications to the test procedure for the 
following reasons: (1) To implement test procedure revisions for new 
energy conservation standards for small-duct, high-velocity (SDHV) 
systems; (2) to address test procedure waivers for multi-split systems; 
and (3) to address interested parties' concerns about sampling and 
rating after new energy conservation standards became effective on 
January 23, 2006. (10 CFR 432.32(c)(2)) DOE issued a final rule 
adopting relevant amendments to the central air conditioner and heat 
pump test procedures on October 22, 2007, which became effective on 
April 21, 2008. 72 FR 59906. This latter final rule was published 
before EISA's implementation on December 19, 2007; therefore, the test 
procedures did not incorporate the requirements in sections 306 and 310 
of EISA 2007.

[[Page 31226]]

    While making changes necessary to comply with the amendments in 
EISA 2007, DOE is considering additional changes to the test procedure 
that were identified after finalizing the prior rulemaking.

II. Summary of the Proposed Rule

    DOE proposes amendments to its test procedure for residential 
central air conditioners and heat pumps. The amendments would add 
calculations for determination of sensible heat ratio (SHR), would 
incorporate a method to evaluate off mode power consumption, and would 
add parameters for establishing regional measures of energy efficiency.
    In addition to statutory requirements for amended test procedures, 
EISA 2007 has three separate provisions regarding the inclusion of 
standby mode and off mode energy use in any energy conservation 
standard that have bearing on the current test procedure rulemaking. 
First, test procedure amendments to include standby mode and off mode 
energy consumption shall not be used to determine compliance with 
standards established prior to the adoption of such test procedure 
amendments. (42 U.S.C. 6295(gg)(2)(C)) Second, standby mode and off 
mode energy use must be included into a single amended or new standard 
for a covered product adopted in a final rule after July 1, 2010. 
Finally, a separate standard for standby mode and off mode energy 
consumption is required if a single amended or new standard is not 
feasible. (42 U.S.C. 6295(gg)(3)(B))
    In order to accommodate the above-mentioned first provision, DOE 
clarifies that today's proposed amended test procedure would not alter 
the measure of energy efficiency used in existing energy conservation 
standards; therefore, this proposal would neither affect a 
manufacturer's ability to demonstrate compliance with previously 
established standards nor require retesting and rerating of existing 
units that are already certified. These amended test procedures would 
become effective, in terms of adoption into the CFR, 30 days after the 
date of publication in the Federal Register of the final rule in this 
test procedure rulemaking. However, DOE is proposing added language to 
the regulations codified in the CFR that would state that any added 
procedures and calculations for determining off mode energy consumption 
and regional cooling mode performance being proposed in order to 
satisfy the relevant provisions of EISA 2007 need not be performed at 
this time to determine compliance with the current energy conservation 
standards. Subsequently, and consistent with the second provision 
above, manufacturers would be required to use the amended test 
procedures' off mode and regional cooling mode provisions to 
demonstrate compliance with DOE's energy conservation standards on the 
effective date of a final rule establishing amended energy conservation 
standards for these products that address off mode energy consumption 
and/or regional cooling mode performance, at which time the limiting 
statement in the DOE test procedure would be revised or removed. 
Further clarification would also be provided that as of 180 days after 
publication of a test procedure final rule, any representations as to 
the off mode energy consumption and regional cooling mode performance 
of the products that are the subject of this rulemaking would need to 
be based upon results generated under the applicable provisions of this 
test procedure. (42 U.S.C. 6293(c)(2)) A separate standard for off-mode 
energy consumption is required if a single amended or new standard is 
not feasible. (42 U.S.C. 6295(gg)(3)(B))

III. Discussion

    The current standards rulemaking preliminary analysis for 
residential central air conditioners and heat pumps is ready for 
stakeholder review and comment. This preliminary analysis follows the 
first step in the standards rulemaking process, the release of the 
framework document (http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/cac_framework.pdf) and the subsequent June 
12, 2008 public meeting. At and following this latter meeting, 
stakeholder comments were received, some of which apply to today's 
proposed test procedure.
    In formulating today's notice of proposed rulemaking (NOPR), DOE 
considered these test procedure related comments and, where 
appropriate, proposed changes to the test procedure. Moreover, DOE 
responses to stakeholder comments are provided in the following subject 
areas:
    1. Test Procedure Schedule
    2. Bench Testing of Third Party coils
    3. Defaults for Fan Power
    4. Changes to External Static Pressure Values
    5. Fan Time Delay Relays
    6. Inverter-Driven Compressors
    7. Addition of Calculation for Sensible Heat Ratio
    8. Regional Rating Procedure
    9. Address Testing Inconsistencies for Ductless Mini- and Multi-
Splits
    10. Standby Power Consumption and Measurement
    Section III. A. provides a more in-depth discussion on those 
comments that questioned or disagreed with DOE's positions in the 
framework document.
    Section III. B. provides a summary of the proposed changes to the 
test procedure, including
    1. Modify the definition of ``tested combination'' for residential 
multi-split systems
    2. Add Alternative Minimum External Static Pressure Requirements 
for Testing Ducted Multi-Split Systems
    3. Clarify that Optional Tests May Be Conducted Without Forfeiting 
Use of the Default Value(s)
    4. Allow a Wider Tolerance on Air Volume Rate to Yield More 
Repeatable Laboratory Setups
    5. Change the Magnitude of the Test Operating Tolerance Specified 
for the External Resistance to Airflow and the Nozzle Pressure Drop
    6. Modify Third-Party Testing Requirements when Charging the Test 
Unit
    7. Clarify Unit Testing Installation Instruction and Address 
Manufacturer and Third-Party Testing Laboratory Interactions
    8. When Determining the Cyclic Degradation Coefficient 
CD, Correct the Indoor-Side Temperature Sensors Used During 
the Cyclic Test to Align with the Temperature Sensors Used During the 
Companion Steady-State Test, If Applicable
    9. Clarify Inputs for the Demand Defrost Credit Equation
    10. Add Calculations for Sensible Heat Ratio
    11. Incorporate Changes to Cover Testing and Rating of Ducted 
Systems Having More than One Indoor Blower
    12. Add Changes To Cover Triple-Capacity, Northern Heat Pumps.
    13. Specify Requirements for the Low-Voltage Transformer Used when 
Testing Coil-Only Air Conditioners and Heat Pumps and Require Metering 
of All Sources of Energy Consumption During All Tests
    14. Add Testing Procedures and Calculations for Off Mode Energy 
Consumption
    15. Add Parameters for Establishing Regional Standards
    As part of today's rulemaking, DOE provides the specific proposed 
changes to 10 CFR part 430, subpart B, appendix M, ``Uniform Test 
Method for Measuring the Energy Consumption of Central Air Conditioners 
and Heat Pumps.''

A. Framework Comment Summary and DOE Responses

    A notation in the form ``Southern Company Systems (SCS), No. 13 at 
p. 105'' identifies a written comment DOE

[[Page 31227]]

has received and has included in the docket of this rulemaking. This 
particular notation refers to a comment (1) by the Southern Company 
Systems (SCS); (2) in document number 13 in the docket of this 
rulemaking; and (3) appearing on page 105 of document number 13.
1. Test Procedure Schedule
    Several interested parties commented that DOE should consider the 
timeline necessary when modifying this test procedure, and how the 
publication of the test procedure coincides with publication of the 
revised standard. (Southern Company Systems (SCS), No. 13 at p. 105; 
Air-Conditioning, Heating and Refrigeration Institute (AHRI), No. 13 at 
p. 116; the American Council for an Energy Efficient Economy (ACEEE), 
No. 13 at p. 117; Trane, No. 13 at p. 123)
    DOE is coordinating the publication timelines of both the test 
procedure and the amended standard. The test procedure NOPR will be 
open for public comments. DOE will then address those comments and 
publish a final test procedure rule. The associated standard will 
proceed concurrently with the test procedure rulemaking to maximize the 
time interval between the test procedure final rule and the revised 
energy standards final rule.
2. Bench Testing of Third-Party Coils
    The Northeast Energy Efficiency Partnerships (NEEP) comment stated 
that test procedures should require laboratory/bench testing for 
independent coil manufacturers' (ICM) indoor units. (NEEP, No. 37 at p. 
3) NEEP includes representatives from the Connecticut Office of Policy 
and Management, New Hampshire Office of Energy and Planning, Efficiency 
Maine, and Department of Energy Resources for the Commonwealth of 
Massachusetts.
    As amended, EPCA makes all residential central air conditioners and 
heat pumps sold in the United States subject to specific testing, 
rating, minimum efficiency, and labeling requirements. These 
requirements apply to complete systems, including those split systems 
where the outdoor components are provided by one manufacturer, while 
the indoor components are provided by a separate manufacturer. The 
typical two-manufacturer split system is where the indoor unit is 
provided by an ICM and the outdoor unit is provided by an original 
equipment manufacturer (OEM). Because the ICM wants to advertise the 
performance of its indoor coils with various OEM outdoor units, the ICM 
is responsible for obtaining the system seasonal energy efficiency 
ratio (SEER) and heating seasonal performance factor (HSPF) ratings 
according to DOE requirements. In obtaining these ratings, the ICM can 
either test complete systems or use a DOE-approved alternative rating 
method (ARM) to calculate the rating. Approval of the ARM requires 
laboratory test results for complete systems, but inputs to the ARM may 
or may not require testing of just the indoor unit. (10 CFR 430.24)
    Although DOE does not have the authority to regulate a component of 
an air conditioner or heat pump system, it does regulate the complete 
systems. The system ratings published by ICMs must be obtained in 
accordance with DOE requirements summarized above.
3. Defaults for Fan Power
    A Joint Comment stated that the present rating method does not 
credit advanced air handler designs adequately because the default 
value is much lower than the average air handler energy use observed in 
the field. (Joint Comment, No. 25 at pp. 4, 6-7) According to the Joint 
Comment, a low default value for fan power reduces the incentive to 
improve fan efficiency. The Joint Comment includes representatives from 
ACEEE, Appliance Standards Awareness Project (ASAP), the California 
Energy Commission (CEC), the Northwest Power and Conservation Council 
(NPCC), and the Western Cooling Efficiency Center (WCEC).
    Proctor Engineering Group (Proctor) stated that the inside coil fan 
energy needs to represent the median values from actual installations, 
and also provided input on the methodology for evaluating fan power 
based on air volume rate and equipment tonnage. (Proctor, No. 38 at p. 
1)
    NEEP stated that testing should be required for motors in actual 
operation and that the procedure should include provisions for testing 
while air handler fans are running. (NEEP, No. 37 at p. 3)
    Split-system ducted air conditioners and heat pumps are primarily 
designed for two different applications. These applications depend on 
whether the air conditioner or heat pump is installed with a hot-air 
furnace and share a common duct system. Air conditioners and heat pumps 
not designed for installation with a hot-air furnace must contain a 
blower to circulate air through the indoor coil and ductwork. Systems 
that include the integral or modular indoor blower are typically 
referred to as blower-coil units. Coil-only units--air conditioners and 
heat pumps designed for installation with a hot-air furnace--rely on 
the furnace blower to circulate air through the indoor coil, ductwork, 
and the furnace section when the compressor and outdoor fan are 
operating.
    The Joint Comment pertains to coil-only units, so discussion in the 
following paragraphs is limited to those products. This comment does 
not apply to blower-coil units within the test procedure because there 
is no required default assumption for the average air handler. With 
regard to the NEEP comment, the ratings for blower coil units already 
reflect the performance of the system's particular indoor blower. When 
blower coils are tested, the indoor blower operates, and its 
performance is accounted for in the measured system capacity and power 
consumption values and ultimately in SEER and HSPF.
    A coil-only air conditioner or heat pump can be installed with a 
multitude of new and existing furnaces. The key considerations for 
matching a coil-only unit with a furnace are (1) the furnace blower's 
ability to provide the necessary air volume rate for the system; and 
(2) whether the outlet flange dimensions of the furnace are compatible 
with the inlet flanges on the indoor coil-only section of the air 
conditioner or heat pump. Another factor for field application is 
whether the overall height (length) of the furnace and coil-only indoor 
section will fit into the available building space.
    The SEER and HSPF ratings represent the seasonal efficiencies of a 
complete, functioning air conditioner or heat pump system. However, 
coil-only split systems in laboratory testing are incomplete because a 
hot-air furnace is not part of the setup. Instead of the furnace 
blower, the exhaust fan in the test facility pulls air through the 
indoor unit of the coil-only system. The exhaust fan is located 
downstream of the test unit's indoor section, outlet instrumentation, 
and air volume measurement station. When the hot-air furnace and blower 
are removed from testing, the associated power consumption and measured 
cooling or heating capacity are adjusted to account for the 
hypothetical hot-air furnace blower. The Joint Comment asserted that 
the test procedure default value is too low and should require 
additional real-time blower testing. Proctor Engineering Group agreed 
and offered an alternative default equation based on data collected 
from actual installations.
    Given the variety of furnaces within which a coil-only unit may be 
installed, the range of blower sizes and associated efficiency of a 
complete installed system are unknown. As a result, there are several 
options for calculating the assumed power and heat contributions for 
the hypothetical hot-air furnace

[[Page 31228]]

blower. To obtain a SEER (and for heat pumps, an HSPF) rating for each 
coil-only split system, the hot-air furnace blower receives a default 
value. According to the DOE test procedure, the hypothetical hot-air 
furnace blower contribution is expressed in terms of power (watts) and 
heat (Btu/h) per unit of air volume rate (in this case, 1,000 standard 
cubic feet per minute [scfm]).
    Since it was issued in 1979, the DOE test procedure for central air 
conditioners and heat pumps has used the same default fan power and 
heat for rating coil-only air conditioners and heat pumps: 365 watts 
per 1,000 scfm and 1,250 Btu/h per 1,000 scfm. These default values 
result in the adjustment range from approximately 220 watts (750 Btu/h) 
for a 1.5-ton unit to approximately 730 watts (2,500 Btu/h) for a 5-ton 
unit.
    The default value does not indicate the efficiency of blowers in 
furnaces; it simply provides a means of comparing products on a 
complete system basis. The long-standing default values represent a 
typical furnace blower while not being overly conservative. Changing 
the default values would shift the SEER and HSPF ratings, but the 
ranking among most comparably sized equipment would change minimally, 
if at all. DOE evaluated the worst-case scenario: multiple units with 
the same SEER calculated using the existing fan power and heat 
defaults, but with degradation coefficients (CD) varying from 0.01 and 
0.25, and capacities differing up to 10 percent. If the SEER 
calculation uses a higher default like 500 watts per 1,000 scfm (1,700 
Btu/h per 1,000 scfm), the new SEER ratings would all decrease but lie 
within a range that spans less than 0.20 points (on the SEER rating 
scale). The minimal impact on the ranking lessens the need for better 
defaults. To determine whether higher default values better represent 
actual installations, DOE must address three questions:
     What data can accurately represent the typical 
installation?
     What coordination will ensure that blower coils and coil-
only units are evaluated on a common basis?
     Should poor duct systems affect equipment ratings?
    DOE expects that addressing these questions will require additional 
data collection, analysis, and input from interested parties. With 
minimal impact on altering the relative ranking among competing 
products combined with the need to answer the above questions, DOE 
chose not to propose alternative default values for the power and heat 
contribution of the hypothetical furnace blower used when calculating 
the SEER and HSPF for coil-only air conditioners and heat pumps.
4. Changes to External Static Pressure Values
    A Joint Comment stated that the current assumed inches of water 
column (in wc) values are lower than those typically found in the field 
and unrealistically deemphasize the importance of fan efficiency as a 
part of overall system effectiveness. (Joint Comment, No. 25 at pp. 4, 
6) The discrepancy often leads to less airflow in a field application, 
which generally improves latent (at the expense of sensible) capacity.
    The Joint Utility Comment suggested that new test conditions for 
external static pressure and default fan power should be consistent 
with current field research findings. (Joint Utility Comment, No. 30 at 
pp. 1, 21) The Joint Utility Comment includes representatives from 
Pacific Gas and Electric Company (PG&E), Southern California Edison, 
Sempra Energy Utilities (Southern California Gas Company and San Diego 
Gas and Electric Company; hereafter ``Sempra''), Sacramento Municipal 
Utility District, the Nevada Power Company, and Sierra Pacific Power.
    DOE received a number of comments requesting that the minimum 
external static pressure levels be increased. (Florida Solar Energy 
Center (FSEC), No. 31 at p. 4; Sempra, No. 13 at p. 121; SCS, No. 39 at 
p. 2) Additionally, Proctor Engineering Group (Proctor) provided a 
formula for estimating the static pressure based on the rated cfm/ton 
(Proctor, No. 38 at p. 2).
    Some split system and all single-package system air conditioners 
and heat pumps are sold with integral indoor blowers. Split systems 
with integral indoor blowers (i.e., blower-coil units) may be designed 
for ducted or non-ducted installation. The integral indoor blower may 
be located either upstream (push-through configuration) or downstream 
(draw-through configuration) of the indoor refrigerant-to-air heat 
coil.
    To mimic a field installation, single-package and blower-coil split 
air conditioners and heat pumps are laboratory tested with installed 
components to include the most restrictive filter(s), supplementary 
heating coils, and other equipment specified as part of the unit. The 
DOE test procedure allows testing of a ducted unit without an indoor 
air filter but requires a compensatory increase of 0.08 in wc for the 
minimum external static pressure requirement. Otherwise, the test 
procedure requires that the unit be installed and configured in 
accordance with the manufacturer's instructions.
    The DOE test procedure requires that a minimum external static 
pressure be equaled or exceeded during the wet-coil cooling mode test. 
If this requirement is not met initially, the configuration of the 
indoor unit is incrementally changed (e.g., switched to the next 
highest speed tap), and the wet-coil test is repeated until the 
measured external static pressure meets or surpasses the applicable DOE 
test procedure minimum value.
    Since its issuance in 1980, the DOE test procedure for central air 
conditioners and heat pumps has used the same set of minimum external 
static pressure values (except for SDHV systems): 0.10 in wc for 
systems with a rated cooling capacity less than or equal to 28,800 Btu/
h, 0.15 in wc for 29,000 to 42,500 Btu/h, and 0.20 in wc for 43,000 to 
64,500 Btu/h. The laboratory static pressure measurement tries to 
account for the supply and return home or building duct system unit 
flow resistance.
    Limited field testing reports and the general decline in the 
quality of installed duct systems (in part from the proliferation of 
the flexible duct) would support an increase in the minimum external 
static pressure. Efforts by building trades and code compliance 
communities to improve the quality of installed duct systems would 
support smaller increases in the minimum statics prescribed in the DOE 
test procedure. More field data would be helpful but would likely never 
be acquired to the level needed to provide a definitive basis for 
selecting new minimums. The greater impact of higher minimum external 
static pressures will be on lowering the SEER and HSPF of all units 
equally. Lacking a basis to propose new values or reference a consensus 
standard where alternatives to the current minimums are established, 
DOE chose not to propose an alternative to the existing minimum values 
as part of today's NOPR.
5. Fan Time Delay Relays
    FSEC and SCS commented that the fan time delay relays should be 
disabled for the SEER test procedure. (FSEC, No. 31 at p. 3; SCS, No. 
39 at p. 2)
    Many air conditioners and heat pumps employ a fan-off delay feature 
on the indoor blower. This delay, which is usually active for both the 
cooling and heating modes, is used to extract stored energy from the 
indoor coil immediately after the compressor has cycled off. The indoor 
blower typically continues to operate for 45 to 90 seconds after the 
compressor cycles off.

[[Page 31229]]

    The DOE test procedure seeks to evaluate the performance of central 
air conditioners and heat pumps without making the process overly 
burdensome or expensive. The test procedure includes optional cyclic 
tests used to quantify the degradation in performance from the system 
cycling (predominantly in field installation) compared with operating 
continuously (as in most laboratory tests). During these cyclic tests, 
the fan-off delay feature is not disabled. The evaluation thus accounts 
for an incremental increase in total delivered capacity at the expense 
of increased electrical energy consumption in extending the indoor 
blower operation.
    Disabling the fan time delay from central air conditioners and heat 
pumps during the cooling season will prevent re-evaporation of moisture 
on the indoor coil and in the condensation pan. Substantial re-
evaporation can occur if the indoor blower continues for an extended 
period after compressor shutoff. Because of this evaporative mechanism, 
continuous fan operation is discouraged during the cooling season. 
However, DOE is not aware of definitive data that show significant re-
evaporation during short fan-off delays. Part of the data void is due 
to the challenge of measuring rapidly changing values (humidity and 
temperature) during the relatively short fan-off delay period. Because 
of this difficulty, the cyclic cooling mode test, used in establishing 
the SEER, is conducted at an indoor wet bulb (wb) temperature that 
results in a dry coil. This also explains why this test cannot be used 
to address the concern about re-evaporation.
    In a related comment, Proctor recommended conducting the cooling 
mode cyclic tests with the indoor conditions set to the same values 
used for the steady-state tests, 80 degrees Fahrenheit ([deg]F) dry 
bulb (db)/67 [deg]F wb (Proctor, No. 38 at p. 2). Proctor stated that 
such a change to wet-coil cooling mode cyclic tests is well within the 
reach of today's measurement technologies.
    DOE needs additional information to quantify the potential benefits 
of converting from dry-coil to wet-coil cyclic testing. DOE must 
evaluate any potential benefits relative to any laboratory upgrades 
that would be needed to achieve acceptably accurate and repeatable 
results across the industry, and the impact of changing the time 
required to run a cyclic test. DOE seeks data and information that 
would aid efforts to quantify the relative performance impact and 
associated expense of laboratory upgrades in combination with 
achievable measurement uncertainty. Until more is known about the 
impact of changing from the long-standing dry-coil tests to a wet-coil 
cyclic test, DOE has tentatively decided not to modify this test 
procedure to convert to wet-coil cyclic testing.
6. Inverter-Driven Compressors
    Mitsubishi Electric and Electronics USA, Inc. (MEUS) commented that 
new systems incorporating inverter-driven compressor technology require 
a modification to the test procedure. (MEUS, No. 13 at p. 19)
    Since 1988, the DOE test procedure has covered air conditioners and 
heat pumps with variable-speed compressors, single indoor units, and 
single outdoor units. The October 2007 final rule extended coverage to 
variable-speed multi-split systems. 72 FR 59906. Before DOE can offer a 
more substantive evaluation of the comment, DOE will need specific 
examples, including laboratory data, of how the test procedure fails to 
capture the performance characteristics of an air conditioner or heat 
pump that uses ``new inverter-driven compressor technology.''
7. Addition of Calculation for Sensible Heat Ratio
    The Joint Comment contended that the latent heat removal capability 
of CAC equipment should be measured under typical operating conditions, 
as opposed to high temperature conditions, and should be certified for 
all models sold in hot and humid climates. (Joint Comment, No. 25 at p. 
4) FSEC expressed similar views and suggested that the latent heat 
ratio should be measured under different test conditions for single 
speed and multi-speed equipment. (FSEC, No. 31 at p. 2) Ice Energy 
suggested that the dehumidification capability of CAC equipment under 
hot and humid conditions be included in the standard, and any regional 
standard for the Southeast region should address this issue. (Ice 
Energy, No. 33 at p. 3) On the other hand, the Edison Electric 
Institute (EEI) wants dehumidification capability to be included in the 
standards for all regions. (EEI, No. 20 at p. 4) SCS stated that for 
hot and humid climates, a higher dehumidification capacity should be 
incorporated in the standard. (SCS, No. 13 at p. 42) SCS also stated 
that any regional air conditioning standard should provide for minimum 
dehumidification performance that should be measured at normal 
operating conditions and not at a higher temperature like 95 [deg]F. 
(SCS, No. 39 at p. 1) The Joint Utilities Comment stated that DOE 
should require that all units be certified and rated for SHR at 82 
[deg]F ambient db temperature. (Joint Comment, No. 30 at pp. 1, 21) 
Proctor stated that the rating for humid climates should include 
information about what portion of the capacity is latent. (Proctor, No. 
38 at p. 2)
    DOE proposes including the calculation for the SHR within the 
revised DOE test procedure. (10 CFR part 430, subpart B, appendix M, 
revised section 3.3c and proposed section 4.5) The Federal Trade 
Commission (FTC) could then consider incorporating this information in 
labels for these products.
8. Regional Rating Procedure
    DOE received some comments that were supportive and others that 
were neutral on the development of regional ratings. The Joint Comment 
noted that DOE already applies regional rating methods in the current 
test procedure for residential central air conditioners and heat pumps. 
(Joint Comment, No. 25 at pp. 3-4) It further noted that adoption of 
regional rating methods might allow DOE to set standards of comparable 
stringency, but using different rating conditions. (Joint Comment, No. 
25 at p. 8) Ice Energy stated that the test protocol should be 
comprehensive and should span outdoor ambient conditions over the 
complete range of expected operating conditions. (Ice Energy, No. 33 at 
p. 3) FSEC stated that DOE should develop new cooling season bin 
temperature profiles using 2008 typical meteorological year (TMY) data 
from the National Renewable Energy Laboratory (NREL). (FSEC, No. 31 at 
pp. 3-4) The National Rural Electric Cooperative Association (NRECA) 
commented that DOE should evaluate whether its test procedures account 
for the vast differences in ambient humidity levels in different 
regions. The air conditioner and heat pump standards should also take 
into account the effects of humidity on different regional standards. 
(NRECA, No. 35 at p. 1)
    A second Joint Comment (Joint Comment 2) from the National 
Resources Defense Council, National Consumer Law Center, Inc., and 
Enterprise stated that DOE should strengthen the SEER test procedure to 
provide a more robust measure of actual performance in varying 
conditions in different regions. (Joint Comment 2, No. 36 at p. 2) PG&E 
noted that DOE needs to reevaluate test procedures to determine the 
performance of this equipment in the various climate zones. (PG&E, No. 
13 at p. 116) EEI suggested

[[Page 31230]]

that the test procedure be updated to account for ambient conditions in 
hot-dry and hot-humid climates. (EEI, No. 20 at p. 3) Proctor commented 
that the temperature bins used for the rating calculation are not 
representative of the hotter portions of the United States and provided 
data representative of specific hot climates. Proctor also commented 
that the ratings for dry climates should be based only on the sensible 
capacities measured in the test, and suggested that the sensible 
capacities and latent capacities, as well as the appropriate watt 
draws, be measured in the existing 115 [deg]F test. Further, the 
results of that test should be used in conjunction with any 
intermediate tests to establish the relationship between the energy 
efficiency ratio (EER) and outdoor temperature. Proctor also suggested 
that in defining regions, DOE start with examination of the existing 
DOE climate map (currently used in the DOE Building Energy Codes 
Program), which defines dry and humid regions of the United States. 
(Proctor, No. 38 at pp. 1, 2) SCS also commented that measuring 
performance at 115 [deg]F would allow the design of temperature bin 
profiles that better reflect the actual climate of the desert 
Southwest. SCS supports the concept of a regional rating that reflects 
actual weather conditions, stating that for a ``hot-dry'' regional 
standard, setting the performance rating at 115 [deg]F would be of 
great value to consumers and would not put an unreasonable burden on 
manufacturers. (SCS, No. 39 at p. 2) SCS stated, however, that it is 
neutral at this time on whether a hot-humid regional standard should be 
established, due to uncertainties about changes in test procedures, 
future design options manufacturers could use to reach higher 
efficiency, of the ability of local jurisdictions to limit use of 
equipment with poor dehumidification performance, and changes in 
consumer repair versus replacement or substitute behavior due to higher 
standards. (SCS, No. 39 at pp. 2, 3, 4)
    Regarding the comments that favor region-specific cooling mode 
performance evaluations, DOE proposes changes that will allow the 
calculation of a region-specific SEER. (10 CFR 430, subpart B, appendix 
M, proposed section 2.2e and revised sections 3.2.1, 3.2.2.1, 3.2.3, 
and 3.2.4) The calculation parameters that permit this proposed region-
specific SEER are the fractional bin hour distribution and the outdoor 
design temperature. DOE proposes modifying the indoor wet bulb 
temperature as part of additional required and optional testing. (10 
CFR part 430, subpart B, appendix M, revised sections 3.2.1 (table 3A), 
3.2.2.1 (table 4A), and 3.2.2 (table 5A)) These test procedure proposed 
changes will complement efforts to evaluate the merit of a regional 
standard for a cooling-dominated region with dry climate. DOE believes 
that similar changes are not needed for cooling-dominated States with 
humid climates. The current indoor side entering wet-bulb test 
condition of 67 [deg]F, fractional bin-hour distribution, and outdoor 
design temperature sufficiently represent the conditions for a humid 
climate. Calculation of the SHR from such existing tests, however, is 
proposed in today's NOPR to quantify the product's dehumidification 
capabilities.
    Section 306(a) of EISA amended section 325(o) of EPCA to require 
that regions defined for the purposes of regional standards are 
required to be composed of contiguous States. (42 U.S.C. 
6295(o)(6)(C)(i)) In addition, individual States shall be placed only 
into a single region. (42 U.S.C. 6295(o)(6)(C)(iii)) DOE is proposing 
an alternative regional efficiency metric, a region-specific SEER 
(SEER-HD) for a four-State region consisting of Arizona, California, 
Nevada, and New Mexico. The proposed SEER-HD reflects equipment 
performance in this region.
    DOE does not endorse the recommendation to add testing at 115 
[deg]F outdoor temperature. A linear fit of data collected from the 
cooling mode tests at 82 [deg]F and 95 [deg]F can sufficiently estimate 
capacity and power consumption at 105 [deg]F, 110 [deg]F, and even 115 
[deg]F. Interested parties have not provided, and DOE has not 
identified, examples where a SEER rating or the proposed region-
specific SEER was statistically different as a result of being 
evaluated based on laboratory data at 115 [deg]F as opposed to 95 
[deg]F.
    In other related comments, ACEEE asked how DOE would capture and 
evaluate the efficiency of continuous ventilation for regional 
standards, as it is provided and used in a reasonable fraction of 
houses. (ACEEE, No. 13 at p. 138) Sempra indicated that the test 
protocols should be able to accommodate technologies other than air-
cooled expansion unitary equipment. Sempra also commented that DOE 
should consider using the time value of energy in the new test 
procedures. (Sempra, No. 13 at p. 121) WCEC contended that certain 
changes in the test procedures could result in energy savings: (1) A 
24-hour test protocol that can measure and characterize the energy and 
peak demand implications of control and thermal storage technologies; 
(2) a test protocol that provides different types of evaporative-cooled 
equipment with directly comparable SEER ratings; and (3) a test 
protocol that seriously addresses installation and performance-
longevity issues. (WCEC, No. 41 at p. 2) ACEEE stated that DOE could 
use an alternative rating route to deal with enhanced dehumidification 
products. (ACEEE, No. 13 at p. 154)
    Regarding installation and performance longevity issues, DOE does 
not have the authority to implement new performance metrics for 
characterizing such features at this time. Presently, the only metrics 
available for representing performance are SEER and HSPF. These are 
seasonal performance metrics and are not useful for characterizing 
installation issues, performance longevity, or quantifying performance 
at peak demand.
    DOE notes that while there may be value in defining a test 
procedure that can provide consistent, comparable rating of alternative 
cooling systems, including evaporative cooling technologies and 
technologies incorporating thermal storage, such expansion of the test 
procedure is beyond the scope of this rulemaking. This rulemaking seeks 
to address changes mandated in EISA and otherwise improve upon coverage 
of comparatively conventional air conditioners and heat pumps. 
Determining additions and changes needed to allow testing and rating of 
thermal storage technologies, for example, is a formidable task, one 
that requires significant investigation. Such an investigation is 
difficult to pursue until such equipment is readily available as a 
commercial product.
9. Address Testing Inconsistencies for Ductless Mini- and Multi-Splits
    Two interested parties commented that there are inconsistencies 
within the central air conditioning test procedure for mini- and multi-
split systems. (MEUS, No. 13 at p. 21 and 22; Daikin, No. 28 at p. 6)
    The proposed changes to items 1 through 3 of Appendix M, cover test 
procedure changes addressing inconsistencies for ductless mini- and 
multi-splits. In response to the comments, DOE proposes three changes 
to the test procedure to address these inconsistencies: (1) Modify the 
definition of tested combination for multi-split systems. DOE proposes 
to use the term ``nominal cooling capacity'' within the definition of 
``tested combination'' (proposed change to 10 CFR 430, subpart A, 
section 430.2, Definitions, Tested Combination) and to simplify the 
requirements for multi-split systems with cooling capacities of

[[Page 31231]]

24,000 Btu/h or lower; (2) add an alternative minimum static pressure 
requirement for use when testing ducted multi-split systems (10 CFR 
430, subpart B, appendix M, proposed table 2); (3) clarify within the 
test procedure that optional testing may be conducted without 
forfeiting the use of default values (10 CFR 430, subpart B, appendix 
M, proposed section 3.6.4d).
10. Standby Power Consumption and Measurement
    Interested parties submitted comments refuting the need to revise 
the test procedure to consider standby power consumption when EISA does 
not explicitly call for its revision, and noting that standby power 
consumption is already addressed in the standard. (AHRI, No. 13 at p. 
105; Sempra, No. 13 at p. 133; Energy Solutions, No. 13 at p. 108; 
Emerson, No. 13 at p. 111) Some contended that the test procedure's 
accounting of standby power consumption is adequate and does not 
require modification. (Trane, No. 16 at p. 3; Carrier Corporation 
(Carrier), No. 18 at p. 1; ASAP, No. 13 at p. 114; MEUS, No. 19 at p. 
1; AHRI, No. 24 at p. 2). Trane and Carrier representatives both stated 
that the standby power consumption calculation is already captured in 
the degradation coefficient, CD calculation. (Trane, No. 16 
at p. 3; Carrier, No. 18 at p. 1)
    SEER reflects all modes of climate control energy consumption that 
occur during the cooling season, as HSPF does for the heating season. 
SEER does not capture the time that an air conditioner could be 
energized but idle during the non-cooling season. Similarly, the 
current test procedure does not capture energy consumed by a heat pump 
during the non-cooling and non-heating seasons. These are the shoulder 
seasons that occur between the cooling and heating seasons and can be 
quantified by converting the cooling and heating load hours for any 
location into actual hours. In each case, the actual site or region-
specific cooling and heating season hours always sum to less than 
8,760. To calculate annual energy consumption or annual operating cost, 
all 8,760 hours of the year must be accounted for. Until now, these 
annual quantities have been based on energy consumption of fewer than 
8,760 hours. The DOE test procedure must account for the idle mode 
energy consumption of the air conditioner and heat pump during the 
shoulder seasons and the idle mode energy consumption of an air 
conditioner during the heating season.
    Several interested parties commented that although the current 
standard does address standby power consumption, standby and off mode 
power need to be better defined. (Joint Comment, No. 25 at p. 6; CFM 
Equipment Distributors, No. 13 at p. 129; Lennox, No. 13 at pp. 113, 
134; Carrier, No. 13 at p. 113; the Unico System, No. 13 at p. 129; 
Trane, No. 13 at pp. 130, 131, 136; PG&E, No. 13 at pp. 132, 137; 
General Electric, No. 13 at p. 135; EEI, No. 20 at p. 5; ASAP, No. 13 
at p. 132)
    DOE concurs with the commenters. The definitions of standby and off 
mode as provided in EPCA section 325(gg) were amended by section 310 of 
EISA and are purposely generic so that they can apply to all covered 
products. (42 U.S.C. 6295(gg)(1)(A)(iii), (42 U.S.C. 
6295(gg)(1)(A)(ii), respectively) EPCA section 325 allows DOE to 
redefine these definitions, including off mode, as part of this 
rulemaking. (42 U.S.C. 6295(gg)(1)(B)) The proposed definition is as 
follows:

    The term ``off mode'' means:
    (1) For air conditioners, all times during the non-cooling 
season of an air conditioner. This mode includes the ``shoulder 
seasons'' between the cooling and heating seasons when the unit 
provides no cooling to the building and the entire heating season, 
when the unit is idle. The air conditioner is assumed to be 
connected to its main power source at all times during the off mode; 
and
    (2) For heat pumps, all times during the non-cooling and non-
heating seasons of a heat pump. This mode includes the ``shoulder 
seasons'' between the cooling and heating seasons when the unit 
provides neither heating nor cooling to the building. The heat pump 
is assumed to be connected to its main power source at all times 
during the off mode.
    DOE requests comments on this proposed definition (10 CFR, 
subpart B, appendix M, proposed section 1.48).

B. Summary of the Test Procedure Revisions

    Today's proposed rule contains the following proposed changes to 
the test procedure in 10 CFR part 430, subpart B, appendix M.
1. Modify the Definition of ``Tested Combination'' for Residential 
Multi-Split Systems
    DOE procedures require testing a complete system, not just its 
components. For multi-split systems, each model of outdoor unit may be 
installed with numerous indoor unit combinations. Systems may differ in 
the number of connected indoor units, their physical type (e.g., wall-
mounted versus ceiling cassette, ducted versus non-ducted), and 
individual capacities.
    As part of the October 2007 final rule, multi-split units with 
rated cooling capacities less than 65,000 Btu/h were newly covered in 
the DOE central air conditioner and heat pump test procedure. As part 
of this coverage, manufacturers are required to test each model of a 
multi-split outdoor unit with at least one set of non-ducted (and at 
least one set of ducted, if applicable) indoor units. DOE placed limits 
on the set of indoor units selected to meet this testing requirement 
for each multi-split outdoor unit. These limits are prescribed in 10 
CFR 430.2 definition for ``tested combination.'' During the previous 
test procedure rulemaking, DOE refined the ``tested combination'' 
definition from the version published in the July 20, 2006 NOPR to the 
version published in the October 2007 final rule. After implementing 
the new test procedures, manufacturers of multi-split systems requested 
additional changes.
    In its May 27, 2008 letter to DOE, the Air-Conditioning, Heating, 
and Refrigeration Institute (AHRI) recommended three changes to the 
``tested combination'' definition. First, AHRI supported changing 
specific references to ``capacity'' and ``nominal capacity'' to 
``nominal cooling capacity.'' AHRI argued that ``this correction is 
necessary to clarify that the test procedures are based on the cooling 
(rather than heating) capacity of the equipment and to recognize that 
the nominal means the cooling capacity of the system at 95 [deg]F 
ambient, 80/67 [deg]F indoor conditions.''
    Second, AHRI requested that the requirement preventing the use of 
an indoor unit having a nominal cooling capacity that exceeds 50 
percent of the nominal cooling capacity of the outdoor unit be waived 
for outdoor units with a nominal cooling capacity of 24,000 Btu/h or 
lower. AHRI noted that it is not always possible to meet this 
requirement, especially because of the additional DOE requirement that 
the nominal cooling capacities of the indoor units, when summed, must 
fall between 95 and 105 percent of the outdoor unit's nominal capacity. 
AHRI gave the example of an outdoor unit rated for 20,000 Btu/h that is 
designed to be used with indoor units having nominal capacities of 
9,000 and 12,000 Btu/h. In this case, the only combination that meets 
the 95 to 105 percent indoor-outdoor capacity criteria is where two 
indoor units are used, one having a capacity of 12,000 Btu/h and one 
having a capacity of 9,000 Btu/h. The current definition for tested 
combination, however, does not allow this combination because the 
12,000 Btu/h indoor unit exceeds the 50 percent limit on the capacity 
of the indoor unit to the capacity of the outdoor unit.
    AHRI's final suggested change pertains to multi-split systems with 
nominal capacities greater than 150,000

[[Page 31232]]

Btu/h. The current limit of five indoor units to complete the system is 
often insufficient for the required 95 to 105 percent match with the 
outdoor unit. As AHRI stated in its letter, AHRI recognizes that ``this 
capacity is beyond the cooling capacity limit of 65,000 Btu/h * * * but 
many manufacturers have been granted waivers in which this tested 
combination definition applies.''
    DOE concurs with two of the three changes AHRI requested. DOE 
proposes to adopt the wording ``nominal cooling capacity'' within the 
definition of ``tested combination.'' (10 CFR 430.2) DOE will also 
waive the restriction that no indoor unit shall have a nominal cooling 
capacity exceeding 50 percent of the outdoor unit's nominal cooling 
capacity for multi-split systems having a nominal cooling capacity of 
24,000 Btu/h or less. (10 CFR 430.2(2)(iii)) Additionally, DOE proposes 
to modify the definition for ``tested combination'' to indicate that 
the allowed range for the indoor to outdoor capacity percentages is 95 
to 105 percent, inclusive. (10 CFR 430.2(2)(ii) The current wording 
calls for the match to be ``between'' (i.e., not ``including'') these 
bounds. Especially with the above switch to using ``nominal cooling 
capacity,'' specifying a set of indoor units that yields an indoor to 
outdoor capacity percentage of either 95 or 105 percent increases 
should be allowed.
    With regard to the third change requested by AHRI, DOE will not 
establish a different limit on the number of indoor units used when 
testing multi-split systems with nominal capacities greater than 
150,000 Btu/h because these systems are outside the scope of this 
residential test procedure rulemaking.
2. Add Alternative Minimum External Static Pressure Requirements for 
Testing Ducted Multi-Split Systems
    Since the inception of DOE central air conditioner and heat pump 
test procedures, the majority of covered products have used a single 
indoor unit designed to work with a multi-branch duct system to 
distribute air within a building. This system imposes an additional 
load (quantified as external static pressure (ESP)) on the indoor 
blower as it distributes and returns air to and from the conditioned 
space.
    When a system is laboratory tested according to the DOE test 
procedure, airflow resistance imposed on the blower by external 
attachments is measured when the indoor blower and the laboratory's 
airflow measurement apparatus maintain the manufacturer-specified air 
volume rate. To constitute a valid setup for ducted indoor units, this 
external resistance measurement must equal or exceed a value--the 
minimum ESP expressed in wc--specified in the DOE test procedure. The 
minimum ESP value depends on one of three minimum rated cooling 
capacities of the tested system: 0.1 in wc for units up to 28,800 Btu/
h, 0.15 in wc for units between 29,000 and 42,500 Btu/h, and 0.2 in wc 
for units 43,000 Btu/h and above. These minimums were adopted from 
industry standards that were in place when the test procedure was 
developed and that have remained unchanged.
    The majority of multi-split systems use non-ducted indoor units. In 
laboratory testing following the DOE test procedure, these free 
discharge units are tested with an ESP of 0 in wc. Multi-splits are 
also offered where one or more of the indoor units is ducted. Compared 
with conventional ducted units, indoor unit ducting for multi-splits is 
shorter and used on the return or supply, or both.
    In its May 27, 2008 letter, AHRI stated that ``many ductless 
manufacturers have `ducted' indoor units that are intended for a 
minimum (less than a few feet) or no duct runs and as a result have a 
rated external static pressure capability of less than 0.1 ESP and 
usually around 0.02 ESP.'' AHRI recommended a mechanism and language 
for addressing this issue in the DOE test procedure. Specifically, AHRI 
suggested that DOE amend its test procedure by adding the following 
footnote to Table 2 of Appendix M (shown as Table III.1 below): ``If 
the manufacturer's rated external static pressure is less than 0.10 in 
wc (25 Pascals (Pa)), then the indoor unit should be tested at that 
rated external static pressure.''

     Table III.1--Minimum External Static Pressure for Ducted Systems Tested With an Indoor Fan Installed *
----------------------------------------------------------------------------------------------------------------
                                                                   Minimum External Resistance [dagger] in wc
                                                               -------------------------------------------------
          Rated cooling or heating capacity ** Btu/h                  SDHV Systems
                                                                    [dagger][dagger]        All other systems
----------------------------------------------------------------------------------------------------------------
<= 28,800.....................................................                     1.10                     0.10
29,000 to 42,500..............................................                     1.15                     0.15
43,000 >=.....................................................                     1.20                     0.20
----------------------------------------------------------------------------------------------------------------
* Source: Table 2 from 10 CFR 430, modified for today's NOPR.
** For air conditioners and heat pumps, this is the value the manufacturer cites in published literature for the
  unit's capacity when operated at the A or A2 test conditions. For heating-only heat pumps, this is the value
  the manufacturer cites in published literature for the unit's capacity when operated at the H1 or H12 test
  conditions.
[dagger] For ducted units tested without an air filter installed, increase the applicable tabular value by 0.08
  in wc.
[dagger][dagger] See definition 1.35 to determine if equipment qualifies as an SDHV system. If a closed-loop air-
  enthalpy test apparatus is used on the indoor side, limit the resistance to airflow on the inlet side of the
  indoor blower coil to a maximum of 0.1 in wc. Impose the balance of airflow resistance on the outlet side of
  the indoor blower.

    In the field, ducted multi-split systems are installed using lower 
pressure duct systems than are typically used to install a conventional 
ducted central air conditioner or heat pump. Consequently, DOE 
recognizes that ducted multi-split systems should not be subject to the 
same minimum ESP requirements as conventional central systems. 
Specifying appropriate minimums, however, is difficult.
    One problem with the language AHRI proposed is that a manufacturer 
could choose an unrealistically low value for the rated external static 
pressure. Because this would likely be a secondary concern (if not 
completely overlooked) when a system is selected, the manufacturer 
lacks an incentive to choose a representative rating. Additionally, 
because the manufacturer is not allowed to select the minimum external 
static pressure when testing a conventional unit, allowing the 
manufacturer to select the minimum when testing a ducted multi-split 
systems would create an unjustifiable inconsistency.
    DOE considered three related factors before formulating an 
alternative to the AHRI proposal. First, the following approach appears 
in the Draft International Standard (DIS) ballot of

[[Page 31233]]

ISO Standard 15402, ``Multi-Split System Air Conditioners and Air-to-
Air Heat Pumps: Testing and Rating for Performance.''

    This ESP shall be greater than the minimum value given in Table 
1 but not greater than 80% of the maximum external static pressure 
specified by the manufacturer. * * * If the maximum ESP of the unit 
is lower than the minimum ESP given in Table 1, then the airflow 
rate is lowered to achieve an ESP equal to 80% of the maximum ESP of 
the manufacturer. In case this ESP is lower than 25 Pa, the unit can 
be considered as a free delivery unit.

    Where the ISO approach ties the tested minimum external static 
pressure to a manufacturer published maximum value while approximating 
the smallest indoor units as non-ducted, the two other inputs suggest 
that the current test procedure requirements are manageable. 
Specifically, manufacturers of single indoor blower coil units that use 
short ducts --sometimes referred to as ``furred down or ceiling mounted 
air handling units''--have never requested that DOE lower the minimum 
static pressure requirements. Further, DOE has received no evidence 
showing that any multi-split indoor unit could not achieve the 
applicable DOE minimum external static pressure when delivering its air 
volume rate.
    DOE proposes an approach that does not require publication of the 
maximum external static pressure. For the systems meeting the 
definition of ``multiple-split air conditioner and heat pumps'' in the 
test procedure (10 CFR part 430, subpart B, appendix M, section 1.30), 
DOE proposes a new set of minimum external static pressures. The 
proposed minimums will be listed in table 2 of appendix M of the test 
procedure, along with the current values for SDHV and all other 
systems. The proposed values are 0.03 in wc for units through 28,800 
Btu/h, 0.05 in wc for units between 29,000 and 42,500 Btu/h, and 0.07 
in wc for units 43,000 Btu/h and above. The proposed minimums seek to 
capture the relative differences between a conventional central ducted 
system and one with the shorter ducts of a typical multi-split system 
installation. Because ducts add resistance, DOE will not adopt the ISO 
approach of testing the smallest systems at zero static pressure. For 
multi-split systems, the applicable minimum external static pressure 
will be assigned based on the nominal/rated cooling capacity of the 
outdoor unit. A static pressure equal to or higher that this minimum 
will be achieved in each outlet duct upstream of the point where they 
connect to the common plenum that leads to the test room's airflow 
measuring apparatus. In addition to ducted multi-split systems, DOE 
proposes applying this new set of minimum external static pressures to 
ducted mini-splits or 1-to-1 systems where the indoor air handler is a 
ducted furred down/ceiling-mounted unit. To limit the 1-to-1 products 
that qualify for the lower minimum static pressures, the single indoor 
unit must not exceed specified dimensions (e.g., no more than 11 in 
high and less than 24 in deep), the indoor unit must use a single slab 
coil that is perpendicular to the flow stream, and the system's rated 
capacity must not exceed 39,000 Btu/h.
    DOE requests comment from interested parties on the proposed lower 
external static pressure levels for certain equipment as described 
above and on the proposed language for ensuring that these levels are 
used only for testing the intended products: ducted multi-splits, 
ducted mini-splits, and ducted furred down/ceiling mounted one-to-one 
units.
3. Clarify That Optional Tests May Be Conducted Without Forfeiting Use 
of the Default Value(s)
    In the DOE test procedure, the manufacturer has two options for 
obtaining a required parameter within the SEER or HSPF calculation 
algorithm: (1) Run one or two additional tests to obtain the necessary 
data; or (2) use a ``default value,'' which may be fixed or derived 
from an approximating equation. For certain frost accumulation tests, 
the DOE test procedure gives the manufacturer the option of conducting 
the test or using default equations to determine the pump's power 
consumption and space heating capacity at 35 [deg]F outdoor temperature 
and at the designated compressor capacity. The test procedure is not 
clear whether defaults are forfeited if the manufacturer conducts the 
optional laboratory test. This matter is clarified here.
    As stated in the DOE test procedure (10 CFR part 430, subpart B, 
appendix M, sections 3.2.1, 3.2.2.1, and 3.2.3), the manufacturer may 
run the optional test(s) for determining a cyclic degradation 
coefficient but still use the default if it is lower than the tested 
value. DOE proposes allowing manufacturers to run the optional test(s), 
with the understanding that they can still use the default value if it 
is more favorable for optional frost accumulation tests. Specifically, 
the manufacturer may use the power consumption and heating capacity 
values derived from conducting the optional frost accumulation test or 
the values calculated using the default equations, whichever set 
contributes to a higher Region IV HSPF based on the minimum design 
heating requirement.
4. Allow a Wider Tolerance on Air Volume Rate To Yield More Repeatable 
Laboratory Setups
    A goal of the DOE test procedure is specifying a consistent 
equipment configuration to obtain repeatable laboratory test results. 
For example, the indoor blower of a particular model should be 
consistently set to the same blower speed setting for a given test 
configuration. More generally, the blower speed setting should be the 
same when performing the same test on all units of the same equipment 
model.
    As part of the equipment setup requirements for most blower-coil 
units, the testing entity (e.g., manufacturer or third party) turns on 
both the indoor unit blower and the test facility exhaust fan. The 
exhaust fan and/or an airflow damper are adjusted until the 
manufacturer-specified indoor air volume rate is obtained. If the 
measured external static pressure equals or exceeds the test procedure 
specified minimum value, testing proceeds without adjustment to the 
indoor unit configuration.
    If the measured external static pressure is below the DOE minimum, 
the setup requires additional effort. The first step is to reduce the 
air volume rate until the measured external static pressure equals the 
DOE minimum. As currently specified in the test procedure, if the 
measured external static pressure does not equal the DOE minimum by the 
time the air volume rate has been reduced to 95 percent of the rated 
value, then the indoor unit blower is turned off, and the indoor unit's 
setup is adjusted to the next highest speed setting.
    The above setup procedure will typically result in the indoor 
blower-coil set to the same speed setting for testing all units of the 
same model. In essence, the procedure handles the inherent variability 
in the external static pressure and air volume rate produced and 
measured for multiple equipment setups. This variability is due to 
manufacturing tolerances and lab measurement uncertainties.
    In its May 27, 2008 letter, AHRI requested that the 5-percent 
tolerance on air volume rate be increased to 10 percent. In addition, 
AHRI recommended that the language for the indoor blower coil setup 
procedure be refined to recognize that some incremental setting changes 
may affect more than fan speed. AHRI gives the example that ``some 
speed tap settings may equate to a specific duration of fan delay 
whereas other settings may translate to no fan delay.'' To address this 
issue, AHRI recommends that DOE

[[Page 31234]]

make incremental changes to the indoor blower setting among settings 
that provide similar operating features.
    AHRI offers two reasons in its May 27, 2008 letter for supporting a 
greater tolerance on air volume rate during the initial setup process: 
The expanding use of constant torque motors for central air 
conditioners and heat pumps blower coils, and the effect of barometric 
pressure. AHRI states that ``for a given speed tap, the air volume rate 
achieved using a constant torque motor is comparatively more variable; 
also the change in power draw as a function of an incremental change in 
the speed tap is also comparatively greater so the impact on efficiency 
will be more pronounced.'' Barometric pressure affects air density and 
the water vapor content for a given db/wb combination. Thus, barometric 
pressure affects capacity through both the air volume rate and the 
enthalpy change of the air. As referenced in the AHRI letter, 
barometric pressure effects are especially important, as most 
manufacturers' in-house testing is conducted at a lower elevation and 
typically higher barometric pressure than at the industry's primary 
independent certification testing facility.
    In response to AHRI's May 27, 2008 letter, DOE proposes to increase 
the tolerance on air volume rate from 5 to 10 percent. In addition, DOE 
proposes to adopt AHRI's recommendation to refine the indoor blower 
coil setup procedure to recognize that some incremental changes to the 
setting may affect more than the fan speed. DOE used computer modeling 
and laboratory data to determine that a 10 percent difference in air 
volume rate will cause total capacity to decrease between 1.3 to 2 
percent, while having the total system power consumption fall between 1 
to 1.8 percent for a minimally compliant system. Because capacity and 
power impacts are similar, the EER and SEER impacts are less. SEER is 
projected to decrease between 0.2 and 0.4 percent. Thus, this proposed 
change has the potential to affect the measured capacity such that it 
may make it more difficult to meet the industry certification program's 
95 percent capacity tolerance. The impact on the DOE regulated 
descriptor of SEER, however, is well within the measurement 
uncertainty, even for the limiting case of a 10-percent departure.
    DOE requests data and comments from interested parties on the 
impact of the change from 5 to 10 percent tolerance on air volume rate.
5. Change the Magnitude of the Test Operating Tolerance Specified for 
the External Resistance to Airflow and the Nozzle Pressure Drop
    The DOE test procedure specifies both test operating and condition 
tolerances. Test operating tolerances indicate the maximum range that a 
parameter may vary during the data collection interval. For any given 
test, operating tolerances are specified for a few different 
parameters. For each parameter, the difference between the highest and 
lowest instantaneous measurement for the data collection interval must 
not exceed the specified operating tolerance in order to constitute a 
valid test.
    The test operating tolerance for external resistance to airflow is 
0.05 in wc. The test operating tolerance for nozzle pressure drop is 
2.0 percent. Both tolerances, which apply for all cooling and heating 
tests were included in industry standards (e.g., ASHRAE Standard 37) 
that pre-date the first publication of the DOE central air conditioner 
and heat pump test procedure. The DOE test procedure adopted the two 
tolerances at its inception and has not changed it. For current 
industry standards, the tolerances appear in the 2009 version of ASHRAE 
Standard 37.
    The two test operating tolerances are often exceeded when an 
electronic pressure transducer is used to measure differential pressure 
instantaneously. The likelihood of exceeding the tolerance increases 
with higher sampling rates and when testing indoor blowers whose 
controls actively regulate operation of the blower's motor. One example 
is a blower with a variable-speed motor designed to maintain the air 
volume rate regardless of the airflow resistance. In contrast, these 
test operating tolerances are usually satisfied if the differential 
pressures are measured using liquid manometers. The fluid provides 
mechanical damping that tends to stabilize readings.
    DOE proposes to loosen the existing tolerances from 0.05 to 0.12 in 
wc for the test operating tolerance assigned to the external resistance 
to airflow and from 2.0 percent to 8.0 percent for the nozzle pressure 
drop tolerance because the pressure fluctuations are real (10 CFR, 
subpart B, appendix M, revised tables 7, 8, 13, 14 and 15). The 
proposed changes in the magnitude of the tolerances are based on 
limited data obtained from laboratory testing of a variable-speed, 
constant air-volume-rate blower using electronic pressure transducers 
with a 5-second sampling rate. This data indicated that the current 
tolerances could rarely be achieved when using and electronic pressure 
transducer instead of a liquid manometer. Matching or remaining within 
the proposed tolerances, by comparison, was far more achievable.
    At this stage, DOE proposes amended values for the two tolerances 
rather than their complete elimination because they still help assure 
data is taken during a period of relatively steady operation. 
Additional steps, however, may be warranted. For example, a prescribed 
algorithm for identifying outliers and/or establishing minimum 
intervals over which all instantaneous measurements are averaged (e.g., 
minutely averages) may also be needed to strike the necessary balance 
between defining test tolerances that promote repeatable test results 
while not extending test times. Another option may be to introduce a 
mechanical means for damping the high frequency pressure fluctuations 
that are fed to the electronic pressure transducer to mimic a liquid 
manometer. Such damping would be acceptable because the measurements 
would still reveal whether the flow was steady or trending higher or 
lower.
    DOE seeks comments from interested parties about the proposal to 
increase the test operating tolerance for the external resistance to 
airflow from 0.05 to 0.12 in wc and increase the test operating 
tolerance for the nozzle pressure drop from 2.0 percent to 8.0 percent. 
In addition, comments on alternative or additional steps to assure the 
capacity and electrical power data are collected over a 30-minute 
period of consistent operation are encouraged.
6. Modify Third-Party Testing Requirements When Charging the Test Unit
    DOE proposes to revise section 2.2.5, ``Additional refrigerant 
charging requirements,'' of the test procedure. Most of the proposed 
revisions originate from the requirements listed in section 9.8.1.1 of 
the 2008 ARI General Operations Manual for AHRI Certification Programs. 
DOE adopted the current language in section 2.2.5 of the DOE test 
procedure in the October 2005 final rule. The section 2.2.5 text covers 
details not addressed in the test procedure prior to the October 2005 
rule, such as charging instructions that differ for field installations 
versus laboratory testing and the procedure for manufacturers and 
third-party testing entities to resolve questions on charging a 
particular system. In the months following publication of that rule, 
AHRI members reconsidered refrigerant charging, mainly within the 
context of implementing its third-party certification program. During 
the August

[[Page 31235]]

23, 2006 public meeting, Rheem Manufacturing Company shared AHRI's view 
of key shortcomings. These include provisions in section 2.2.5 
regarding available options when a unit is charged and tested by a 
third party. These provisions failed to disallow charge manipulation 
during the testing process (e.g., different charging criteria for the 
cooling mode tests versus the heating mode tests).
    AHRI provided language from the current version of the AHRI General 
Operations Manual so that all or part of it may be considered for 
incorporation into the DOE test procedure. The specific AHRI text of 
interest is as follows:

    9.8.1.1 Test Sample Refrigerant Charge. All test samples will be 
charged in accordance with the following instructions and those 
provided in the manufacturers' Installation and Operational (I/O) 
Manuals.
    Determine refrigerant charge at the Standard Rating Condition in 
accordance with instructions from I/O Manual. For a given specified 
range for superheat, sub-cooling, or refrigerant pressure, the 
average of the range shall be used to determine the refrigerant 
charge. If multiple instructions are given, the manufacturer will be 
asked to sign off on the preferred method.
    The testing laboratory will then add or subtract the correct 
amount of refrigerant to achieve the pre-determined superheat, sub-
cooling, or refrigerant pressure. This single charge will then be 
used to conduct all cooling cycle and heating cycle tests.
    Once the correct refrigerant charge is determined, the test will 
run until completion without interruption.

    DOE proposes to adopt selected elements of the above AHRI 
procedures. (10 CFR part 430, subpart B, appendix M, section 2.2.5) The 
proposed changes promote consistency with current AHRI certification 
practices, including explicitly disallowing charge manipulation once 
the initial charging procedure is completed, while differing on the 
approach of addressing cases where a manufacturer either provides no 
instructions or provides more than one set of charging instructions. In 
particular, DOE chose not to implement a ``sign off'' option as AHRI 
uses because the proposed approach of specifically addressing the setup 
procedure in these two special cases is effective and less burdensome.
7. Clarify Unit Testing Installation Instruction and Address 
Manufacturer and Third-Party Testing Laboratory Interactions
    DOE proposes to add language to section 2.2 of the test procedure. 
The additions seek to clarify installation instructions and, when 
third-party testing is conducted, to clarify that interaction with the 
manufacturer is allowed.
    The AHRI Certification Program and the DOE test procedure focus on 
different aspects of the rating process. The AHRI program conducts 
verification testing of full production of randomly sampled units taken 
from the manufacturer's inventory. By comparison, the DOE test 
procedure is typically conducted before a new model of air conditioner 
or heat pump is introduced into the market. Therefore, testing is 
usually performed on first production or pre-production units, each of 
which meets the requirement in 10 CFR 430.24 that testing be done on 
``units which are production units, or are representative of production 
units.'' When testing pre-production units, the installation 
instructions are not packaged with the unit or perhaps not even 
finalized. DOE proposes adding language on how to handle such cases. 
(appendix M, revised section 2.2) Some of the restrictions on 
interactions between third-party testing laboratories and 
manufacturers, imposed as part of the AHRI Certification Program, do 
not apply to the DOE test procedure. One example is AHRI's General 
Operations Manual requirement that ``only laboratory personnel shall 
install test units.'' The policy is useful to AHRI because 
certification testing checks DOE ratings. AHRI does not want individual 
manufacturers to slow the testing process or reveal information about a 
competitor. On the other hand, DOE will not prohibit a manufacturer 
from interacting with a third-party testing laboratory if the latter is 
contracted to perform work similar to in-house manufacturers. (10 CFR 
part 430, subpart B, appendix M, revised section 2.2a) In the event of 
a DOE enforcement action, DOE places no restrictions on manufacturer 
involvement as long as the test unit installation and laboratory 
testing are conducted in complete compliance with all other 
requirements in the DOE test procedure. The highest order of these 
other requirements is to install the unit according ``the 
manufacturer's installation instructions,'' as stated in section 8.2 of 
ASHRAE Standard 37, where the first source for those instructions is 
the published literature that comes packaged with the unit.
    This second issue on the allowed interactions between third-party 
testing laboratory and the manufacturer was addressed in a previous 
rulemaking (70 FR 59122) but only as it pertained to the specific 
installation step of refrigerant charging (section 2.2.5 of the test 
procedure). Because the interaction applies to the entire installation 
process, DOE proposes to address the issue in section 2.2 and, as a 
result, existing section 2.2.5 language on this topic is proposed for 
deletion.
8. When Determining the Cyclic Degradation Coefficient CD, 
Correct the Indoor-Side Temperature Sensors Used During the Cyclic Test 
to Align With the Temperature Sensors Used During the Companion Steady-
State Test, If Applicable
    In the DOE test procedure, the results from two optional dry-coil 
cooling mode tests--one steady-state, one cyclic--provide the inputs to 
calculate cooling mode cyclic degradation coefficient(s), CcD. For the 
heating mode, the results from one of the required steady-state tests 
plus the results from an optional cyclic test are used to calculate the 
heating mode cyclic degradation coefficient, ChD. In all cases, the two 
tests for calculating a cyclic degradation coefficient are conducted 
consecutively, with the steady-state test conducted first.
    Both the steady-state (10 CFR part 430, subpart B, appendix M, 
sections 3.4 and 3.7) and cyclic (10 CFR part 430, subpart B, appendix 
M, sections 3.5 and 3.8) CD tests require calculating the change in the 
db temperature on the indoor side. To complete these measurements, the 
laboratory test setup includes redundant sets of temperature sensors 
and associated instrumentation. In many cases, one set of temperature 
sensors provides the primary measurement of the change in db 
temperature for all steady-state tests, while the second set provides 
the same primary measurement for all transient tests, including the 
cyclic CD test. Using two sets of temperature sensors allows highly 
accurate measurements during the steady-state test; comparatively less 
accurate but necessarily faster-responding measurements are achieved 
during the transient tests. The DOE test procedure refers to ASHRAE 
Standard 41.1-1986 (RA 2001) for recommendations and requirements on 
making these temperature measurements.
    Cyclic degradation coefficients are used to obtain a relationship 
between part-load factor (PLF) and the percent on-time of the unit. PLF 
is a ratio of the cyclic to the steady-state EER. The consecutive CD 
tests are used to obtain one point on the PLF versus percent on-time 
plot. Because the results of the consecutive CD tests define a ratio, 
the preferred testing approach is to limit differences between the two 
tests. Using one set of instrumentation to measure the change in the db 
air temperature entering and leaving the indoor unit

[[Page 31236]]

during the steady-state CD test and a different set for the companion 
cyclic CD test is a source of potential bias.
    To avoid conflict, DOE may require that the same temperature 
measurement instrumentation be used for both consecutive CD tests. The 
Standards Project Committee revising ASHRAE Standard 116, ``Methods of 
Testing for Rating Seasonal Efficiency of Unitary Air Conditioners and 
Heat Pumps,'' considered this alternative but chose to make it a 
recommendation, not a requirement (see clause 5.1.4 of ASHRAE Standard 
116-1995R, ``Method of Testing for Rating Seasonal Efficiency of 
Unitary Air Conditioners and Heat Pumps,'' First Public Review draft). 
A second option is to correlate the instrumentation used for the 
primary measurement of the temperature difference of the cyclic CD test 
to that used for the primary measurement during the steady-state CD 
test. Some industry members have implemented this correlation approach 
and found that it improves repeatability.
    DOE proposes to require a correlation step for testing laboratories 
that use different instrumentation to measure the change in the db 
temperature of the air entering and leaving the indoor unit during the 
steady-state CD test versus the cyclic CD test. This correlation step 
is conducted during the steady-state CD test. During the test, both 
sets of instrumentation--those sensors providing the primary 
measurement during the steady-state (set SS) and during the cyclic (set 
CYC) tests--measure the indoor-side air db temperature difference. For 
both sets of instrumentation, measurements made at equal intervals that 
span 5 minutes or less determine the temperature difference. Once the 
30-minute data collection period begins for the steady-state CD test, 
an average temperature difference is calculated based on the sets SS 
and CYC instrumentation after a minimum of 7 data samples and 6 minutes 
or more. The average temperature differences are then used to calculate 
the CD correlation factor, FCD:

[GRAPHIC] [TIFF OMITTED] TP02JN10.304

    An updated FCD value shall be recalculated every minute or after 
each data sample, whichever occurs later. In addition, each 
recalculated ratio shall be based on the same number of data samples 
and same elapsed time as used for the first FCD. For the example case 
of a sampling rate of 1 minute or less, the first FCD shall be based on 
data collected from elapsed time of 0 to 6 minutes, the second from 1 
to 7 minutes, the third from 2 to 8 minutes, and so on.
    Upper and lower limits are proposed for FCD to provide a uniform 
basis as to how much the two temperature measurements may deviate. The 
proposed allowable range of FCD is 0.94 to 1.06. Laboratories that 
sample at a rate of every minute or less can evaluate the first FCD as 
soon as 6 minutes after the start of the normal 30-minute data 
collection period. If this first or any subsequent value of FCD is 
outside the proposed application range of 0.94 to 1.06, then the 
testing laboratory can make a decision to abort the test in advance of 
completing the 30-minute data collection period. By comparison, if a 5-
minute sample rate is used, FCD falling within the allowed range will 
remain unknown until the 30-minute data collection period is completed. 
In this case, up to 24 minutes of laboratory testing time may be lost 
from a longer wait to evaluate compliance.
    If the value of FCD at the conclusion of the 30-minute period 
(saved FCD) falls outside the range of 1.0  0.6, then the 
test sequence must be terminated, and steps taken to improve the 
agreement between the sets SS and CYC instrumentation. Calibration of 
one or both sets of instrumentation in accordance with ASHRAE Standard 
41.1 may be necessary. Once the remedial steps are complete, the 
steady-state CD test shall be repeated. For cases within the accepted 
range, the saved FCD shall thereafter be used during the cyclic CD test 
to adjust the indoor-side temperature difference or a time-integrated 
value of the same determined using the set CYC instrumentation. For 
example, with respect to section 3.5 of Appendix M, the equation for 
the integrated, indoor-side air temperature difference will be written 
as follows:

[GRAPHIC] [TIFF OMITTED] TP02JN10.303

    The value of FCD shall be used only to adjust the set CYC 
temperature difference measurement from the cyclic CD test that 
immediately follows the steady-state CD test that yields the 
correlation factor. The FCD determined and applied for one set of 
consecutive CD tests shall not be used to adjust the set CYC 
temperature difference measured during a second cyclic CD test or 
during a frost accumulation test.
    DOE proposes to decrease the minimum sampling rate of the db 
temperature difference from the current value of every 10 minutes to 
every 5 minutes to obtain a more representative value of FCD. As an 
extension of this modification, DOE proposes to change the long-
standing minimum sampling rate for all steady-state tests from 10 to 5 
minutes. The 10-minute sampling interval rate allows time for some 
measurements to be hand-recorded. Improved test quality and results, 
advances in electronic instrumentation, and the low cost of computer-
based versus manual recording justify the minimum sampling rate change.
    DOE seeks comments from interested parties on the introduction and 
calculation of the cyclic degradation correlation factor. DOE also 
seeks comments on the change in sampling rate from 10 to 5 minutes.
9. Clarify Inputs for the Demand Defrost Credit Equation
    The demand defrost credit (Fdef) is a direct multiplier within the 
HSPF calculation Eq. 4.2-1 in the DOE test procedure. The factor 
provides nominal credit for heat pumps with a demand defrost control 
system. Systems that meet DOE requirements in test procedure definition 
1.21, ``demand defrost control system,'' qualify for this credit. The 
multiplier has a value between 1.00 and 1.03, which is a 0 to 3 percent 
increase in the HSPF rating. The credit is evaluated using the 
following equation from section 3.9.2 of the DOE test procedure:
[GRAPHIC] [TIFF OMITTED] TP02JN10.239

Where:

[Delta][tau]def = time between defrost terminations (in hours) or 
1.5, whichever is greater, and
[Delta][tau]max = maximum time between defrosts as allowed by the 
controls (in hours) or 12, whichever is less.

    The demand defrost credit was incorporated into the test procedure 
during the rulemaking completed in March 1988 and has remained 
unchanged. 53 FR 8319. DOE mistakenly overlooked inputs to this 
equation during the most recent test procedure final rulemaking, in 
which DOE shortened the maximum duration of all frost accumulation 
tests from 12 to 6 hours. DOE has since considered two options for 
calculating the credit: (1) Update the evaluation of [Delta][tau]max to 
read ``maximum time between defrosts as allowed by the controls (in 
hours) or 6 hours, whichever is less;'' and (2) reinforce that the 
current form of the equation still applies and, when a defrost cycle is 
not completed before the maximum time, assign [Delta][tau]def the value 
of 6 hours. DOE proposes to adopt this second option in today's notice.
    As discussed in the October 2007 final rule, the change from a 
maximum

[[Page 31237]]

test duration of 12 to 6 hours rarely affected testing; when it did, 
there was a negligible impact on the calculation of the average heating 
capacity and power consumption at a 35 [deg]F outdoor temperature. The 
main reason for changing the maximum limit to 6 hours was to reduce the 
test burden when frost did not build on the outdoor coil. The frost 
accumulation tests at low-capacity for two-capacity heat pumps and at 
the intermediate compressor speed for variable-speed units are the two 
leading cases where this revision may help reduce that burden. Since 
the institution of this change, DOE has not received any comments or 
information about the effects on heating capacity or power.
    Shortening the maximum duration of the frost accumulation test 
affects heat pumps that would otherwise conduct a defrost after 6 but 
before 12 hours in two ways. First, as recognized during the October 
2007 final rule process, such heat pumps benefit slightly from not 
having a defrost cycle factored into their average heating capacity 
calculation. Second, they earn a higher demand defrost credit than they 
would have earned previously. As a worst case (e.g., unit's demand 
defrost controls actuate at 11.999 hours while the unit's maximum 
duration is 12 hours or more), the approximated demand defrost credit 
is now 1.017 compared to the ``true'' value of 1.000.
    In summary, the proposed rule includes additional language 
clarifying that manufacturers must assign [Delta][tau]def the value of 
6 hours if this limit is reached during a frost accumulation test and 
the heat pump has not completed a defrost cycle. A sentence is also 
added to indicate that the manufacturer must provide the value of 
[Delta][tau]max.
    DOE seeks comments from interested parties on this proposal for 
calculating the demand defrost credit (Fdef) for cases where the Frost 
Accumulation Test is terminated because the heat pump does not initiate 
a defrost within the maximum allowed 6-hour heating interval.
10. Add Calculations for Sensible Heat Ratio
    SHR is a parameter that indicates the relative contributions of the 
air conditioner's or heat pump's cooling output that reduces the db 
temperature of the air (i.e., sensible cooling) to the cooling output 
that reduces the moisture content in the air (i.e., latent cooling). 
The parameter is calculated by dividing the sensible cooling capacity 
by the total cooling capacity. Total cooling capacity is the sum of the 
sensible and latent cooling capacities. For example, an SHR of 0.75 
indicates that 75 percent of the cooling is sensible and 25 percent is 
latent.
    The DOE test procedure considers total building cooling loads and 
total cooling equipment capacities as part of the SEER calculation. The 
cooling load and capacity are not divided into their sensible and 
latent components. Based on historical data, equipment SHRs have 
remained relatively unchanged as equipment SEER ratings have increased. 
In addition, cooling equipment has historically provided a reasonable 
match to the sensible and latent loads of the building or residence. 
However, better insulation of homes and small commercial buildings has 
helped reduce sensible building loads. Particularly in more humid 
climates, this reduction in the sensible building load can make the 
latent building load more prominent.
    SHR differences among equipment having approximately the same SEER 
have always existed. For example, 2001 Amrane, Hourahan, and Potts data 
reported in the January 2003 ASHRAE Journal (pp. 28-31) show SHR values 
that vary by at least 0.10 for a given SEER value. When humidity 
control is a concern, consumers and their contractors may wish to know 
the SHRs of different units to make a more informed decision.
    The measurements required to calculate the SHR from a DOE wet-coil 
cooling mode test are taken as part of the DOE test procedure. In fact, 
manufacturers and independent testing laboratories routinely determine 
SHR. DOE proposes to add the SHR calculation to its test procedure to 
endorse the calculation and its continued use explicitly. (10 CFR part 
430, subpart B, appendix M, revised section 3.3c and proposed section 
4.5)
11. Incorporate Changes to Cover Testing and Rating of Ducted Systems 
Having More Than One Indoor Blower
    The majority of residential central air conditioners and heat pumps 
employ a single blower and a single refrigerant-to-air coil. Typical 
multi- and some mini-splits use more than one indoor unit, with the 
indoor units using one blower and one coil. However, a newer type of 
residential central system that uses more indoor blowers than indoor 
coils does not follow this one-to-one blower-to-coil ratio.
    The multi-blower design facilitates zoning when the system responds 
to more than one thermostat. Associated with the zoning feature are 
capacity modulation and variations in electrical power consumption. The 
first and more limited means of affecting capacity and power use is 
controlling the number of indoor blowers that are turned on and, where 
applicable, altering the blower's speed (if equipped with a multi-stage 
or variable-speed motor). The second and broader means of affecting 
power consumption occurs in systems that use a single outdoor unit 
equipped with a two-stage compressor or in systems consisting of two 
outdoor units, each having single-speed compressors.
    DOE proposes modifications to cover the testing and rating of 
systems using a multi-blower indoor unit. These systems will be treated 
as if all zones depend on outdoor temperature such that they respond to 
the same load profile as a single-zone system. DOE test procedure 
algorithms for covering two-capacity units and systems having a single-
speed compressor with a variable-air-volume rate indoor blower would 
provide the basis for the algorithms that address systems with a multi-
blower indoor unit (10 CFR 430, subpart B, appendix M, revised sections 
2.2.3, 2.4.1, 3.1.4.1.1, 3.1.4.2, 3.1.4.4.2, 3.1.4.5, 3.2.2, 3.2.2.1, 
and 3.6.2; proposed sections 3.2.6, 3.6.7, 4.1.5, and 4.2.7; and 
revised tables 4 and 10).
    On August 28, 2008, DOE published a decision and order granting a 
waiver from the DOE Residential Central Air Conditioner and Heat Pump 
Test Procedure for a line of multi-blower indoor units that may be 
combined with one single-speed heat pump outdoor unit, one two-capacity 
heat pump outdoor unit, or two separate single-speed heat pump outdoor 
units. 73 FR 50787-50797. For the two separate single-speed outdoor 
units, the chosen indoor coil contains two independent refrigeration 
circuits, each fed by one of the outdoor units.
    The above-referenced waiver covers products that use two to eight 
indoor blowers with a single- or dual-circuit indoor coil. To simplify 
the testing and rating algorithm, DOE structured the waiver so that 
each system was evaluated with all and with half of the indoor blowers 
operating. DOE did not consider any other potential blower 
combinations. For systems offering compressor modulation, a high-stage 
compressor operation was evaluated only when all blowers were on, and 
the low-stage was evaluated with half the blowers on.
    DOE proposes to amend the test procedure to allow the coverage of 
systems that use a multi-blower indoor unit to address the same type of 
equipment covered by the test procedure waiver granted to Cascade 
Group, LLC.

[[Page 31238]]

12. Add Changes To Cover Triple-Capacity, Northern Heat Pumps
    On February 5, 2010, DOE granted Hallowell International a waiver 
from the DOE test procedure on how to test and rate its line of boosted 
compression heat pumps. (24 FR 6014-6018) These heat pumps offer three 
stages of compressor capacity when heating, with the third stage being 
designed to provide greater heating capacity at the lowest outdoor 
temperatures. The approved waiver contained additional laboratory tests 
and calculations steps that were specific to obtaining an HSPF rating 
for the Hallowell heat pumps. No changes to the DOE test procedure were 
required to evaluate the SEER for these heat pumps. The test procedure 
sections covering two-capacity systems when operating in a cooling mode 
are applicable for the Hallowell heat pumps.
    Proposed test procedure amendments are offered as part of this 
rulemaking to cover heat pumps that provide three levels or stages of 
heating capacity like the Hallowell units. The proposals seek to cover 
the more generic case of such technology.. The proposal includes, 
additional laboratory testing to capture the effect on both capacity 
and power of the additional stage of heating operations.. The proposed 
building load assigned by HSPF calculations requires evaluation based 
on the application in which high-stage compressor capacity for heating 
exceeds that for cooling. Finally, the proposed coverage accounts for 
controls that lock out one or two heating mode capacity levels at any 
given outdoor temperature. Once these proposals are incorporated into 
the test procedure, the need for a waiver will be eliminated and the 
requirements will apply to all manufacturers who offer equipment with 
this technology.
    DOE proposes adding two required steady-state tests to quantify the 
heating capacity and power consumption characteristics of the third 
stage of heating. One test would be conducted at the existing outdoor 
temperature test condition of 17 [deg]F db/15 [deg]F wb temperature 
(H33). The second test would be at a new outdoor test condition (H43), 
2 [deg]F db/1 [deg]F wb. This proposed outdoor temperature condition is 
slightly higher than the 0 [deg]F db/-2 [deg]F wb condition proposed by 
Hallowell and cited in the approved waiver. The alternative condition 
is proposed with the intent of specifying a test condition that is 
marginally more achievable for testing laboratories. Finally, two 
optional tests are proposed, a Frost Accumulation Test and a cyclic 
test with the heat pump operating at its third or boosted compression 
stage (10 CFR part 430, subpart B, appendix M, proposed section 3.6.6).
    DOE is proposing equations for calculating the capacity and 
electrical power consumption of the heat pump as a function of the 
outdoor temperature when operating at its highest stage of compressor 
capacity. As part of the proposal, the heating building load used in 
the HSPF calculation, would also be based on the capacity measured 
during the H1 test condition (47 [deg]F db/43 [deg]F wb outdoor 
temperatures). The compressor would operate at the same speed or stage 
as in the (A2) cooling mode test at 95 [deg]F outdoor db. The HSPF 
calculation algorithm would be an extension of the approach currently 
used in the DOE test procedure for two-capacity heat pumps. The active 
stages of heating capacity available for each bin temperature 
calculation would be based on the control logic of the unit (10 CFR 
part 430, subpart B, appendix M, proposed section 4.2.6).
    DOE seeks comments from interested parties on the inclusion of test 
procedure amendments to cover heat pumps that offer three stages of 
compressor capacity when heating.
13. Specify Requirements for the Low-Voltage Transformer Used when 
Testing Coil-Only Air Conditioners and Heat Pumps and Require Metering 
of All Sources of Energy Consumption During All Tests
    The transformer that powers the low-voltage components of a field-
installed hot-air furnace and add-on (coil-only) air conditioner or 
heat pump resides in the furnace. A coil-only air conditioner or heat 
pump with a hot-air furnace is not typically laboratory tested. As a 
result, the DOE test procedure does not specify the low-voltage source 
of power for the compressor contactor, control boards, and most heat 
pump reversing valves. Because the test procedure does not stipulate 
metering requirements, the associated power consumption is typically 
unmetered, which makes the choice of the transformer used 
inconsequential. A 100 volt amp (VA) transformer powered by a 230 V 
input works as well as a 40 VA model powered by a 115 V input.
    Because coil-only equipment mainly competes against like equipment, 
not accounting for low-voltage components' power consumption in the 
past was not a glaring deficiency as the comparable impact on SEER and 
HSPF ratings. However, in seeking to account for all modes and sources 
of energy consumption as per section 310 of EISA 2007, DOE proposes 
that the energy consumption of low-voltage components of coil-only 
systems be measured and included in the applicable rating descriptors. 
DOE anticipates needing to specify a VA rating for the transformer used 
for laboratory testing, while requiring that the input voltage be the 
same as that provided to the outdoor unit (e.g., 230 V).
    An indoor wall thermostat is not typically used for laboratory 
testing of a central air conditioner or heat pump. For this rulemaking, 
DOE considered but decided against assigning a default power value to 
account for the absence of the wall thermostat. Some thermostats use no 
power or are battery powered. If a low-voltage-powered electronic 
thermostat is used, its power consumption is often low, usually less 
than a watt or two. In most cases, an air conditioner or heat pump can 
be installed in a system that includes a variety of wall thermostats. 
It is not possible to know the type of thermostat that will be used or 
its power consumption.
    For testing coil-only air conditioners and heat pumps, DOE proposes 
that the power consumption of the low-voltage system components be 
metered. Additionally, the transformer would be rated to provide 24 V, 
have a load rating of either 40 or 50 VA, and would be designed to 
operate with a primary input of 230 V, single phase, 60 hertz. The 
transformer may be powered by the same source as the outdoor unit or a 
separate 230 V source. The key requirement is that the instrument 
measuring the transformer's power consumption during the off mode power 
or any other test must do so within the prescribed measurement 
accuracy.
14. Add Testing Procedures and Calculations for Off Mode Energy 
Consumption
    SEER is a seasonal descriptor that accounts for all (modes of) 
energy consumption that occurs during the cooling season, including 
times when the air conditioner or heat pump is cycled off because the 
building thermostat is satisfied. HSPF is a seasonal descriptor for 
heat pumps that accounts for all (modes of) energy consumption during 
the heating season. The current test procedure does not cover the 
energy consumption of an air conditioner during the heating season when 
the unit is typically turned off at the thermostat but its controls and 
protective devices remain energized. The current test procedure also 
does not account for a complete 8,760-hour year as part of the annual 
cost calculation. As documented in appendix A of ASHRAE Standard 137-
2009, ``Method of Testing

[[Page 31239]]

for Efficiency of Space-Conditioning/Water Heating Appliances that 
Include a Desuperheater Water Heater,'' the combination of the 
location-specific cooling and heating load hours used in the annual 
cost calculation is less than 8,760. The missing hours correspond to 
the intervals during which space conditioning is not required because 
the outdoor temperature is moderate, as during the shoulder seasons 
that occur between the cooling and heating seasons. Neither SEER nor 
HSPF account for energy consumed during the shoulder seasons.
    To provide a means for more clearly accounting for the energy 
consumption during the shoulder seasons and, for air conditioners, the 
energy consumption during the heating season, DOE proposes to define 
that such times occur when the air conditioner or heat pump is in an 
``off mode.'' DOE proposes the following definition.

    The term ``off mode'' means:
    (1) For air conditioners, all times during the non-cooling 
season of an air conditioner. This mode includes the ``shoulder 
seasons'' between the cooling and heating seasons when the unit 
provides neither heating nor cooling to the building plus the entire 
heating season, when the unit is idle. The air conditioner is 
assumed to remain connected to its main power source at all times 
during the off mode; and
    (2) For heat pumps, all times during the non-cooling and non-
heating seasons of a heat pump. This mode includes the ``shoulder 
seasons'' between the cooling and heating seasons when the unit 
provides neither heating nor cooling to the building. The heat pump 
is assumed to remain connected to its main power source at all times 
during the off mode.

    Notably, the above proposed definition differs from the one 
provided in section 310 of EISA 2007, which amended section 
325(gg)(1)(A) of EPCA. (42 U.S.C. 6295(gg)(1)(A)) This section of EPCA 
applies to a wide range of covered products, and as a result, the 
definitions for off-mode, active mode, and standby mode are relatively 
general in order to address all possible energy consuming modes. Rather 
than introduce alternative definitions for all of these modes within 
the central air conditioner and heat pump test procedure, DOE proposes 
modifying only the definition for off-mode as part of this rulemaking.
    DOE proposes new laboratory tests and a separate calculation 
algorithm for estimating the energy consumption during the off-mode 
season. The new tests and calculations are used to determine an average 
power consumption for the collective shoulder seasons and, for air 
conditioners, an average power consumption during the heating season. 
The shoulder season's off-mode power consumption will be designated as 
P1, which affects both air conditioner and heat pump energy usage. The 
heating season off-mode power consumption will be designated as P2, 
which only affects air conditioner energy usage.
    (10 CFR part 430, subpart B, appendix M, proposed section 3.13)
    DOE has determined that it is not technically feasible to integrate 
off-mode energy use into the SEER and HSPF metrics because they are 
both seasonal descriptors. These seasonal descriptors should not be 
used to account for the out-of-season of off-mode energy consumption--
i.e., the energy consumed during the shoulder seasons and during the 
heating season. To do so would alter the basis of SEER and HSPF. The 
basis for the integrated SEER for an air conditioner would be annual 
performance, while the basis for the integrated SEER and HSPF for a 
heat pump would be part-year performance. Annual and part-year bases 
for SEER and HSPF are inconsistent with the definitions of these 
regulating metrics. Moreover, the difference in bases, annual for the 
air conditioner versus part-year for the heat pump, disallows the use 
of the integrated SEER for comparing an air conditioner to a heat pump. 
Therefore, to maintain the technical integrity of SEER and HSPF and to 
account for off-mode (off season) energy consumption, DOE has developed 
a separate algorithm to calculate the off-mode (off season) energy 
consumption.
    The proposed P1 and P2 parameters are used to evaluate the off-mode 
energy consumption for any generalized climatic region or specific 
location.
    The shoulder season average off-mode power P1 (for air conditioners 
and heat pumps) would be multiplied by the appropriate shoulder season 
hours to obtain the energy consumed during the collective shoulder 
seasons. For air conditioners during the heating season, the average 
off-mode power P2 would be multiplied by the applicable heating season 
hours to obtain the energy consumed. The calculation of an air 
conditioner's annual energy consumption and annual operating cost would 
include both the shoulder season energy consumption and the energy 
consumed during the heating season. For heat pumps, the energy 
consumption during the shoulder seasons would be included in the 
calculation of the annual energy consumption and annual operating cost.
    As part of today's notice, DOE provides the actual hours associated 
with cooling, heating, and the collective shoulder seasons for six 
generalized climatic regions currently defined in the test procedure. 
DOE also includes actual hours that correspond to the 1,000 cooling 
load and the 2,080 heating load hours referenced in 10 CFR 430.23(m), 
``Test procedures for the measurement of energy and water consumption--
central air conditioners and heat pumps,'' as the representative 
average use cycles. Additionally, DOE provides equations for 
calculating the actual hours for the cooling, heating, and collective 
shoulder seasons corresponding to any cooling and heating load hour 
combination.
    As noted above, it is not technically feasible to use SEER and HSPF 
to account for the off-mode energy use. SEER and HSPF are the seasonal 
performance descriptors for the cooling and heating seasons, 
respectively. Moreover, such changes would have a deleterious impact on 
the manufacturer and confuse the consumer. Air conditioners and heat 
pumps would no longer be comparable and their energy efficiency values 
would only apply to similar climactic regions (i.e. one specific 
combination of cooling season hours, heating season hours, and shoulder 
season hours). If these energy efficiency values were integrated, SEER 
would be different in Maine than in Florida for similar air conditioner 
design. Therefore, additional precautions would be required to make 
sure the manufacturer only labels the units with a ``locally 
integrated'' SEER when selling a unit. This new complexity would 
require the consumer to have a technically pertinent knowledge to make 
an informed purchasing decision.
    DOE seeks comments from interested parties about off-mode power 
consumption, its definition, and how DOE proposes to add it to the test 
procedure.
15. Add Parameters for Establishing Regional Standards
    Implementation of regional standards for central air conditioners 
and heat pumps is allowed if justified. (42 U.S.C. 6295(o)(6)(D)(i)) 
Before DOE can establish regional standards it must fulfill two 
statutory requirements: (1) That the establishment of additional 
regional standards will produce significant energy savings in 
comparison to establishing only a single national standard; and (2) 
that the additional regional standards are economically justified. DOE 
has considered regional standards from two perspectives: (1) Using the 
existing SEER and/or HSPF rating but setting the regional standard 
higher than the national standard; and (2) evaluating the

[[Page 31240]]

regional SEER and/or HSPF using a different algorithm and establishing 
a standard based on this region-specific SEER and/or HSPF. As part of 
its standards rulemaking, DOE is considering the merits of both 
alternatives. Notably, DOE does not have authority to use a performance 
metric other than SEER and HSPF to quantify performance, either as part 
of a national rating or as part of a regional rating. EER and COP, for 
example, cannot be used.
    To consider a standard based on a region-specific SEER and/or HSPF, 
DOE must implement changes to the test procedure. Proposed test 
procedure changes are itemized below. These proposed changes were 
formulated based on the framework specified in EISA 2007 and from the 
results of the preliminary analysis conducted as part of the standards 
rulemaking. For that framework, section 306 of EISA 2007 permits DOE to 
establish up to two regional standards for cooling products in addition 
to the national standard. (42 U.S.C. 6295(o)(6)(B)) Further, individual 
States shall be placed only into a single region. (42 U.S.C. 
6295(o)(6)(C)(iii)) In response, DOE has tentatively decided to limit 
its consideration of regional standards to cooling-dominated contiguous 
States and, in addition, to focus only on a region-specific SEER, not 
HSPF. The natural division of the cooling-dominated region is an east-
west partitioning where the eastern region generically qualifies as 
having a hot, humid climate, where the western region may be 
generically categorized as hot and dry.
    SEER, which has and will continue to be used to establish the 
national standard, is evaluated based on indoor test conditions of 80 
[deg]F db/67 [deg]F wb. These conditions would be suitable to evaluate 
performance when the equipment is applied in the proposed hot-humid 
region. As a result, test procedure changes are not necessary to 
complement a potential hot-humid regional standard. As currently 
planned, any hot-humid regional standard would be based on the current 
SEER algorithm. The final SEER assigned to the hot-humid regional 
standard, however, could be higher than the value assigned for the 
national standard.
    As for the proposed hot-dry region, DOE identified States that 
could be included in this region. These States and the basis for their 
selection is described in the technical support document (TSD) prepared 
as part of the development of the residential central air conditioners 
and heat pumps standards. For this region, DOE is considering the 
option of establishing a regional SEER standard based on a region-
specific SEER rating (i.e., SEER or SEER Hot-Dry (SEER-HD)). The 
subsections that follow discuss test procedure elements that offer 
mechanisms for capturing equipment performance in a climate that 
differs from the average climate represented in the national SEER 
rating. Until DOE finalizes the list of States in the targeted region, 
some numbers and inputs are subject to change.
a. Use a Bin Method for Single-Speed SEER Calculations for the Hot-Dry 
Region and National Rating
    The bin calculation structure currently used in the DOE test 
procedure for calculating the SEER of two-capacity and variable-speed 
systems accounts for the effects of outdoor db temperature (including a 
shift in the frequency of occurrence), the equipment sizing criteria, 
and an alternative building load profile. The bin calculation method 
allows a mechanism to evaluate the relative impact of installing an air 
conditioner or heat pump in different climates, including a hot 
climate.
    The simple short-cut equation provided in the DOE test procedure 
for rating most single-speed systems typically yields a SEER value that 
is close to the SEER value obtained using the temperature bin method; 
i.e., if the fractional bin hour distribution, the sizing criteria, and 
the building load line algorithm are the national average values. As 
deviations to this specific case are introduced, however, the bin 
calculated SEER will change accordingly while the short-cut SEER will 
remain unchanged and equal to the value that results from the 
calculations in 10 CFR part 430, subpart B, appendix M, section 4.1.1. 
Thus, the current short-cut SEER method cannot be used if any 
calculation parameter changes.
    Three potentially differentiating parameters of the proposed hot-
dry region are the addition of operating hours at bin temperatures 
above the current maximum of 102 [deg]F, an appreciable redistribution 
in the percentage of hours occurring in each 5 [deg]F outdoor 
temperature bin, and a different outdoor design temperature. To account 
for the dryness of the region, in addition, cooling capacity and 
electrical power can be based on performance achieved when operating 
with comparatively drier indoor conditions. Because of these projected 
departures, DOE proposes a bin calculation method for evaluating the 
region-specific SEER for all types of systems, including those units 
having a single-speed compressor.
    The proposed SEER-HD temperature bin method will use a single set 
of new fractional bin hours representative of the applicable contiguous 
States. A revised outdoor design temperature would be used in defining 
the building load for each temperature bin. The zero-load balance point 
will remain at 65 [deg]F, and the assumed oversizing would remain at 10 
percent. The assumed linear relationship between outdoor db temperature 
and building load would also remain. The performance of the air 
conditioner or heat pump as a function of outdoor db temperature would 
be based on operating at indoor ambient conditions comparatively drier 
than those used for the national rating.
    With the planned institution of a bin calculation method for all 
systems when determining the SEER-HD, DOE proposes to eliminate the use 
of the short-cut method for all single-speed systems when determining 
the national SEER, replacing it with the bin calculation algorithm on 
which the short-cut method is based. The benefits of this proposed 
transition include consistency between rating fixed speed and 
modulating systems, an increase in the potential impact of the A Test 
relative to the B Test, avoidance of potential confusion about the 
validity and basis of the short-cut method, elimination of concerns 
that the short-cut method often yields a slightly higher SEER than the 
bin method for current equipment, and consistency between the 
calculation of the national SEER and regional SEER-HD (10 CFR part 430, 
subpart B, appendix M, revised sections 4.1 and 4.1.1).
b. Add New Hot-Dry Region Bin Data
    An important component for implementing a new SEER-HD rating is 
defining a representative set of outdoor temperature data for the 
cooling season. This data set is the fractional bin hours assigned to 
each 5 [deg]F temperature bin. Using TMY2 weather data combined with 
the calculated building load for each temperature bin (based on using 
the ASHRAE 1 percent design dry-bulb temperature for specific location 
in place of the 95 [deg]F used in the DOE test procedure), DOE 
generated cooling load profiles for cities within those States being 
considered as part of the hot-dry region. Using population-based 
weighting factors for each TMY location, DOE calculated a population-
averaged annual cooling load profile and a corresponding fractional bin 
hour distribution.
    Table III.2 lists the proposed cooling season fractional bin hour 
distribution for the hot-dry region under the column heading SEER-HD 
(for basis of this

[[Page 31241]]

table, see chapter 7 of the preliminary TSD of the central air 
conditioner standards rulemaking). For comparison, the current DOE test 
procedure cooling season fractional bin hour distribution is shown 
along with the cooling load profiles calculated from each bin hour 
distribution. To three decimal places, the cooling season fractional 
bin hours for the SEER-HD in the 110 to 114 [deg]F temperature bin is 
shown as 0.000; however, the actual bin hour fraction, 0.0002, resulted 
in a 0.001 annual cooling load fraction as shown in the rightmost 
column. DOE requests comments on the chart below.

            Table III.2--Proposed Four-State Hot-Dry Region: Arizona, California, New Mexico, Nevada
----------------------------------------------------------------------------------------------------------------
                                                   Cooling season fractional bin  Resulting cooling load profile
                                                               hours             -------------------------------
               Temperature [deg]F                --------------------------------
                                                    DOE PT.430        SEER-HD       DOE PT.430        SEER-HD
----------------------------------------------------------------------------------------------------------------
65-69...........................................           0.214           0.477           0.036           0.115
70-74...........................................           0.231           0.208           0.137           0.175
75-79...........................................           0.216           0.119           0.220           0.172
80-84...........................................           0.161           0.086           0.232           0.176
85-89...........................................           0.104           0.047           0.194           0.124
90-94...........................................           0.052           0.027           0.119           0.088
95-99...........................................           0.018           0.021           0.049           0.082
100-104.........................................           0.004           0.011           0.013           0.050
105-109.........................................           0.000           0.004           0.000           0.018
110-114.........................................           0.000           0.000           0.000           0.001
----------------------------------------------------------------------------------------------------------------

c. Add Optional Testing at the A and B Test Conditions With the Unit in 
a Hot-Dry Region Setup
    Bin calculations account for how the air conditioner or heat pump's 
total cooling capacity and electrical power consumption change with 
outdoor temperature (and, for modulating systems, with the compressor's 
capacity or speed). During the cooling season for the proposed hot-dry 
region, the air conditioner or heat pump will operate mostly when 
comparatively less latent cooling is needed. By comparison, the 
performance data from the currently required laboratory tests (Tests A 
and B for single-speed systems) correspond to indoor test conditions 
that result in a fully wetted coil and a significant amount of latent 
cooling (typically 20 to 30 percent of the total capacity). The 
electrical power consumption and EER of a system operating with a fully 
wetted coil also differ slightly from the values obtained from 
operating with a partially wetted or dry coil.
    In addition to evaluating the SEER-HD using the same performance 
data used to calculate the national SEER, at least two other options 
are available: specify hot-dry, steady-state cooling mode tests (where 
indoor conditions are representative of such an installation), or test 
at the same indoor conditions currently specified for the dry-coil 
tests used to determine the cooling mode cyclic degradation 
coefficient(s).
    To determine the potential impact that the indoor conditions (wb 
temperature) may have on the new SEER-HD rating, DOE conducted sample 
calculations for the bracketing cases. A unit with a tested national 
SEER of 13.6 would earn a SEER-HD of 13 using the 80 [deg]F/67 [deg]F 
data and a SEER-HD of 11 using the dry-coil data. The first drop 
reflects the effects of the fractional bin hour distribution and a 
different outdoor design temperature for the hot-dry region. The second 
drop captures the impact of using dry- instead of wet-coil data. The 
magnitude of the latter drop persuaded DOE to explore a different 
option. Acknowledging the greater test burden, DOE seeks to specify 
conditions more representative of a hot-dry region installation.
    Lacking any contrary data or comments supporting an indoor db 
temperature for the hot-dry region tests greater than the 80 [deg]F db 
temperature used for standard SEER tests, DOE proposes to use the 80 
[deg]F db temperature to minimize the increased test burden. For the 
companion wb test condition, DOE considered four values: 63 [deg]F, 64 
[deg]F, 64.5 [deg]F, and 65 [deg]F. These candidate wb temperatures 
were selected based upon published reports of field data collected in 
California drier climate zones, a review of indoor test conditions 
selected for hot-dry testing by private and university researchers, and 
the practical aspect of differentiating from the current test condition 
of 67 [deg]F wb temperature (Proctor Engineering Group, Ltd., ``Hot Dry 
Climate Air Conditioner [HDAC] Proof of Concept [POC]--Final 3-Ton 
Laboratory Test Analysis Report,'' Draft Report, July 13, 2006 and 
Southern California Edison, Proctor Engineering Group Ltd., and 
Bevilacqua-Knight, Inc., ``Energy Performance of Hot, Dry Optimized 
Air-Conditioning Systems,'' PIER Final Project Report, CEC-500-2008-
056, July 2008). DOE today proposes to use an indoor wb temperature of 
64 [deg]F because it lies at the midpoint of the considered range.
    The effect of outdoor temperature on cooling capacity and power 
consumption can be approximated by a linear fit when calculating the 
national SEER using a bin method. As such, DOE prefers testing at two 
different outdoor temperatures, with all other operating parameters 
constant. Ideally, the two temperatures should provide a range of 
application to maximize interpolation values and minimize 
extrapolation. The national SEER test pair of 82 [deg]F and 95 [deg]F 
approach the specified criterion for singlespeed units, for the high 
capacity of two-capacity units, and for the maximum speed of variable-
speed systems. The test pair of 67 [deg]F and 82 [deg]F for the low 
capacity performance of two-capacity units and for the minimum speed 
performance of variable-speed systems provide the same utility.
    Because of the availability of the national SEER wet-coil test 
data, the need to minimize the test burden, and the fact that the 
performance ratings only apply to the hot-dry regional climate, DOE 
seeks to minimize the number of new required tests. Therefore, DOE 
proposes a combination of required and optional tests. Instead of 
conducting optional tests, DOE proposes using simplified approximating 
equations to capture the change in performance as the outdoor 
temperature changes.
    As proposed, single-speed systems will have a single required SEER-
HD test, which will occur at an outdoor temperature of 95 [deg]F and be 
designated ``the AD Test.'' Systems having a modulating capability will 
have two

[[Page 31242]]

required tests: one (AD2) occurring at a 95 [deg]F outdoor temperature 
with the unit operating at high capacity or maximum speed, and the 
other (BD1) occurring at a 82 [deg]F outdoor temperature with the unit 
operating at low capacity or minimum compressor speed. Before 
conducting the first SEER-HD tests, the system shall be (re)configured, 
as applicable, in accordance with any published instructions from the 
manufacturer that pertain to installations in a hot-dry region.
    As proposed, single-speed systems will have a single optional SEER-
HD test (BD) that would occur at an outdoor temperature of 82 [deg]F. 
Systems with a modulating capability would have two optional tests: one 
(BD2) occurring at a 82 [deg]F outdoor temperature with the unit 
operating at high capacity or maximum compressor speed, and the other 
(FD1) occurring at a 67 [deg]F outdoor temperature with the unit 
operating at low capacity or minimum compressor speed. These optional 
tests provide the additional data necessary to determine how the 
cooling capacity and power consumption change with outdoor temperature.
    Instead of conducting the optional test(s), manufacturers can use 
the capacity and power data collected from the national SEER cooling 
mode tests conducted using 80 [deg]F db/67 [deg]F wb as the indoor 
entering air conditions to approximate how the hot-dry region capacity 
and power consumption change with outdoor temperature for a given 
compressor capacity. Specifically, the slope of the capacity (or power 
consumption) versus outdoor temperature relationship for the comparable 
80 [deg]F db/67 [deg]F wb tests will be scaled by multiplying the ratio 
of the capacity (or power consumption) determined from the SEER-HD test 
by the capacity (power consumption) determined from the national SEER 
test conducted at the same outdoor temperature. Using a single-speed 
system as an example, the slope based on the A and B Tests is 
multiplied by the ratio of the AD Test capacity (or power consumption) 
to the A Test capacity (or power consumption).
    For approximating the capacity and power consumption dependency 
with outdoor temperature, DOE proposes global adjustment factors to 
assist in obtaining a conservative SEER-HD. Applying the approximated 
slope, estimated capacities for temperatures above the single-test 
temperature point will be over-predicted, while capacities for 
temperatures below will be under-predicted. Given the proposed required 
tests for the hot-dry region, the calculated weighted energy 
consumption for temperature bins below the required test temperature 
(e.g., 95 [deg]F) should be higher than the bin-weighted total energy 
consumed for temperature bins above the test temperature. Conversely, 
the total bin-weighted cooling delivered for temperature bins less than 
the test temperature should exceed the cooling contribution from 
temperature bins above the test temperature. As a result, a 
conservative rating would be achieved if the capacity at the lower 
temperatures is under-predicted and the power consumption at these 
temperatures is over-predicted. To determine the under-prediction of 
capacity, the magnitude of the negative slope for the approximated 
capacity versus temperature relationship should be reduced slightly. 
DOE proposes a capacity slope adjustment factor of 0.95. Similarly, the 
magnitude of the positive slope for the approximated power consumption 
versus temperature relationship should be reduced slightly. DOE 
proposes a power consumption slope adjustment factor of 0.95. These 
adjustment factors are assigned based on the goal of safeguarding 
against the default equations yielding a higher SEER-HD than the tested 
values. DOE specifically requests data showing whether the magnitudes 
of these adjustment factors should be changed.
    Collectively, the approximation approach that includes the proposed 
adjustment factors should yield a SEER-HD equal to or slightly less 
than the SEER-HD determined from the optional test(s). DOE wants the 
approximation to provide a conservative rating, which will avoid over-
predicting the actual value. When the optional testing is conducted but 
yields a poorer outcome, a manufacturer shall not be penalized for 
having conducted the optional SEER tests. If the SEER-HD determined 
using the approximations defined above is higher than the SEER-HD 
determined using the data from the optional test(s), the manufacturer 
may use the higher value. (10 CFR part 430, subpart B, appendix M, 
revised sections 3.6.2, 3.6.3, and 3.6.4)
    DOE considered additional options for modifying the laboratory 
testing to differentiate equipment installed in a hot-dry region. For 
example, DOE considered setting higher minimum external static pressure 
requirements for the required and optional SEER-HD laboratory tests, as 
some interested parties have advocated increasing the current minimums. 
DOE elected not to change these minimums as part of the SEER-HD tests 
to maximize consistency between the SEER-HD and national SEER tests. 
This consistency is necessary given the above-described method for 
approximating the relationship between cooling capacity (power 
consumption) and outdoor temperature for the hot-dry condition. DOE 
also considered ways to account for an extended indoor fan time delay 
mode designed to re-evaporate condensate trapped on the coil or lying 
in the pan. Because the current CD tests are dry-coil tests, DOE was 
unable to conceive of a change that would permit measurement of such an 
evaporative cooling (latent recovery) mechanism if employed in the 
field.
    d. Add a New Equation for Building Load Line in the Hot-Dry Region
    As part of the evaluation of the newly proposed region-specific 
performance rating, SEER-HD, DOE must establish a building load line 
for the SEER-HD (just as used for evaluating the national SEER):
[GRAPHIC] [TIFF OMITTED] TP02JN10.240


Where:
    Tj = the bin temperature,
    TZB = the zero load balance point,
    TOD = the outdoor design temperature,
    Qkc,HD (TOD) = the unit's capacity at the 
design outdoor temperature, and
    FOS = the oversizing factor.

    As with the calculation of the national SEER, the building load is 
assumed to vary linearly with outdoor temperature. Other parameters 
common to the two building load calculations are the zero load balance 
point, the outdoor design temperature, and the oversizing factor: 65 
[deg]F, 95 [deg]F and 10 percent (i.e., FOS = 1.1), 
respectively. As for the 95 [deg]F outdoor design temperature, DOE 
arrived at it by calculating the population-weighted average of the 
ASHRAE Handbook 1 percent design dry-bulb temperature for multiple 
cities located within the proposed hot-dry region. DOE recognizes that 
across the hot-dry region there are significant differences in cooling 
design conditions by location but has proposed 95 [deg]F for 
establishing the load line.
    DOE requests comments from interested parties on the introduction 
of regional standards, the use of the bin method for determining 
regional and national SEER, the proposed hot-dry regional bin data, and 
the addition of required and optional testing in a hot-dry region 
setup.

[[Page 31243]]

16. Add References to ASHRAE 116-1995 (RA 2005) for Equations That 
Calculate SEER and HSPF for Variable-Speed Systems
    DOE proposes to reference specific language and equations within 
ASHRAE Standard 116-1995 (RA 2005) that provide greater detail in 
determining the three balance point temperatures needed when 
calculating the SEER of an air conditioner or heat pump having a 
variable-speed compressor. DOE proposes to do the same for the HSPF 
variable-speed algorithm.
    The DOE test procedure does not include the equations used for 
calculating the outdoor temperatures at which the unit's cooling or 
heating capacity matches the building's cooling or heating load when 
operating at minimum, intermediate, or maximum compressor speeds. 
(Intermediate speed is used for laboratory testing.) The DOE test 
procedure defines these three outdoor temperatures and how they are 
evaluated. ASHRAE Standard 116-1995 (RA 2005) provides explicit 
equations for calculating the three outdoor temperatures for cooling 
and the three outdoor temperatures for heating. Referencing this 
standard within the DOE test procedure is worthwhile, as it may be 
especially helpful for those new to either test procedures or testing 
and rating variable-speed products.
    DOE proposes adding a sentence within test procedure sections 
4.1.4.2 and 4.2.4.2 to reference the applicable sections of the ASHRAE 
Standard that provide the exact equations, along with explanatory text 
and figures.
    DOE seeks comments on this proposal.
17. Update Test Procedure References to the Current Standards of AHRI 
and ASHRAE
    Since the October 2007 final rule, ARI has merged with the Gas 
Appliance Manufacturers Association to become AHRI. References to ARI 
within Appendix M need to be updated accordingly, as documented below.

IV. Regulatory Review

A. Review Under Executive Order 12866

    Today's regulatory action is not a ``significant regulatory 
action'' under Executive Order (E.O.) 12866, ``Regulatory Planning and 
Review.'' 58 FR 51735 (October 4, 1993). Accordingly, this action was 
not subject to review by the Office of Management and Budget under the 
Executive Order.

B. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes amendments to test procedures 
that may be used to implement future energy conservation standards for 
central air conditioners. These amendments will not affect the quality 
or distribution of energy usage and, therefore, will not result in any 
environmental impacts. DOE has determined that this rule falls into a 
class of actions that are categorically excluded from review under the 
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et 
seq.) and the Department's implementing regulations at 10 CFR part 
1021. More specifically, this rule is covered by the Categorical 
Exclusion in paragraph A5, to subpart D, 10 CFR part 1021. Accordingly, 
neither an environmental assessment nor an environmental impact 
statement is required.

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by E.O. 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking'' (67 FR 53461 (August 16, 2002)), DOE published 
procedures and policies on February 19, 2003, to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the rulemaking process. 68 FR 7990. DOE has made its 
procedures and policies available on the Office of the General 
Counsel's Web site (http://www.gc.doe.gov).
    DOE reviewed today's proposed rule, which would amend the test 
procedures for residential central air conditioners and heat pumps, 
under the provisions of the Regulatory Flexibility Act and the 
procedures and policies published on February 19, 2003. DOE tentatively 
concludes and certifies that the proposed rule, if adopted, would not 
result in a significant impact on a substantial number of small 
entities. The factual basis for this certification is set forth below.
    As defined by the Small Business Administration (SBA) for the Air-
Conditioning and Warm Air Heating Equipment manufacturing industry, 
small businesses are manufacturing enterprises with 750 employees or 
fewer. DOE used the small business size standards published on January 
31, 1996, as amended, by the SBA to determine whether any small 
entities would be required to comply with the rule. 61 FR 3286, January 
31, 1996, as amended at 67 FR 3045, January 23, 2002 and at 69 FR 
29203, May 21, 2004; see also 65 FR 30836, 30850 (May 15, 2000), as 
amended at 65 FR 53533, 53545 (September 5, 2000). The size standards 
are codified at 13 CFR part 121. The standards are listed by North 
American Industry Classification System (NAICS) code and industry 
description and are available at http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.pdf.
    Residential central air conditioner and heat pump equipment 
manufacturing is classified under NAICS 333415, ``Air-Conditioning and 
Warm Air Heating Equipment and Commercial and Industrial Refrigeration 
Equipment Manufacturing.'' 70 FR 12395 (March 11, 2005). DOE reviewed 
AHRI's listing of residential central air conditioner and heat pump 
equipment manufacturer members and surveyed the industry to develop a 
list of domestic manufacturers. As a result of this review, DOE 
identified 22 manufacturers of residential central air conditioners and 
heat pumps, of which 15 would be considered small manufacturers with a 
total of approximately 3 percent of the market sales. DOE seeks comment 
on its estimate of the number of small entities that may be impacted by 
the proposed test procedure.
    Potential impacts of the proposed test procedures on all 
manufacturers, including small businesses, come from impacts associated 
with the cost of proposed additional testing. DOE estimates the 
incremental cost of the proposed additional tests described in 10 CFR 
part 430, subpart B, appendix M (revised sections 3.1, 4.3.1, and 
4.3.2; and proposed sections 3.13 and 4.2.7) to be an increase of 
$1,000 to $1,500 per unit tested. This estimate is based on private 
testing services quoted on behalf of DOE in the last two years for 
central air conditioners and heat pumps. Typical costs for running the 
cooling tests appear to be approximately $5,000. DOE estimated that the 
additional activities required by the revised test procedure would 
introduce a 20 to 30 percent increase in testing time resulting in 
approximately $1,000 to $1,500 additional cost. The largest additional 
cost would be associated with conducting steady-state cooling mode 
tests and the dry climate tests (for SEER-HD).

[[Page 31244]]

    Because the incremental cost of running the extra tests is the same 
for all manufacturers, DOE believes that all manufacturers would incur 
comparable costs for testing of individual basic models as a result of 
the proposed test procedures. DOE expects that small manufacturers will 
incur less testing expense compared with larger manufacturers as a 
result of the proposed testing requirements because they have fewer 
basic models and thus require proportionally less testing when compared 
with large manufacturers that have many basic models. DOE recognizes, 
however, that smaller manufacturers may have less capital available 
over which to spread the increased costs of testing.
    DOE compared the cost of the testing to the total value added by 
the manufacturers to determine whether the impact of the proposed test 
procedure amendments is significant. The value added represents the net 
economic value that a business creates when it takes manufacturing 
inputs (e.g. materials) and turns them into manufacturing outputs (e.g. 
manufactured goods). Specifically as defined by the U.S. Census, the 
value added statistic is calculated as the total value of shipments 
(products manufactured plus receipts for services rendered) minus the 
cost of materials, supplies, containers, fuel, purchased electricity, 
and contract work expenses.
    DOE analyzed the impact on the smallest manufacturers of central 
air conditioners and heat pumps because these manufacturers would 
likely be the most vulnerable to cost increases. DOE calculated the 
additional testing expense as a percentage of the average value added 
statistic for the five individual firms in the 25 to 49 employee size 
category in NAICS 333415 as reported by the U.S. Census (U.S. Bureau of 
the Census, American Factfinder, 2002 Economic Census, Manufacturing, 
Industry Series, Industry Statistics by Employment Size) http://factfinder.census.gov/servlet/EconSectorServlet?_lang=en&ds_name=EC0200A1&_SectorId=31&_ts=288639767147). The average 
annual value for manufacturers in this size range from the census data 
was 1.26 million dollars in 2001$, per the 2002 Economic Census, or 
approximately 1.52 million dollars per year in 2009$ after adjusting 
for inflation using the implicit price deflator for gross domestic 
product (U.S. Department of Commerce Bureau of Economic Analysis http://www.bea.gov/national/nipaweb/SelectTable.asp).
    DOE also examined the average value added statistic provided by 
census for all manufacturers with less than 500 employees in this NAICS 
classification as the most representative value from the 2002 Economic 
Census data of the CAC manufacturers with less than 750 employees that 
are considered small businesses by the SBA (15 manufacturers). The 
average annual value added statistic for all small manufacturers with 
less than 500 employees was 7.88 million dollars (2009$).
    Given this data, and assuming the high-end estimate of $1,500 for 
the additional testing costs, DOE concluded that the additional costs 
for testing of a single basic model product under the proposed 
requirements would be approximately 0.1% of annual value added for the 
five smallest firms, and approximately 0.02% of the average annual 
value added for all small CAC manufacturers (15 firms). DOE estimates 
that testing of basic models may not have to be updated more than once 
every five years, and therefore the average incremental burden of 
testing one basic model may be one fifth of these values when the cost 
is spread over several years.
    DOE requires that only the highest sales volume split system 
combinations be lab tested (10 CFR 430.24(m)). The majority of air 
conditioners and heat pumps offered by a manufacturer are typically 
split systems that are not required to be lab tested but can be 
certified using an alternative rating method which does not require DOE 
testing of these units. DOE reviewed the available data for five of the 
smallest manufacturers to estimate the incremental testing cost burden 
for those small firms that might experience the greatest relative 
burden from the revised test procedures. These manufacturers had an 
average of 10 models requiring testing (AHRI Directory of Certified 
Product Performance http://www.ahridirectory.org/ahridirectory/pages/home.aspx), while large manufacturers will have well over a hundred 
such models. The additional testing cost for final certification for 10 
models was estimated at $15,000. Meanwhile these certifications would 
be expected to last the product life, estimated to be at least five 
years based on the time frame established in EPCA for DOE review of CAC 
efficiency standards. This test burden is therefore estimated to be 
approximately 0.2% of the estimated five-year value added for the 
smallest five manufacturers. DOE believes that these costs are not 
significant given other, much more significant costs that the small 
manufacturers of central air conditioners and heat pumps incur in the 
course of doing business. DOE seeks comment on its estimate of the 
impact of the proposed test procedure amendments on small entities and 
its conclusion that this impact is not significant.
    Accordingly, as stated above, DOE tentatively concludes and 
certifies that this proposed rule would not have a significant economic 
impact on a substantial number of small entities. Accordingly, DOE has 
not prepared an IRFA for this rulemaking. DOE will provide its 
certification and supporting statement of factual basis to the Chief 
Counsel for Advocacy of the SBA for review under 5 U.S.C. 605(b).

D. Review Under the Paperwork Reduction Act

    This rule contains a collection-of-information requirement subject 
to the Paperwork Reduction Act (PRA) and which has been approved by OMB 
under control number 1910-1400. Public reporting burden for the 
collection of test information and maintenance of records on regulated 
residential central air conditioners and heat pumps based on the 
certification and reporting requirements is estimated to average 30 
hours per response, including the time for reviewing instructions, 
searching existing data sources, gathering and maintaining the data 
needed, and completing and reviewing the collection of information. 
Send comments regarding this burden estimate, or any other aspect of 
this data collection, including suggestions for reducing the burden, to 
DOE (see ADDRESSES) and by e-mail to [email protected].
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB control number.

E. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA; Pub. L. 
104-4, codified at 2 U.S.C. 1501 et seq.) requires each Federal agency 
to assess the effects of Federal regulatory actions on State, local, 
and Tribal governments and the private sector. For proposed regulatory 
actions likely to result in a rule that may cause expenditures by 
State, local, and Tribal governments in the aggregate or by the private 
sector of $100 million or more in any one year (adjusted annually for 
inflation), section 202 of UMRA requires a Federal agency

[[Page 31245]]

to publish estimates of the resulting costs, benefits, and other 
effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also 
requires a Federal agency to develop an effective process to permit 
timely input by elected officers of State, local, and Tribal 
governments on a proposed ``significant intergovernmental mandate'' and 
requires an agency plan for giving notice and opportunity for timely 
input to potentially affected small governments before establishing any 
requirements that might significantly or uniquely affect small 
governments. On March 18, 1997, DOE published a statement of policy on 
its process for intergovernmental consultation under UMRA. 62 FR 12820. 
(This policy is also available at http://www.gc.doe.gov.) Today's 
proposed rule contains neither an intergovernmental mandate, nor a 
mandate that may result in the expenditure of $100 million or more in 
any year, so these requirements do not apply.

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

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

G. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999) imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have Federalism implications. The Executive Order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to assess carefully the necessity for such actions. The Executive Order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have Federalism implications. 
On March 14, 2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations. 65 FR 13735. DOE examined today's 
proposed rule and has determined that it does not preempt State law and 
does not have a substantial direct effect on the States, on the 
relationship between the national government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government. EPCA governs and prescribes Federal preemption of State 
regulations as to energy conservation for the products that are the 
subject of today's proposed rule. States can petition DOE for a waiver 
of such preemption to the extent, and based on criteria, set forth in 
EPCA. (42 U.S.C. 6297) No further action is required by E.O. 13132.

H. Review Under Executive Order 12988

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

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

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

J. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to the 
Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget, a Statement of Energy Effects for any proposed 
significant energy action. A ``significant energy action'' is defined 
as any action by an agency that promulgated or is expected to lead to 
promulgation of a final rule, and that (1) is a significant regulatory 
action under E.O. 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use. Today's regulatory 
action would not have a significant adverse effect on the supply, 
distribution, or use of energy and, therefore, it is not a significant 
energy action. Accordingly, DOE has not prepared a Statement of Energy 
Effects.

K. Review Under Executive Order 12630

    DOE has determined, under E.O. 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), that this proposed regulation, if promulgated as 
a final rule, would not result in any takings that might require 
compensation under the Fifth Amendment to the U.S. Constitution.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), DOE must comply with section 32 of the Federal Energy 
Administration Act of 1974, as amended by the Federal Energy 
Administration Authorization Act of 1977. When a proposed rule

[[Page 31246]]

contains or involves use of commercial standards, the rulemaking must 
inform the public of the use and background of such standards. 15 
U.S.C. 788 Section 32.
    The proposed rule incorporates testing methods contained in the 
following commercial standards: (1) ASHRAE Standard 23-2005, ``Methods 
of Testing for Rating Positive Displacement Refrigerant Compressors and 
Condensing Units;'' (2) ASHRAE Standard 37-2005, ``Methods of Testing 
for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump 
Equipment,'' sections 7.3.3.1, 7.3.3.3, 7.3.4.1, 7.3.4.3, 7.4, 8.2, 
8.2.5, and Table 3; (3) ASHRAE Standard 41.1-1986 (RA 2006), ``Standard 
Method for Temperature Measurement,'' sections 4, 5, 6, 9, 10, and 11; 
(4) ASHRAE 41.6-1994 (RA 2006), ``Standard Method for Measurement of 
Moist Air Properties,'' sections 5 and 8; (5) ASHRAE 41.9-2000 (RA 
2006), ``Calorimeter Test Methods for Mass Flow Measurements of 
Volatile Refrigerants;'' (6) ASHRAE Standard 116-1995 (RA 2005), 
``Methods of Testing for Rating Seasonal Efficiency of Unitary Air 
Conditioners and Heat Pumps,'' section 10.2.4; (7) ANSI/AMCA 210-07 
(ANSI/ASHRAE 51-07), ``Laboratory Methods of Testing Fans for Certified 
Aerodynamic Performance Rating,'' Figures 2A and 12; and (8) AHRI 
Standard 210/240-2008 ``Standard for Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment,'' sections 6.1.3.2, 
6.1.3.4, and 6.1.3.5 and Figures D1, D2, and D4. DOE has evaluated 
these standards and is unable to conclude whether they fully comply 
with the requirements of section 323(b) of the Federal Energy 
Administration Act (i.e., whether they were developed in a manner that 
fully provides for public participation, comment, and review).
    As required by section 32(c) of the Federal Energy Administration 
Act of 1974 as amended, DOE will consult with the Attorney General and 
the Chairman of the FTC before prescribing a final rule about the 
impact on competition of using the methods contained in these 
standards.

V. Public Participation

A. Attendance at Public Meeting

    The time and date of the public meeting are listed in the DATES 
section at the beginning of this NOPR. The public meeting will be held 
at the U.S. Department of Energy, Forrestal Building, Room 1E-245. To 
attend the public meeting, please notify Ms. Brenda Edwards at (202) 
586-2945. Foreign nationals visiting DOE Headquarters are subject to 
advance security screening procedures requiring a 30-day advance 
notice. Any foreign national wishing to participate in the meeting 
should advise DOE of this fact as soon as possible by contacting Ms. 
Brenda Edwards to initiate the necessary procedures.

B. Procedure for Submitting Requests To Speak

    Any person who has an interest in today's notice or who is a 
representative of a group or class of persons that has an interest in 
these issues may request an opportunity to make an oral presentation. 
Such persons may hand-deliver requests to speak, along with a computer 
diskette or CD in WordPerfect, Microsoft Word, PDF, or text (ASCII) 
file format to the address shown in the ADDRESSES section at the 
beginning of this NOPR between 9 a.m. and 4 p.m. Monday through Friday, 
except Federal holidays. Requests may also be sent by mail or e-mail to 
[email protected].
    Persons requesting to speak should briefly describe the nature of 
their interest in this rulemaking, provide a telephone number for 
contact, and submit an advance copy of their statements at least one 
week before the public meeting. At its discretion, DOE may permit any 
person who cannot supply an advance copy of their statement to 
participate, if that person has made advance alternative arrangements 
with the Building Technologies Program. The request to give an oral 
presentation should ask for such alternative arrangements.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the public meeting 
and may also employ a professional facilitator to aid discussion. The 
meeting will not be a judicial or evidentiary-type public hearing, but 
DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 
6306). A court reporter will record the proceedings and prepare a 
transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the public meeting. After the public meeting, interested parties may 
submit further comments on the proceedings as well as on any aspect of 
the rulemaking until the end of the comment period.
    The public meeting will be conducted in an informal conference 
style. DOE will present summaries of comments received before the 
public meeting, allow time for presentations by participants, and 
encourage all interested parties to share their views on issues 
affecting this rulemaking. Each participant will be allowed to make a 
prepared general statement (within DOE-determined time limits) prior to 
the discussion of specific topics. DOE will permit other participants 
to comment briefly on any general statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly and comment on 
statements made by others. Participants should be prepared to answer 
questions from DOE and other participants concerning these issues. DOE 
representatives may also ask questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the above procedures that 
may be needed for the proper conduct of the public meeting.
    DOE will make the entire record of this proposed rulemaking, 
including the transcript from the public meeting, available for 
inspection at the U.S. Department of Energy, 6th Floor, 950 L'Enfant 
Plaza, SW., Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 
p.m. Monday through Friday, except Federal holidays. Any person may 
purchase a copy of the transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and other information regarding the 
proposed rule before or after the public meeting, but no later than the 
date provided at the beginning of this NOPR. Please submit comments, 
data, and other information electronically to [email protected]. Submit electronic comments in WordPerfect, Microsoft 
Word, PDF, or text (ASCII) file format and avoid the use of special 
characters or any form of encryption. Comments in electronic format 
should be identified by the docket number EERE-2009-BT-TP-0004 and/or 
RIN number 1904-AB94 and wherever possible carry the electronic 
signature of the author. No telefacsimiles (faxes) will be accepted.
    According to 10 CFR 1004.11, any person submitting information that 
he or she believes to be confidential and exempt by law from public 
disclosure should submit two copies: one copy of the document including 
all the information believed to be confidential and one copy of the 
document with the information believed to be confidential deleted. DOE 
will make its own

[[Page 31247]]

determination as to the confidential status of the information and 
treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include (1) a description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) a date upon which such information might lose 
its confidential nature due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.

E. Issues on Which DOE Seeks Comment

    Although comments are welcome on all aspects of this rulemaking, 
DOE is particularly interested in receiving comments on following 
issues:
    1. Specific examples, including laboratory data, that address a 
stakeholder's comment on the failure of the test procedure to capture 
the performance characteristics of an air conditioner or heat pump that 
uses ``new inverter-driven compressor technology.''
    2. Do the proposed definitions for off mode air conditioners and 
off mode heat pumps clarify the meaning of off mode power?
    3. What is the impact of proposed lower external static pressure 
levels and the proposed language for making sure that these levels are 
limited to testing ducted multi-split systems?
    4. What is the impact of the change to the air volume rate setup 
tolerance? Information on real cases where the indoor unit was 
adversely affected by the current 5 percent tolerance would be 
especially helpful.
    5. What is the proposed magnitude of the test operating tolerance 
for the external static pressure relative to its ability to provide an 
indication of steady, repeatable performance?
    6. Do manufacturers foresee obtaining a SEER-HD rating for all of 
their products? If not, what is an approximate percentage of systems 
that will likely have a SEER-HD rating?
    7. Do manufacturers foresee specifying installation instructions 
that would result in systems being configured differently for the hot-
dry tests than for the normal SEER tests? If so, please provide 
examples of the likely differences in the setups.
    8. Will the proposed hot-dry indoor test condition of 80 [deg]F db/
64 [deg]F wb create less stable or less repeatable testing because the 
indoor coil will likely be only partially wetted? DOE is particularly 
interested in receiving laboratory data that quantify the relative 
differences in performance from testing conducted at 80 [deg]F db/64 
[deg]F wb versus 80 [deg]F db/67 [deg]F wb.
    9. Is it necessary for DOE to develop and incorporate a regional 
hot-dry SEER rating within the test procedure?
    10. Are the proposed changes to cover systems similar to Hallowell 
cold-climate heat pumps adequate to address testing concerns for these 
products?
    11. Are modifications needed, within the test procedure, for the 
laboratory set-up of through-the-wall air conditioners and heat pumps?

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of today's NOPR.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Energy conservation test 
procedures, Household appliances, Incorporation by reference.

    Issued in Washington, DC on February 12, 2010.
Cathy Zoi,
Assistant Secretary, Energy Efficiency and Renewable Energy.
    For the reasons set forth in the preamble, DOE proposes to amend 
part 430 of chapter II of Title 10, Code of Federal Regulations, to 
read as follows:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

    Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
    2. Section 430.2 is amended by revising the definition of ``tested 
combination'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Tested combination means a multi-split system with multiple indoor 
coils having the following features:
    (1) The basic model of a system used as a tested combination shall 
consist of one outdoor unit with one or more compressors matched with 
between two and five indoor units; for the multi-split system, each 
indoor unit shall be designed for individual operation.
    (2) The indoor units shall:
    (i) Collectively, have a nominal cooling capacity greater than or 
equal to 95 percent and less than or equal to 105 percent of the 
nominal cooling capacity of the outdoor unit;
    (ii) Represent the highest sales volume model family [Note: another 
indoor model family may be used if five indoor units from the highest 
sales volume model family do not provide sufficient capacity to meet 
the 95 percent threshold level specified in paragraph (2)(i) of this 
section];
    (iii) Individually not have a nominal cooling capacity greater than 
50 percent of the nominal cooling capacity of the outdoor unit, unless 
the nominal cooling capacity of the outdoor unit is 24,000 Btu/h or 
less;
    (iv) Operate at fan speeds consistent with manufacturer's 
specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement (i.e., 0 in wc for non-ducted; see entries in the column 
labeled ``Short Duct Systems'' of Table 2 in Appendix M to subpart B of 
this part for ducted indoor units) while able to produce the same 
static pressure at the exit of each outlet plenum when connected in a 
manifold configuration as per section 2.4.1 of Appendix M.
* * * * *
    3. Section 430.3 is amended:
    a. By removing, in paragraph (b)(1), ``210/240-2006'' and adding in 
its place ``210/240-2008.''
    b. By removing, in paragraph (e)(3), ``(Reaffirmed 2001)'' and 
adding in its place ``(Reaffirmed 2006).''
    c. By revising paragraph (e)(7).
    The revisions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (e) * * *
    (7) ANSI/AMCA 210-07 (ANSI/ASHRAE 51-07), Laboratory Methods of 
Testing Fans for Certified Aerodynamic Performance Rating approved 
August 17, 2007, IBR approved for Appendix M to Subpart B.
* * * * *

Appendix M [Amended]

    4. Appendix M to subpart B of part 430:
    (a) In section 1, Definitions by:
    1. Removing, in section 1.2, ``ARI means Air-Conditioning and 
Refrigeration Institute'' and adding in its place ``AHRI means Air-
Conditioning, Heating and Refrigeration Institute.''
    2. Removing, in section 1.3, ``ARI'' and adding in its place 
``AHRI'' in two locations.
    3. Removing, in section 1.7, ``RA 01'' and adding in its place ``RA 
06;'' and removing ``2001'' and adding in its place ``2006.''

[[Page 31248]]

    4. Removing, in section 1.9, ``RA 01'' and adding in its place ``RA 
06;'' and by removing ``2001'' and adding in its place ``2006.''
    5. Adding, in section 1.10, ``(RA 06)'' after ``41.6-00'' and 
adding ``and reaffirmed in 2006'' after ``2000.''
    6. Removing, in section 1.11, ``51-99'' and adding in its place 
``51-07;'' and by removing ``1999'' and adding in its place ``2007'' in 
two locations.
    7. Redesignating sections 1.32 through 1.33 as 1.33 through 1.34 
respectively; 1.34 through 1.43 as 1.36 through 1.45 respectively; and 
1.44 through 1.47 as 1.48 through 1.51 respectively.
    8. Adding new sections 1.32, 1.35, 1.46, and 1.47.
    (b) In section 2, Testing Conditions, by:
    1. Removing, in section 2.1, ``430.22'' and adding in its place 
``430.3.''
    2. Revising, in section 2.2 paragraph a., and adding new paragraphs 
d, e, and f.
    3. Revising section 2.2.1.
    4. Revising section 2.2.3, and adding new sections 2.2.3.1 and 
2.2.3.2.
    5. Revising section 2.2.5 and section 2.4.1 paragraph b., first 
sentence.
    6. Removing, in section 2.4.1d, ``430.22'' and adding in its place 
``430.3'' in two locations.
    7. Removing, in section 2.4.2, ``430.22'' and adding in its place 
``430.3'' in two locations.
    8. Removing, in section 2.5, ``430.22'' and adding in its place 
``430.3.''
    9. Removing, in section 2.5.3, ``430.22'' and adding in its place 
``430.3'' in two locations. and in the second sentence by removing ``-
99'' and adding in its place ``-07'' in two locations.
    10. Removing, in section 2.5.4.2, ``430.22'' and adding in its 
place ``430.3'' in two locations and in the last sentence by removing 
``RA 01'' and adding in its place ``RA 06.''
    11. Revising section 2.5.5a.
    12. Removing, in section 2.5.6, third, fourth, and fifth sentences 
``RA 01'' and adding in its place ``RA 06,'' and by removing ``430.22'' 
and adding ``430.3'' in its place in the three locations.
    13. Removing, in section 2.6, paragraph a, ``-99'' and adding in 
its place ``-07'' in two locations; and by removing ``430.22'' and 
adding in its place ``430.3'' in three locations.
    14. Removing, in section 2.6, paragraph b. ``ARI Standard'' and 
adding in its place ``AHRI Standard'' in one location; and by removing 
``430.22'' and adding in its place ``430.3'' in three locations.
    15. Removing, in section 2.7, ``ARI Standard'' and adding in its 
place ``AHRI Standard,'' and by removing ``430.22'' and adding in its 
place ``430.3.''
    16. Removing, in section 2.10.2, ``430.22'' and adding in its place 
``430.3'' in two locations.
    17. Removing, in section 2.10.3, ``430.22'' and adding in its place 
``430.3'' in two locations.
    18. Removing, in section 2.11, paragraph a. ``430.22'' and adding 
in its place ``430.3.''
    19. Removing, in section 2.11, paragraph b. ``RA 01'' and adding in 
its place ``RA 06,'' and by removing ``430.22'' and adding in its place 
``430.3.''
    20. Removing, in section 2.11, paragraph c. ``RA 01'' and adding in 
its place ``RA 06,'' and by removing ``430.22'' and adding in its place 
``430.3.''
    21. Removing, in section 2.13, ``430.22'' and adding in its place 
``430.3.''
    (c) In section 3, Testing Procedures, by:
    1. Adding three new sentences at the end of section 3.1.
    2. Removing, in section 3.1.1, ``430.22'' and adding in its place 
``430.3.''
    3. Removing, in section 3.1.3, ``ARI Standard'' and adding in its 
place ``AHRI Standard,'' and by removing ``430.22'' and adding in its 
place ``430.3.''
    4. Removing ``95'' and adding in its place ``90'' in section 
3.1.4.1.1, paragraph a.4b.
    5. Revising the first sentence of paragraph a.6 in section 
3.1.4.1.1.
    6. Revising Table 2 in section 3.1.4.1.1.
    7. Adding new paragraphs d. and e. in section 3.1.4.1.1.
    8. Adding a new paragraph e. in section 3.1.4.2 .
    9. Revising in section 3.1.4.4.2 paragraph c. and adding new 
paragraphs d. and e.
    10. Removing, in section 3.1.4.4.3, paragraph 4b, ``95'' and adding 
in its place ``90'' and revising the first sentence of paragraph a.6.
    11. Adding, in section 3.1.4.5, a new paragraph f.
    12. Removing, in section 3.1.5, ``430.22'' and adding in its place 
``430.3.''
    13. Removing, in section 3.1.6, ``430.22'' and adding in its place 
``430.3.''
    14. Adding, in section 3.2.1 following Table 3 footnotes, 
undesignated text, a new Table 3a and additional undesignated text. .
    15. Revising sections 3.2.2, 3.2.2.1, and 3.2.2.2.
    16. Revising section 3.2.3 introductory sentence and paragraph c., 
and adding a new paragraph e.
    17. Adding a new paragraph d. in section 3.2.4, and adding new 
sections 3.2.5 and 3.2.6.
    18. Revising section 3.3, paragraphs b. and c., and redesignating 
the second paragraph d. as paragraph e.
    19. Removing ``0.05'' in section 3.3 Table 7 column ``Test 
Operating Tolerance,'' and adding in its place ``0.12.''
    20. Removing ``2.0'' in section 3.3 Table 7 row ``Nozzle pressure 
drop, % of rdg'', and adding in its place ``8.0.''
    21. Removing ``See Definition 1.41'' in section 3.3 Table 7 
footnote (1), and adding in its place ``See Definition 1.43.''
    22. Removing ``See Definition 1.40'' in section 3.3 Table 7 
footnote (2), and adding in its place ``See Definition 1.42.''
    23. Redesignating paragraph b. as c. in section 3.4, and adding a 
new paragraph b.
    24. Removing ``0.05'' in section 3.3 Table 8 column ``Test 
Operating Tolerance,'' and adding in its place ``0.12.''
    25. Removing ``2.0'' in section 3.3 Table 8 row ``Airflow nozzle 
pressure difference or velocity pressure\3\, % of reading'', and adding 
in its place ``8.0.''
    26. Removing ``See Definition 1.41'' in section 3.3 Table 8 
footnote (1), and adding in its place ``See Definition 1.43.''
    27. Removing ``See Definition 1.40'' in section 3.3 Table 8 
footnote (2), and adding in its place ``See Definition 1.42.''
    28. Revising, in section 3.5, the text following equation (3.5-1) 
in paragraph i.
    29. Revising, in section 3.6.2, the first sentence of the first 
paragraph, Table 10 heading, and adding text following Table 10 
footnotes.
    30. Adding in section 3.6.3 paragraph a., 2 sentences at the end of 
the paragraph.
    31. Removing, in section 3.6.4, paragraph a last sentence and two 
unnumbered equations, revising paragraphs b and c, and adding new 
paragraph d.
    32. Adding new sections 3.6.6 and 3.6.7.
    33. Revising, in section 3.7, paragraph a., the first sentence of 
paragraphs b. and d., and adding a new paragraph e.
    34. Revising the introductory sentence in section 3.8 and paragraph 
a.
    35. Removing, in section 3.8.1, ``430.22'' and adding in its place 
``430.3'', and revising Table 14.
    36. Adding ``H23'' between ``H2'' and ``H22.'' in section 3.9 
introductory sentence, revising the last sentence of paragraph e, and 
by removing ``430.22'' and adding in its place ``430.3'' in paragraph 
f.
    37. Removing, in section 3.9c. ``(see Definition 1.42)'' from the 
third sentence and adding in its place ``(see Definition 1.44).''
    38. Removing ``0.05'' in section 3.9f Table 15 column ``Test 
Operating Tolerance,'' and adding in its place ``0.12.''
    39. Removing ``2.0'' in section 3.9f Table 15 row ``External 
resistance to

[[Page 31249]]

airflow, inches of water'', and adding in its place ``8.0.''
    40. Removing ``See Definition 1.41'' in section 3.9f. Table 15 
footnote (1), and adding in its place ``See Definition 1.43.''
    41. Removing ``See Definition 1.40'' in section 3.9f. Table 15 
footnote (2), and adding in its place ``See Definition 1.42.''
    42. Removing, in section 3.9.1a., ``430.22'' and adding in its 
place ``430.3.''
    43. Revising section 3.9.2 paragraph a., section 3.10, section 
3.11.1.1 paragraph a., and 3.11.1.3 paragraph a.
    44. Removing, in section 3.11.1.3, paragraph b., ``430.22'' and 
adding in its place ``430.3'' in three locations.
    45. Revising, in section 3.11.2, paragraph a.
    46. Removing, in section 3.11.2, paragraph b., ``430.22'' and 
adding in its place ``430.3.''
    47. Removing, in section 3.11.3, ``430.22'' and adding in its place 
``430.3.''
    48. Adding new sections 3.13, 3.13.1, 3.13.2, 3.13.2.1, 3.13.2.2, 
3.13.3, 3.13.3.1, 3.13.3.2, 3.13.3.3, 3.13.3.4, 3.13.3.5, 3.13.4, 
3.13.4.1, 3.13.4.2, 3.13.4.3, 3.13.4.4.1, 3.13.4.4.2, 3.13.4.4.3, 
3.13.4.4.4, 3.13.4.4.5, 3.13.4.4.6, 3.13.4.4.7, 3.13.4.4.8, 3.13.4.5, 
3.13.4.6, 3.13.5, 3.13.5.1, 3.13.5.2, 3.13.5.33.13.5.4, 3.13.5.4.1, 
3.13.5.4.2, 3.13.5.43, 3.13.5.4.4, 3.13.5.4.5, 3.13.5.5, 3.13.5.5.1, 
3.13.5.5.2, 3.13.5.5.3, 3.13.5.6, and 3.13.5.7.
    (d) In section 4, Calculations of Seasonal Performance Descriptors, 
by:
    1. Revising, in section 4.1, the introductory text before equation 
(4.1-2), and the text following equation (4.1-2).
    2. Revising section 4.1.1.
    3. Adding, in section 4.1.3, at the end of the first sentence ``, 
including triple-capacity northern heat pumps''.
    4. Revising, in section 4.1.4.2, the definitions of T1 and T2 
following equation for calculating B.
    5. Adding new sections 4.1.5, 4.1.5.1, 4.1.5.2, 4.1.6, 4.1.6.1, 
4.1.6.2, 4.1.6.2.1, 4.1.6.2.2, 4.1.6.3, and 4.1.6.4.
    6. Adding, in section 4.2, item 4 in the numbered list following 
the equation for DHRmax, and revising the sentence preceding 
Table 18.
    7. Revising, in section 4.2.4.2, the definition of T4 following the 
equation for A.
    8. Adding new sections 4.2.6, 4.2.6.1, 4.2.6.2, 4.2.6.3, 4.2.6.4, 
4.2.6.5, 4.2.6.6, 4.2.6.7, 4.2.6.8, 4.2.7, 4.2.7.1, 4.2.7.2, 4.2.8, 
4.2.8.1, 4.2.8.1.1, 4.2.8.1.2, 4.2.8.1.3, 4.2.8.2, 4.2.8.2.1, 
4.2.8.2.2, 4.2.8.3, 4.2.8.3.1, and 4.2.8.3.2.
    9. Revising, in section 4.3.1, the equation which immediately 
follows the introductory text, and adding new text at the end of the 
last sentence.
    10. Revising sections 4.3.2 and 4.4, and adding a new section 4.5.
    The additions and revisions read as follows:

Appendix M to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Central Air Conditioners and Heat Pumps

* * * * *
    1. Definitions
* * * * *
    1.32 Off mode means:
    (1) For air conditioners, all times during the non-cooling 
season of an air conditioner. This mode includes the ``shoulder 
seasons'' between the cooling and heating seasons when the unit 
provides no cooling to the building and the entire heating season, 
when the unit is idle. The air conditioner is assumed to be 
connected to its main power source at all times during the off mode; 
and
    (2) For heat pumps, all times during the non-cooling and non-
heating seasons of a heat pump. This mode includes the ``shoulder 
seasons'' between the cooling and heating seasons when the unit 
provides neither heating nor cooling to the building. The heat pump 
is assumed to be connected to its main power source at all times 
during the off mode.
* * * * *
    1.35 Seasonal Energy Efficiency Ratio--Hot Dry (SEER-HD) means 
the total heat removed from the conditioned space during the annual 
cooling season for the designated hot-dry climatic region, expressed 
in Btus, divided by the total electrical energy consumed by the air 
conditioner or heat pump during the same season, expressed in watt-
hours. Calculate SEER-HD as specified in section 4.1.6 of this 
Appendix.
* * * * *
    1.46 Triple-capacity (or triple-stage) compressor means an air 
conditioner or heat pump with one of the following:
    (1) A three-speed compressor,
    (2) Two compressors where one is a two-capacity compressor--as 
defined in section 1.45--and one is a single-speed compressor where 
the two-capacity compressor operates at both low and high capacity 
with the single-speed compressor turned off and then operates 
exclusively at high capacity when the single speed compressor is 
turned on, or
    (3) A compressor capable of cylinder or scroll unloading to 
provide a total of three levels of compressor capacity.
    For such systems, low capacity means:
    (1) Operating at the low compressor speed,
    (2) Operating the two-capacity compressor at low capacity with 
the single-speed compressor turned off, and
    (3) Operating with the compressor fully unloaded.
    For such systems, high capacity means:
    (1) Operating at the high compressor speed,
    (2) Operating the two-capacity compressor at high capacity with 
the single-speed compressor turned off, and
    (3) Operating with the compressor partially unloaded.
    For such systems, booster capacity means:
    (1) Operating at the booster compressor speed,
    (2) Operating the two-capacity compressor at high capacity with 
the single-speed compressor turned on, and
    (3) Operating the compressor fully loaded.
    1.47 Triple-capacity northern heat pump means a heat pump that 
provides two stages of cooling and three stages of heating. The two 
common stages for both the cooling and heating modes are the low 
capacity stage and the high capacity stage. The additional heating 
mode stage is called the booster capacity stage. Of the three 
heating mode stages, the booster capacity stage offers the highest 
heating capacity output for a given set of ambient operating 
conditions.
* * * * *
    2. Testing Conditions
* * * * *
    2.2 Test unit installation requirements.
    a. Except as noted in this appendix, install the unit according 
to section 8.2 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec.  430.3) where references to ``manufacturer's 
installation instructions'' shall mean the installation instructions 
that come packaged with the unit. If the particular model of air 
conditioner or heat pump is not yet in production, the installation 
instructions used must be written and saved until they are confirmed 
as being consistent with the instructions that are thereafter 
packaged with the full production model. With respect to 
interconnecting tubing used when testing split systems, follow the 
requirements in section 6.1.3.5 of AHRI Standard 210/240-2008 
(incorporated by reference, see Sec.  430.3). When testing triple-
split systems (see Definition 1.48), use the tubing length specified 
in section 6.1.3.5 of AHRI Standard 210/240-2008 (incorporated by 
reference, see Sec.  430.3) to connect the outdoor coil, indoor 
compressor section, and indoor coil while still meeting the 
requirement of exposing 10 feet of the tubing to outside conditions. 
When testing split systems having multiple indoor coils, connect 
each indoor fan-coil to the outdoor unit using 25 feet of tubing or 
manufacturer-furnished tubing, whichever is longer. If needed to 
make a secondary measurement of capacity, install refrigerant 
pressure measuring instruments as described in section 8.2.5 of 
ASHRAE Standard 37-2005 (incorporated by reference, see Sec.  
430.3). Refer to section 2.10 of this Appendix to learn which 
secondary methods require refrigerant pressure measurements. At a 
minimum, insulate the low-pressure line(s) of a split system with 
insulation having an inside diameter that matches the refrigerant 
tubing and a nominal thickness of 0.5 inch.
* * * * *
    d. When testing coil-only air conditioners and heat pumps, 
install a nominal 24-V transformer to power the low-voltage 
components of the system. The transformer must have a load rating of 
either 40 or 50 V-amps and must be designed to operate with a 
primary input that is 230 V, single phase, 60 Hz. The transformer 
may be powered from the same source as supplies powered to the 
outdoor unit or powered by a separate 230-V source. The power 
consumption of the added low-voltage transformer must be measured as 
part of the total system power consumption during all tests.

[[Page 31250]]

    e. If the manufacturer's installation instructions include steps 
that apply to a hot-dry climate different from the steps that apply 
for a mixed climate, apply these differing installation steps in 
advance of conducting the laboratory tests that apply for the 
respective climates.
    f. For third-party testing conducted to meet DOE certification 
requirements, the working relationship between the test laboratory 
and the manufacturer shall not be restricted as long as the test 
unit installation and laboratory testing are conducted in complete 
compliance with the procedures specified in this appendix.
* * * * *
    2.2.1 Defrost control settings. Set heat pump defrost controls 
at the normal settings which most typify those encountered in 
generalized climactic region IV. (Refer to Figure 2 and Table 17 of 
section 4.2 for information on region IV.) For heat pumps that use a 
time-adaptive defrost control system (see Definition 1.44), the 
manufacturer must specify the frosting interval to be used during 
the Frost Accumulation tests and provide the procedure for manually 
initiating the defrost at the specified time. To ease testing of any 
unit, the manufacturer should provide information and any necessary 
hardware to manually initiate a defrost cycle.
* * * * *
    2.2.3 Special requirements for systems that would normally 
operate using two or more indoor thermostats, including multi-split 
air conditioners and heat pumps, systems composed of multiple mini-
split units (outdoor units located side-by-side), and ducted systems 
using a single indoor section containing multiple blowers. Because 
these types of systems will have more than one indoor fan and 
possibly multiple outdoor fans and compressor systems, references in 
this test procedure to a single indoor fan, outdoor fan, and 
compressor mean all indoor fans, all outdoor fans, and all 
compressor systems turned on during the test.
    2.2.3.1 Additional requirements for multi-split air conditioners 
and heat pumps and systems composed of multiple mini-split units. 
For any test where the system is operated at part load (i.e., one or 
more compressors ``off,'' operating at the intermediate or minimum 
compressor speed or at low compressor capacity), the manufacturer 
shall designate the particular indoor coils that are turned off 
during the test. For variable-speed systems, the manufacturer must 
designate at least one indoor unit that is turned off for all tests 
conducted at minimum compressor speed. For all other part-load 
tests, the manufacturer shall choose to turn off zero, one, two, or 
more indoor units. The chosen configuration shall remain unchanged 
for all tests conducted at the same compressor speed/capacity. For 
any indoor coil turned off during a test, take steps to cease forced 
airflow through this indoor coil and block its outlet duct.
    2.2.3.2 Additional requirements for ducted systems with a single 
indoor section containing multiple blowers where the blowers are 
designed to cycle on and off independently of one another and are 
not controlled such that all blowers are modulated to always operate 
at the same air volume rate or speed. This Appendix covers systems 
with a single-speed compressor or systems offering two fixed stages 
of compressor capacity (e.g., a two-speed compressor, two single-
speed compressors). For any test where the system is operated at its 
lowest capacity--i.e., the lowest total air volume rate allowed when 
operating the single-speed compressor or when operating at low 
compressor capacity--blowers accounting for at least one-third of 
the full-load air volume rate must be turned off unless prevented by 
the controls of the unit. In such cases, turn off as many blowers as 
permitted by the unit's controls. Where more than one option exists 
for meeting this ``off'' blower requirement, the manufacturer shall 
choose which blower(s) are turned off. The chosen configuration 
shall remain unchanged for all tests conducted at the same lowest 
capacity configuration. For any indoor coil turned off during a 
test, take steps to cease forced airflow through any outlet duct 
connected to an ``off'' blower.
* * * * *
    2.2.5 Additional refrigerant charging requirements. The test 
unit shall be charged in accordance with both the following 
instructions and the manufacturer's installation instructions 
described in section 2.2.
    If the manufacturer's installation instructions specify as part 
of a standard installation and/or commissioning practice to either 
alter or check the refrigerant charge while the unit is operating, 
the testing laboratory shall do so in conjunction with establishing 
the cooling full-load air volume rate (see section 3.1.4.1) and 
operating entering air conditions specified in the A (or A2) Test. 
For heating-only heat pumps, this refrigerant charge evaluation and 
potential adjustment step shall be done in conjunction with 
establishing the heating full-load air volume rate (see section 
3.1.4.4) and operating entering air conditions specified for the H1 
(or H12) Test. For the entering db and wb air temperature conditions 
noted above, determine from the manufacturer's installation 
instructions the target value(s) for the system's measurable 
operating parameter(s)--e.g., suction superheat temperature, liquid 
line subcooling temperature, refrigerant suction pressure, etc. If 
the manufacturer's installation instructions list a range for a 
particular parameter, use the midpoint value as the target value. 
The testing laboratory shall add or subtract the correct amount of 
refrigerant to achieve as closely as possible the target value(s).
    If a unit requires charging but the manufacturer's installation 
instructions do not specify a charging procedure, then evacuate the 
unit and add the nameplate refrigerant charge. Where the 
manufacturer's installation instructions contain two or more sets of 
refrigerant charging criteria, use the set most appropriate for a 
normal field installation.
    Once the test unit has been properly charged with refrigerant, 
all cooling mode and, if a heat pump, all heating mode-laboratory 
tests shall be conducted, and the testing laboratory shall not add 
or subtract any more refrigerant to or from the test unit.
* * * * *
    2.4.1 * * *
* * * * *
    b. For systems having multiple indoor coils or multiple indoor 
blowers within a single indoor section, attach a plenum to each 
indoor coil or blower outlet. * * *
* * * * *
    2.5.5 * * *
    a. Measure dry bulb temperatures as specified in sections 4, 5, 
6.1-6.10, 9, 10, and 11 of ASHRAE Standard 41.1-86 (RA 06) 
(incorporated by reference, see Sec.  430.3). The transient testing 
requirements cited in section 4.3 of ASHRAE Standard 41.1-86 (RA 06) 
apply if conducting a cyclic or frost accumulation test. If the 
temperature sensors used to measure the indoor-side dry bulb 
temperature difference are different for steady-state tests and 
cyclic tests; in addition, the two sets of instrumentation must be 
correlated as described in section 3.4 for cooling mode tests and 
section 3.8 for heating mode tests.
* * * * *

3. Testing Procedures

    3.1 * * * Use the testing procedures in this section to collect 
the data used for calculating (1) the seasonal performance ratings 
for air conditioners and heat pumps during the cooling season; (2) 
the seasonal performance ratings for heat pumps during the heating 
season; and (3) the seasonal off-mode power consumption rating(s) 
for air conditioners and heat pumps during the parts of the year not 
captured by the cooling and heating seasonal performance 
descriptors. For air conditioners, the non-cooling seasons are the 
heating season and the shoulder seasons that separate the cooling 
and heating seasons. For heat pumps, the collective shoulder season 
is the only time of the year where a seasonal off-mode power 
consumption rating applies.
* * * * *
    3.1.4.1.1 * * *
    a. * * *
* * * * *
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor fan that increases air volume 
rate while maintaining the same operating features (e.g., next 
highest fan motor pin setting that maintains the same fan delay 
interval, next highest fan motor speed) and repeat the evaluation 
process beginning with the above step 1. * * *
* * * * *

[[Page 31251]]



        Table 2--Minimum External Static Pressure for Ducted Systems Tested With an Indoor Fan Installed
----------------------------------------------------------------------------------------------------------------
                                                                       Minimum external resistance \3\ in wc
                                                                 -----------------------------------------------
         Rated Cooling \1\ or Heating \2\ Capacity Btu/h                            Multi-split      All other
                                                                     SDHV 4,5         systems         systems
----------------------------------------------------------------------------------------------------------------
<=28,800........................................................            1.10            0.03            0.10
29,000-42,500...................................................            1.15            0.05            0.15
>=43,000........................................................            1.20            0.07            0.20
----------------------------------------------------------------------------------------------------------------
\1\ For air conditioners and heat pumps, the value cited by the manufacturer in published literature for the
  unit's capacity when operated at the A or A2 Test conditions.
\2\ For heating-only heat pumps, the value the manufacturer cites in published literature for the unit's
  capacity when operated at the H1 or H12 Test conditions.
\3\ For ducted units tested without an air filter installed, increase the applicable tabular value by 0.08 inch
  of water.
\4\ See Definition 1.37 to determine if the equipment qualifies as a small-duct, high-velocity system.
\5\ If a closed-loop, air-enthalpy test apparatus is used on the indoor side, limit the resistance to airflow on
  the inlet side of the indoor blower coil to a maximum value of 0.1 inch of water. Impose the balance of the
  airflow resistance on the outlet side of the indoor blower.

    d. For systems having multiple blower coil indoor units, conduct 
the above section 3.1.4.1.1 setup steps for each indoor unit 
separately. If two or more indoor units are connected to a common 
duct as per section 2.4.1, either turn off the other indoor units 
connected to the same common duct or temporarily divert their air 
volume to the test room when confirming or adjusting the setup 
configuration of individual indoor units. If the indoor units are 
all the same size or model, the target air volume rate for each 
indoor unit equals the full-load air volume rate divided by the 
number of indoor units. If different size indoor units are used, the 
manufacturer must allocate the system's full-load air volume rate 
assigned to each indoor unit during this set-up phase.
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the full-load air volume rate with all 
blowers operating unless prevented by the controls of the unit. In 
such cases, turn on the maximum number of blowers permitted by the 
unit's controls. Where more than one option exists for meeting this 
``on'' blower requirement, the manufacturer shall choose which 
blower(s) are turned on. Conduct section 3.1.4.1.1 setup steps for 
each blower separately. If two or more indoor blowers are connected 
to a common duct as per section 2.4.1, either turn off the other 
indoor blowers connected to the same common duct or temporarily 
divert their air volume to the test room when confirming or 
adjusting the setup configuration of individual blowers. If the 
indoor blowers are all the same size or model, the target air volume 
rate for each blower plenum equals the full-load air volume rate 
divided by the number of ``on'' blowers. If different size blowers 
are used within the indoor section, the manufacturer must allocate 
the system's full-load air volume rate assigned to each ``on'' 
blower.
* * * * *
    3.1.4.2 * * *
* * * * *
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, operate the indoor blowers such that the 
lowest air volume rate allowed by the unit's controls is obtained 
when operating the lone single-speed compressor or when operating at 
low compressor capacity while meeting the requirements of section 
2.2.3.2 for the minimum number of blowers that must be turned off. 
The air volume rate for each ``on'' blower must then be determined 
using the first section 3.1.4.2 equation if the blower operates at 
fixed fan speeds or must be specified by the manufacturer if the 
blower is designed to provide a constant air volume rate. The sum of 
the individual ``on'' blowers' air volume rates is the cooling 
minimum air volume rate for the system.
* * * * *
    3.1.4.4.2 * * *
* * * * *
    c. When testing ducted, two-capacity northern heat pumps (see 
Definition 1.50), use the appropriate approach of the above two 
cases for units that are installed with an indoor fan installed. For 
coil-only (fanless) northern heat pumps, the Heating Full-Load Air 
Volume Rate is the lesser of the rate specified by the manufacturer 
or 133 percent of the Cooling Full-Load Air Volume Rate. For this 
latter case, obtain the Heating Full-Load Air Volume Rate regardless 
of the pressure drop across the indoor coil assembly.
    d. For systems having multiple indoor blower coil units where 
individual blowers regulate the speed (as opposed to the cfm) of the 
indoor fan, use the first section 3.1.4.4.2 equation for each blower 
coil individually. Sum the individual blower coil air volume rates 
to obtain the heating full-load air volume rate for the system.
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the heating full-load air volume rate 
using the same ``on'' blowers as used for the cooling full-load air 
volume rate. For systems where individual blowers regulate the speed 
(as opposed to the cfm) of the indoor fan, use the first section 
3.1.4.4.2 equation for each blower individually. Sum the individual 
blower air volume rates to obtain the heating full-load air volume 
rate for the system.
* * * * *
    3.1.4.4.3 * * *
    a. * * *
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor fan that increases air volume 
rate while maintaining the same operating features (e.g., next 
highest fan motor pin setting that maintains the same fan delay 
interval, next highest fan motor speed) and repeat the evaluation 
process beginning with the above step 1. * * *
* * * * *
    3.1.4.5 * * *
* * * * *
    f. For ducted systems with multiple indoor blowers within a 
single indoor section, obtain the heating minimum air volume rate 
using the same ``on'' blowers as used for the cooling minimum air 
volume rate. For systems where individual blowers regulate the speed 
(as opposed to the cfm) of the indoor fan, use the first section 
3.1.4.5 equation for each blower individually. Sum the individual 
blower air volume rates to obtain the heating minimum air volume 
rate for the system.
* * * * *
    3.2.1 * * *
* * * * *
    In order to evaluate the cooling season performance of the test 
unit when applied in a hot-dry climate, conduct one steady-state 
test, the AD Test. Conducting an additional steady-state, dry 
climate test (the BD Test) is optional. Test conditions for the two 
dry climate tests are specified in Table 3A.

[[Page 31252]]



 Table 3a--Dry Climate Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed
                       Indoor Fan, a Constant Air Volume Rate Indoor Fan, or No Indoor Fan
----------------------------------------------------------------------------------------------------------------
                                        Air entering indoor  Air entering outdoor
                                         unit temperature       unit temperature
                                              [deg]F                [deg]F
           Test description           --------------------------------------------  Dry climate air volume rate
                                                                         Wet bulb
                                        Dry bulb   Wet bulb   Dry bulb     \1\
----------------------------------------------------------------------------------------------------------------
AD Test--required (steady)...........         80         64         95         75  Dry-Climate Full-Load.
BD Test--optional (steady)...........         80         64         82         65  Dry-Climate Full-Load.
----------------------------------------------------------------------------------------------------------------
\1\The specified test condition only applies if the unit rejects condensate to the outdoor coil.

    As an alternative to conducting the optional BD Test, use the 
following equations to approximate the capacity and electrical power 
of the test unit at the BD test conditions:
    QHD (82) = QHD (95) + MDQ x (82 - 95)
    EHD (82) = EHD (95) + MDE x (82 - 95)
Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.241

    In evaluating the above equations, determine the quantities QHD 
(95) and EHD (95) from the AD Test. Determine the quantities Qc (82) 
and Ec (82) from the B Test and the quantities Qc (95) and Ec (95) 
from the A Test. Evaluate all six quantities according to section 
3.3. If the manufacturer conducts the BD Test, the option of using 
the above default equations is not forfeited. Use the paired values 
of QHD (82) and EHD (82) derived from conducting the BD Test and 
evaluated as specified in section 3.3 or use the paired values 
calculated using the above default equations, whichever contribute 
to a higher SEER-HD.
    Determine and obtain the dry-climate full-load air volume rate 
used for the AD and BD Tests as specified in section 3.1.4.1 for the 
cooling full-load air volume rate, only now replacing references to 
the A Test and cooling full-load with references to the AD Test and 
the dry-climate full load.
    3.2.2 Tests for a unit with a single-speed compressor where the 
indoor section uses a single variable-speed variable-air-volume rate 
indoor fan or multiple blowers.
    3.2.2.1 Indoor fan capacity modulation that correlates with 
outdoor dry-bulb temperature or systems with a single indoor coil 
but multiple blowers. Conduct four steady-state wet-coil tests: the 
A2, A1, B2, and B1 Tests. Use the two optional dry-coil tests, the 
steady-state C1 Test and the cyclic D1 Test to determine the cooling 
mode cyclic-degradation coefficient, CDc . If the two optional tests 
are conducted but yield a tested CDc that exceeds the default CDc or 
if the two optional tests are not conducted, assign CDc the default 
value of 0.25. Table 4 specifies test conditions for these six 
tests.

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

    In order to evaluate the cooling season performance of the test 
unit when applied in a hot-dry climate, conduct two steady-state 
tests (the AD2 and the AD1). Two additional steady-state, hot-dry-
climate tests (the BD2 Test and the BD1 Test) are optional. Test 
conditions for the four dry climate tests are specified in Table 4a. 
As an alternative to conducting the optional BD2 and BD1 Tests, use 
the following equations to approximate the capacity and electrical 
power of the test unit at the BD2 (k=2) and BD1 (k=1) test 
conditions:

[[Page 31253]]

[GRAPHIC] [TIFF OMITTED] TP02JN10.242

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.243

    In evaluating the above equations for k=2 (dry-climate full-load 
air volume rate) and k=1 (dry-climate minimum air volume rate), 
determine the quantities QHDk=2 (95) and EHDk=2 (95) from the AD2 
Test and the quantities QHDk=1 (95) and EHDk=1 (95) from the AD1 
Test. Determine the quantities Qck=2 (95) and ECk=2 (95) from the A2 
Test, the quantities Qck=1 (95) and Eck=1 (95) from the A1 Test, the 
quantities Qck=2 (82) and ECk=2 (82) from the B2 Test, and the 
quantities Qck=1 (82) and Eck=1 (82) from the B1 Test. Evaluate all 
12 quantities according to section 3.3. If the manufacturer conducts 
either or both the BD2 and BD1 Tests, the option of using the above 
default equations is not forfeited. Use the paired values of QHDk=2 
(82) and EHDk=2 (82) derived from conducting the BD2 Test and 
evaluated as specified in section 3.3 or use the paired values 
calculated using the above default equations, whichever contribute 
to a higher SEER-HD. Similarly, use the paired values of QHDk=1 (82) 
and EHDk=1 (82) derived from conducting the BD1 Test and evaluated 
as specified in section 3.3 or use the paired values calculated 
using the above default equations, whichever contribute to a higher 
SEER-HD.
    Determine and obtain the dry-climate full-load air volume rate 
used for the AD2 and BD2 Tests as specified in section 3.1.4.1 for 
the cooling full-load air volume rate, only now replacing references 
to the A2 Test and cooling full-load with references to the AD2 Test 
and the dry-climate full-load. Similarly, determine and obtain the 
dry-climate minimum air volume rate used for the AD1 and BD1 Tests 
specified in section 3.1.4.2 for the cooling minimum air volume 
rate, only now replacing references to the A1 Test, B1 Test, A2 
Test, B2 Test, cooling full-load, cooling minimum, and [Delta]Pst,A2 
with references to the AD1 Test, BD1 Test, AD2 Test, BD2 Test, dry-
climate full-load, dry-climate minimum, and [Delta]Pst,AD2, 
respectively.

   Table 4a--Dry Climate Cooling Mode Test Conditions for Air Conditioners and Heat Pumps With a Single-Speed
                       Compressor That Meets the Section 3.2.2.1 Indoor Unit Requirements
----------------------------------------------------------------------------------------------------------------
                                  Air entering indoor  Air entering outdoor
                                   unit temperature      unit temperature
        Test description                [deg]F                [deg]F             Dry climate air volume rate
                                --------------------------------------------
                                  Dry bulb   Wet bulb   Dry bulb   Wet bulb
----------------------------------------------------------------------------------------------------------------
AD2 Test-required (steady).....         80         64         95         75  Dry-Climate Full-Load.
AD1 Test-required (steady).....         80         64         95         75  Dry-Climate Minimum.
BD2 Test-optional (steady).....         80         64         82         65  Dry-Climate Full-Load.
BD1 Test-optional (steady).....         80         64         82         65  Dry-Climate Minimum.
----------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.

    3.2.2.2 Indoor fan capacity modulation based on adjusting the 
sensible to total (S/T) cooling capacity ratio. The testing 
requirements are the same as specified in section 3.2.1 and Table 3. 
Use a cooling full-load air volume rate that represents a normal 
residential installation. If performed, conduct the steady-state C 
Test and the cyclic D Test with the unit operating in the same S/T 
capacity control mode as used for the B Test.
    3.2.3 Tests for a unit having a two-capacity compressor (see 
Definition 1.49). * * *
* * * * *
    c. Test two-capacity, northern heat pumps (see Definition 1.50) 
in the same way as a single speed heat pump with the unit operating 
exclusively at low compressor capacity (see section 3.2.1 and Table 
3).
* * * * *
    e. In order to evaluate the cooling season performance of the 
test unit when applied in a hot-dry climate, conduct two steady-
state tests, the AD2 and the BD1. Conducting two additional steady-
state, dry-climate tests (the BD2 and the FD1) are optional. Test 
conditions for the four dry climate tests are specified in Table 5a. 
As an alternative to conducting the optional BD2 Test, use the 
following equations to approximate the capacity and electrical power 
of the test unit at the BD2 test conditions:
[GRAPHIC] [TIFF OMITTED] TP02JN10.244

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.245


[[Page 31254]]


    In evaluating the above equations, determine the quantities QHDk=2 
(95) and EHDk=2 (95) from the AD2 Test. Determine the quantities Qck=2 
(95) and ECk=2 (95) from the A2 Test and the quantities Qck=2 (82) and 
Eck=2 (82) from the B2 Test. Evaluate all six quantities according to 
section 3.3. If the manufacturer conducts the BD2 Test, the option of 
using the above default equations is not forfeited. Use the paired 
values of QHDk=2 (82) and EHDk=2 (82) derived from conducting the BD2 
Test and evaluated as specified in section 3.3 or use the paired values 
calculated using the above default equations, whichever paired values 
contribute to a higher SEER-HD.
    As an alternative to conducting the optional FD1 Test, use the 
following equations to approximate the capacity and electrical power of 
the test unit at the FD1 Test conditions:
[GRAPHIC] [TIFF OMITTED] TP02JN10.246

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.247

    In evaluating the above equations, determine the quantities QHDk=1 
(82) and EHDk=1 (82) from the BD1 Test. Determine the quantities Qck=1 
(82) and ECk=1 (82) from the B1 Test and the quantities Qck=1 (67) and 
Eck=1 (67) from the F1 Test. Evaluate all six quantities according to 
section 3.3. If the manufacturer conducts the FD1 Test, the option of 
using the above default equations is not forfeited. Use the paired 
values of QHDk=1 (67) and EHDk=1 (67) derived from conducting the FD1 
Test and evaluated as specified in section 3.3 or use the paired values 
calculated using the above default equations, whichever contribute to a 
higher SEER-HD.
    Determine and obtain the dry-climate full-load air volume rate used 
for the AD2 and BD2 Tests as specified in section 3.1.4.1 for the 
cooling full-load air volume rate, only now replacing references to the 
A2 Test and cooling full-load with references to the AD2 Test and the 
dry-climate full-load. Similarly, determine and obtain the dry-climate 
minimum air volume rate used for the BD1 and FD1 Tests as specified in 
section 3.1.4.2 for the cooling minimum air volume rate, only now 
replacing references to the B1 Test, F1 Test, A2 Test, cooling full 
load, cooling minimum, and [Delta]Pst,A2 with references to the BD1 
Test, FD1 Test, AD2 Test, dry-climate full-load, dry-climate minimum, 
and [Delta]Pst,AD2, respectively.

                 Table 5a--Dry Climate Cooling Mode Test Conditions for Air Conditioners and Heat Pumps Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor
                                             temperature  [deg] F     unit temperature  [deg]
             Test description             --------------------------             F                  Compressor capacity      Dry climate air volume rate
                                                                    --------------------------
                                             Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
AD2 Test--required (steady)..............           80           64           95           75  High........................  Dry-Climate Full-Load.
BD2 Test--optional (steady)..............           80           64           82           65  High........................  Dry-Climate Full-Load.
BD1 Test--required (steady)..............           80           64           82           65  Low.........................  Dry-Climate Minimum.
FD1 Test--optional (steady)..............           80           64           67         53.5  Low.........................  Dry-Climate Minimum.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.

    3.2.4 * * *
* * * * *
    d. In order to evaluate the cooling season performance of the test 
unit when applied in a hot-dry climate, conduct two steady-state tests, 
the AD2 Test and the BD1 Test. Conducting two additional steady-state, 
dry climate tests (the BD2 and the FD1) are optional. Test conditions 
for the four dry climate tests are specified in Table 5a, only now 
substituting ``Maximum'' and ``Minimum'' for the Compressor Capacity 
entries of ``High'' and ``Low,'' respectively. As an alternative to 
conducting the optional BD2 and FD1 Tests, use the equations given in 
section 3.2.3 to approximate the capacity and electrical power of the 
test unit at the BD2 and FD1 test conditions.
    3.2.5 Tests for a unit having a triple-capacity compressor 
(Definition 1.46). With the exception of triple-capacity northern heat 
pumps (Definition 1.47), no other units having a triple-capacity 
compressor are currently addressed within this test procedure. Test 
triple-capacity, northern heat pumps for the cooling mode in the same 
way as specified in section 3.2.3 for units having a two-capacity 
compressor.
    3.2.6 Tests for an air conditioner or heat pump having a single 
indoor unit having multiple blowers and offering two stages of 
compressor modulation. Conduct the cooling mode tests specified in 
section 3.2.3. Covered multiple blower systems have a single indoor 
coil connected to a single outdoor unit offering two stages of capacity 
modulation, and ones with a single indoor coil having two refrigerant 
circuits where each circuit is connected

[[Page 31255]]

to separate but identical outdoor units, each having a single-speed 
compressor.
    3.3 * * *
* * * * *
    b. After satisfying the pretest equilibrium requirements, make the 
measurements specified in Table 3 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec.  430.3) for the Indoor Air 
Enthalpy method and the user-selected secondary method. Make the Table 
3 measurements at equal intervals that span 5 minutes or less. Continue 
data sampling until reaching a 30-minute period (e.g., seven 
consecutive 5-minute samples) where the test tolerances specified in 
Table 7 are satisfied. For those continuously recorded parameters, use 
the entire data set from the 30-minute interval to evaluate Table 7 
compliance. Determine the average electrical power consumption of the 
air conditioner or heat pump over the same 30-minute interval.
    c. Calculate indoor-side total cooling and sensible cooling 
capacity as specified in sections 7.3.3.1 and 7.3.3.3 of ASHRAE 
Standard 37-2005 (incorporated by reference, see Sec.  430.3). Do not 
adjust the parameters used in calculating the capacities for the 
permitted variations in test conditions. Evaluate air enthalpies based 
on the measured barometric pressure for calculation of the total 
cooling capacity. Use the values of the specific heat of air given in 
section 7.3.3.1 for calculation of the sensible cooling capacities. 
Assign the average total space cooling capacity, average sensible 
cooling capacity, and average electrical power consumption over the 30-
minute data collection interval to the variables Qck(T), Qsck(T), and 
Eck(T), respectively. For these three variables, replace T with the 
nominal outdoor temperature at which the test was conducted. The 
superscript k is used only when testing multi-capacity units. Use the 
superscript k=2 to denote a test with the unit operating at high 
capacity or maximum speed, k=1 to denote low capacity or minimum speed, 
and k=v to denote the intermediate speed.
* * * * *
    3.4 * * *
* * * * *
    b. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference during 
the steady-state dry-coil test and the subsequent cyclic dry-coil test 
are different, include measurements of the latter sensors among the 
regularly sampled data. Beginning at the start of the 30-minute data 
collection period, measure and compute the indoor-side air dry-bulb 
temperature difference using both sets of instrumentation, [Delta]T 
(Set SS) and [Delta]T (Set CYC), for each equally spaced data sample. 
If using a consistent data sampling rate that is less than 1 minute, 
calculate and record minutely averages for the two temperature 
differences. If using a consistent sampling rate of one minute or more, 
calculate and record the two temperature differences from each data 
sample. After having recorded the seventh (i=7) set of temperature 
differences, calculate the following ratio using the first seven sets 
of values:
[GRAPHIC] [TIFF OMITTED] TP02JN10.248

    Each time a subsequent set of temperature differences is recorded 
(if sampling more frequently than every 5 minutes), calculate FCD using 
the most recent seven sets of values. Continue these calculations until 
the 30-minute period is completed or until a value for FCD is 
calculated that falls outside the allowable range of 0.94-1.06. If the 
latter occurs, immediately suspend the test and identify the cause for 
the disparity in the two temperature difference measurements. 
Recalibration of one or both sets of instrumentation may be required. 
If all the values for FCD are within the allowable range, save the 
final value of the ratio from the 30-minute test as FCD*.
    If the temperature sensors used to provide the primary measurement 
of the indoor-side dry bulb temperature difference during the steady-
state dry-coil test and the subsequent cyclic dry-coil test are the 
same, set FCD* = 1.
* * * * *
    3.5 * * *
* * * * *
    i. * * *

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.249

and, V, Cp,a, Vn (or vn), Wn, and FCD* = the values 
recorded during the section 3.4 dry coil steady-state tests,
and Ta1([tau]) = dry-bulb temperature of the air entering the indoor 
coil at time [tau], [deg]F.

* * * * *
    3.6.2 Tests for a heat pump having a single-speed compressor and a 
single indoor unit having either (1) a variable-speed, variable-air-
rate indoor fan whose capacity modulation correlates with outdoor dry 
bulb temperature or (2) multiple blowers. * * *
* * * * *

Table 10--Heating Mode Test Conditions for Heat Pumps With a Single-
Speed Compressor That Meet the Section 3.6.2 Indoor Unit Requirements * 
* *

* * * * *
    As an alternative to conducting the optional H21 Frost Accumulation 
Test, use the following equations to approximate the capacity and 
electrical power of the heat pump at the H21 test conditions:

[GRAPHIC] [TIFF OMITTED] TP02JN10.250

Where:

[[Page 31256]]

[GRAPHIC] [TIFF OMITTED] TP02JN10.251

    In evaluating the above equations, determine the quantities 
Qhk=2(47) and Ehk=2(47) from the H12 Test, 
determine the quantities Qhk=1(47) and Ehk=1(47) 
from the H11 Test, and evaluate all four quantities according to 
section 3.7. Determine the quantities Qhk=2(35) and 
Ehk=2(35) from the H22 Test and evaluate them according to 
section 3.9. Determine the quantities Qhk=2(17) and 
Ehk=2(17) from the H32 Test, determine the quantities 
Qhk=1(17) and Ehk=1(17) from the H31 Test, and 
evaluate all four quantities according to Section 3.10. If the 
manufacturer conducts the H21 Test, the option of using the above 
default equations is not forfeited. Use the paired values of 
Qhk=1(35) and Ehk=1(35) derived from conducting 
the H21 Frost Accumulation Test and evaluated as specified in section 
3.9 or use the paired values calculated using the above default 
equations, whichever contribute to a higher Region IV HSPF based on the 
DHRmin.
* * * * *
    3.6.3 * * *
    a. * * * If the manufacturer conducts the H21 Test, the option of 
using the above default equations is not forfeited. Use the paired 
values of Qhk=1(35) and Ehk=1(35) derived from 
conducting the H21 Frost Accumulation Test and calculated as specified 
in section 3.9 or use the paired values calculated using the above 
default equations, whichever contribute to a higher Region IV HSPF 
based on the DHRmin.
* * * * *
    3.6.4 * * *
    a. * * *
    b. As an alternative to conducting the optional H22 Frost 
Accumulation Test, use the following equations to approximate the 
capacity and electrical power of the heat pump at the H22 test 
conditions:

[GRAPHIC] [TIFF OMITTED] TP02JN10.252

    In evaluating the above equations, determine the quantities 
Qhk=2(47) and Ehk=2(47) from the H12 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qhk=2(17) and Ehk=2(17) from the H32 Test and 
evaluate them according to section 3.10. If the manufacturer conducts 
the H22 Test, the option of using the above default equations is not 
forfeited. Use the paired values of Qhk=2(35) and 
Ehk=2(35) derived from conducting the H22 Frost Accumulation 
Test and evaluated as specified in section 3.9 or use the paired values 
calculated using the above default equations, whichever contribute to a 
higher Region IV HSPF based on the DHRmin.
    c. For heat pumps where the heating mode maximum compressor speed 
exceeds their cooling mode maximum compressor speed, conduct the H1N 
Test if the manufacturer requests it. If the H1N Test is done, operate 
the heat pump's compressor at the same speed as used for the cooling 
mode A2 Test. Refer to the last sentence of section 4.2 for how the 
results of the H1N Test may be used in calculating the HSPF.
    d. For multiple-split heat pumps (only), the following procedures 
supersede the above requirements. * * *
* * * * *
    3.6.6 Tests for a heat pump having a triple-capacity compressor 
(Definition 1.46). With the exception of triple-capacity northern heat 
pumps (Definition 1.47), no other heat pumps having a triple-capacity 
compressor are currently addressed within this test procedure. Test 
triple-capacity, northern heat pumps for the heating mode as follows:
    (a) Conduct one maximum-temperature test (H01), two high-
temperature tests (H12 and H11), one Frost Accumulation test (H22), two 
low-temperature tests (H32, H33), and one minimum-temperature test 
(H43). Conduct an additional Frost Accumulation test (H21) and low-
temperature test (H31) if both of the following conditions exist: (1) 
Knowledge of the heat pump's capacity and electrical power at low 
compressor capacity for outdoor temperatures of 37 [deg]F and less is 
needed to complete the section 4.2.6 seasonal performance calculations; 
and (2) the heat pump's controls allow low-capacity operation at 
outdoor temperatures of 37 [deg]F and less.
    If the above two conditions are met, an alternative to conducting 
the H21 Frost Accumulation Test to determine Qhk=1(35) and 
Ehk=1(35) is to use the following equations to approximate 
this capacity and electrical power:
[GRAPHIC] [TIFF OMITTED] TP02JN10.253

    In evaluating the above equations, determine the quantities 
Qhk=1(47) and Ehk=1(47) from the H11 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qhk=1(17) and Ehk=1(17) from the H31 Test and 
evaluate them according to section 3.10. If the manufacturer conducts 
the H21 Test, the option of using the above default

[[Page 31257]]

equations is not forfeited. Use the paired values of 
Qhk=1(35) and Ehk=1(35) derived from conducting 
the H21 Frost Accumulation Test and evaluated as specified in section 
3.9.1 or use the paired values calculated using the above default 
equations, whichever contribute to a higher Region IV HSPF based on the 
DHRmin.
    (b) Conducting a Frost Accumulation Test (H23) with the heat pump 
operating at its booster capacity is optional. If this optional test is 
not conducted, determine Qhk=3(35) and Ehk=3(35) 
using the following equations to approximate this capacity and 
electrical power:
[GRAPHIC] [TIFF OMITTED] TP02JN10.254

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.255

    Determine the quantities Qhk=2(47) and 
Ehk=2(47) from the H12 Test and evaluate them according to 
section 3.7. Determine the quantities Qhk=2(35) and 
Ehk=2(35) from the H22 Test and evaluate them according to 
section 3.9.1. Determine the quantities Qhk=2(17) and 
Ehk=2(17) from the H32 Test, determine the quantities 
Qhk=3(17) and Ehk=3(17) from the H33 Test, and 
determine the quantities Qhk=3(2) and Ehk=3(2) 
from the H43 Test. Evaluate all six quantities according to section 
3.10. If the manufacturer conducts the H23 Test, the option of using 
the above default equations is not forfeited. Use the paired values of 
Qhk=3(35) and Ehk=3(35) derived from conducting 
the H23 Frost Accumulation Test and calculated as specified in section 
3.9.1 or use the paired values calculated using the above default 
equations, whichever contribute to a higher Region IV HSPF based on the 
DHRmin.
    (c) Conduct the optional high-temperature cyclic test (H1C1) to 
determine the heating-mode cyclic-degradation coefficient, CDh. If this 
optional test is conducted but yields a tested CDh that exceeds the 
default CDh or if the optional test is not conducted, assign CDh the 
default value of 0.25. If a triple-capacity heat pump locks out low 
capacity operation at lower outdoor temperatures, conduct the optional 
high-temperature cyclic test (H1C2) to determine the high-capacity 
heating-mode cyclic-degradation coefficient, CDh(k=2). If this optional 
test at high capacity is conducted but yields a tested CDh(k=2) that 
exceeds the default CDh(k=2) or if the optional test is not conducted, 
assign CDh(k=2) the default value. The default CDh(k=2) is the same 
value as determined or assigned for the low-capacity cyclic-degradation 
coefficient, CDh [or equivalently, CDh(k=1)]. Finally, if a triple-
capacity heat pump locks out both low and high capacity operation at 
the lowest outdoor temperatures, conduct the optional low-temperature 
cyclic test (H3C3) to determine the booster-capacity heating-mode 
cyclic-degradation coefficient, CDh(k=3). If this optional test at the 
booster capacity is conducted but yields a tested CDh(k=3) that exceeds 
the default CDh(k=3) or if the optional test is not conducted, assign 
CDh(k=3)the default value. The default CDh(k=3) is the same value as 
determined or assigned for the high-capacity cyclic-degradation 
coefficient, CDh [or equivalently, CDh(k=2)]. Table A specifies test 
conditions for all 13 tests.

                                    Table A--Heating Mode Test Conditions for Units With a Triple-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              Air entering         Air entering
                                               indoor unit         outdoor unit
             Test description              temperature [deg]F   temperature [deg]F       Compressor capacity              Heating air volume rate
                                          -----------------------------------------
                                           Dry bulb  Wet bulb  Dry bulb   Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..............        70   60(max)        62       56.5  Low.........................  Heating Minimum.\1\
H12 Test (required, steady)..............        70   60(max)        47       43    High........................  Heating Full-Load.\2\
H1C2 Test (optional, cyclic).............        70   60(max)        47       43    High........................  \3\
H11 Test (required)......................        70   60(max)        47       43    Low.........................  Heating Minimum.\1\
H1C1 Test (optional, cyclic).............        70   60(max)        47       43    Low.........................  \4\
H23 Test (optional, steady)..............        70   60(max)        35       33    Booster.....................  Heating Full-Load.\2\
H22 Test (required)......................        70   60(max)        35       33    High........................  Heating Full-Load.\2\
H21 Test 5 6 (required)..................        70   60(max)        35       33    Low.........................  Heating Minimum.\1\
H33 Test (required, steady)..............        70   60(max)        17       15    Booster.....................  Heating Full-Load.\2\
H3C3 Test (optional, cyclic).............        70   60(max)        17       15    Booster.....................  \7\
H32 Test (required, steady)..............        70   60(max)        17       15    High........................  Heating Full-Load.\2\

[[Page 31258]]

 
H31 Test \5\ (required, steady)..........        70   60(max)        17       15    Low.........................  Heating Minimum.\1\
H43 Test (required, steady)..............        70   60(max)         2        1    Booster.....................  Heating Full-Load.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Defined in section 3.1.4.4.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 Test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 Test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.6 HSPF calculations.
\6\ If table note \5\ applies, the section 3.6.6 equations for Qhk=1(35) and Ehk=1(17) may be used in lieu of conducting the H21 Test.
\7\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H33 Test.

    3.6.7 Tests for a heat pump having a single indoor unit having 
multiple blowers and offering two stages of compressor modulation. 
Conduct the heating mode tests specified in section 3.6.3. Covered 
multiple blower systems have a single indoor coil connected to a single 
outdoor unit offering two stages of capacity modulation and ones having 
a single indoor coil having two refrigerant circuits where each circuit 
is connected to separate but identical outdoor units, each having a 
single-speed compressor.
    3.7 * * *
    a. For the pretest interval, operate the test room reconditioning 
apparatus and the heat pump until equilibrium conditions are maintained 
for at least 30 minutes at the specified section 3.6 test conditions. 
Use the exhaust fan of the airflow measuring apparatus and, if 
installed, the indoor fan of the heat pump to obtain and then maintain 
the indoor air volume rate and/or external static pressure specified 
for the particular test. Continuously record the dry-bulb temperature 
of the air entering the outdoor coil. Refer to section 3.11 for 
additional requirements that depend on the selected secondary test. 
After satisfying the pretest equilibrium requirements, make the 
measurements specified in Table 3 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec.  430.3) for the Indoor Air 
Enthalpy method and the user-selected secondary method. Make the Table 
3 measurements at equal intervals that span 5 minutes or less. Continue 
data sampling until a 30-minute period (e.g., seven consecutive 5-
minute samples) is reached where the test tolerances specified in Table 
13 are satisfied. For those continuously recorded parameters, use the 
entire data set for the 30-minute interval when evaluating Table 13 
compliance. Determine the average electrical power consumption of the 
heat pump over the same 30-minute interval.

 Table 13--Test Operating and Test Condition Tolerances for Section 3.7
            and Section 3.10 Steady-State Heating Mode Tests
------------------------------------------------------------------------
                                   Test operating       Test condition
                                   tolerance \1\        tolerance \2\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F
    Entering temperature......                 2.0                  0.5
    Leaving temperature.......                 2.0   ...................
Indoor wet-bulb, [deg]F
    Entering temperature......                 1.0   ...................
    Leaving temperature.......                 1.0   ...................
Outdoor dry-bulb, [deg]F
    Entering temperature......                 2.0                  0.5
    Leaving temperature.......             \2\ 2.0
Outdoor wet-bulb, [deg]F
    Entering temperature......                 1.0                  0.3
    Leaving temperature.......             \3\ 1.0   ...................
External resistance to                         0.12             \4\ 0.02
 airflow, inches of water.....
Electrical voltage, % of rdg..                 2.0                  1.5
Nozzle pressure drop, % of rdg                 8.0   ...................
------------------------------------------------------------------------
\1\ See Definition 1.43.
\2\ See Definition 1.42.
\3\ Only applies when the Outdoor Air Enthalpy Method is used.
\4\ Only applies when testing non-ducted units.

    b. Calculate indoor-side total heating capacity as specified in 
sections 7.3.4.1 and 7.3.4.3 of ASHRAE Standard 37-2005 (incorporated 
by reference, see Sec.  430.3). * * *
* * * * *
    d. If conducting the optional cyclic heating mode test described in 
section 3.8, record the average indoor-side air volume rate, V, 
specific heat of the air,

[[Page 31259]]

Cp,a (expressed on a dry air basis), specific volume of the air at the 
nozzles, vn[min] (or vn), humidity ratio at the nozzles, Wn, 
and either pressure difference or velocity pressure for the flow 
nozzles.
    If the temperature sensors used to provide the primary measurement 
of the indoor-side dry bulb temperature difference during the steady-
state dry-coil test and the subsequent cyclic dry-coil test are 
different, include measurements of the latter sensors among the 
regularly sampled data during the steady-state test. Beginning at the 
start of the 30-minute data collection period, measure and compute the 
indoor-side air dry bulb temperature difference using both sets of 
instrumentation, [Delta]T(Set SS) and [Delta]T(Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages for 
the two temperature differences. If using a consistent sampling rate of 
one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TP02JN10.256

    Each time a subsequent set of temperature differences is recorded 
(if sampling more frequently than every 5 minutes), calculate FCD using 
the most recent seven sets of values. Continue these calculations until 
the 30-minute period is completed or until a value for FCD is 
calculated that falls outside the allowable range of 0.94-1.06. If the 
latter occurs, immediately suspend the test and identify the cause for 
the disparity in the two temperature difference measurements. 
Recalibration of one or both sets of instrumentation may be required. 
If all the values for FCD are within the allowable range, save the 
final value of the ratio from the 30-minute test as FCD\*\.
    If the temperature sensors used to provide the primary measurement 
of the indoor-side dry bulb temperature difference during the steady-
state dry-coil test and the subsequent cyclic dry-coil test are the 
same, set FCD* = 1.
    e. If either or both of the below criteria apply, determine the 
average, steady-state, electrical power consumption of the indoor fan 
motor (Efan,1):

    1. The section 3.8 cyclic test will be conducted and the heat pump 
has a variable-speed indoor fan that is expected to be disabled during 
the cyclic test; or
    2. The heat pump has a (variable-speed) constant-air volume-rate 
indoor fan and during the steady-state test the average external static 
pressure ([Delta]P1) exceeds the applicable section 3.1.4.4 minimum (or 
targeted) external static pressure ([Delta]Pmin) by 0.03 in wc or more.


Determine Efan,1 by making measurements during the 30-minute 
data collection interval, or immediately following the test and prior 
to changing the test conditions. When the above ``2'' criteria applies, 
conduct the following four steps after determining Efan,1 
(which corresponds to [Delta]P1):

    1. While maintaining the same test conditions, adjust the exhaust 
fan of the airflow measuring apparatus until the external static 
pressure increases to approximately [Delta]P1 + ([Delta]P1 - 
[Delta]Pmin).
    2. After re-establishing steady readings for fan motor power and 
external static pressure, determine average values for the indoor fan 
power (Efan,2) and the external static pressure ([Delta]P2) 
by making measurements over a 5-minute interval.
    3. Approximate the average power consumption of the indoor fan 
motor if the 30-minute test had been conducted at [Delta]Pmin using 
linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TP02JN10.257

    4. Decrease the total space heating capacity, Qhk(T), by the 
quantity (Efan,1 - Efan,min), when expressed on a Btu/h 
basis. Decrease the total electrical power, [Edot]hk(T) by the same fan 
power difference, now expressed in watts.


3.8 Test procedures for the optional cyclic heating mode tests (the 
H0C1, H1C, H1C1, H1C2, and H3C3 Tests). a. Except as noted below, 
conduct the cyclic heating mode test as specified in section 3.5. As 
adapted to the heating mode, replace section 3.5 references to ``the 
steady-state dry coil test'' with ``the heating mode steady-state test 
conducted at the same test conditions as the cyclic heating mode 
test.'' Use the test tolerances in Table 14 rather than Table 8. Record 
the outdoor coil entering wet-bulb temperature according to the 
requirements given in section 3.5 for the outdoor coil entering wet-
bulb temperature.
    Drop the subscript ``dry'' used in variables cited in section 3.5 
when referring to quantities from the cyclic heating mode test. 
Determine the total space heating delivered during the cyclic heating 
test, qcyc, as specified in section 3.5 except for making the following 
changes:
    (1) When evaluating Eq. 3.5-1, use the values of V, Cp,a, vn' (or 
vn), and Wn that were recorded during the section 3.7 steady state test 
conducted at the same test conditions.
    (2) Calculate [Gamma] using
    [GRAPHIC] [TIFF OMITTED] TP02JN10.258
    
Where:
    FCD* = recorded during the section 3.7 steady state test 
conducted at the same test conditions.
* * * * *
    3.8.1 * * *

    Table 14--Test Operating and Test Condition Tolerances for Cyclic
                           Heating Mode Tests
------------------------------------------------------------------------
                                       Test operating    Test condition
                                        tolerance \1\     tolerance \2\
------------------------------------------------------------------------
Indoor entering dry-bulb                           2.0               0.5
 temperature, [deg] F...............
Indoor entering wet-bulb                           1.0  ................
 temperature, [deg] F...............
Outdoor entering dry-bulb                          2.0               0.5
 temperature, [deg] F...............
Outdoor entering wet-bulb                          2.0               1.0
 temperature, [deg] F...............
External resistance to air-flow,\3\               0.12  ................
 inches of water....................

[[Page 31260]]

 
Airflow nozzle pressure difference                 2.0           \4\ 2.0
 or velocity pressure, \3\ % of
 reading............................
Electrical voltage,\5\ % of rdg.....               8.0               1.5
------------------------------------------------------------------------
\1\ See Definition 1.43.
\2\ See Definition 1.42.
\3\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor fan that ramps, the
  tolerances listed for the external resistance to airflow shall apply
  from 30 seconds after achieving full speed until ramp down begins.
\4\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state test conducted
  at the same test conditions.
\5\ Applies during the interval that at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor fan--are
  operating, except for the first 30 seconds after compressor start-up.

* * * * *
    3.9 * * *
    e. * * * Sample the remaining parameters listed in Table 15 at 
equal intervals that span 5 minutes or less.
* * * * *
    3.9.2 * * *
    a. Assign the demand defrost credit Fdef used in section 4.2 to the 
value of 1 in all cases except for heat pumps having a demand-defrost 
control system (Definition 1.21). For such qualifying heat pumps, 
evaluate Fdef using
[GRAPHIC] [TIFF OMITTED] TP02JN10.259

Where:
    [Delta]Tdef = the time between defrost terminations (in hours) or 
1.5, whichever is greater. A value of 6 must be assigned to [Delta]Tdef 
if this limit is reached during a frost accumulation test and the heat 
pump has not completed a defrost cycle.
    [Delta]Tmax = maximum time between defrosts as allowed by the 
controls (in hours) or 12, whichever is less. The value of [Delta]Tmax 
must be provided by the manufacturer.
* * * * *
    3.10 Test procedures for steady-state low and minimum temperature 
heating mode tests (the H3, H33, H32, H31, and H43 Tests). Except for 
modifications noted in this section, conduct the low temperature and 
minimum temperature heating mode tests using the same approach as 
specified in section 3.7 for the maximum and high temperature tests. 
After satisfying the section 3.7 requirements for the pretest interval 
but before beginning to collect data to determine 
Qhk (17) or Qhk (2) and 
Ehk (17) or Ehk (2) , 
conduct a defrost cycle that can be initiated manually or 
automatically. The defrost sequence must be terminated by the action of 
the heat pump's defrost controls. Begin the 30-minute data collection 
interval described in section 3.7 from which Qhk 
(17) and Ehk (17) or Qhk 
(2) and Ehk (2) are determined, no sooner than 10 
minutes after defrost termination. Defrosts should be prevented over 
the 30-minute data collection interval.
* * * * *
    3.11.1.1 * * *
    a. The test conditions for the preliminary test are the same as 
specified for the official test. Connect the indoor air-side apparatus 
to the indoor coil; disconnect the outdoor air-side test apparatus. 
Allow the test room reconditioning apparatus and the unit being tested 
to operate for at least 1 hour. After attaining equilibrium conditions, 
measure the following quantities at equal intervals that span 5 minutes 
or less:
    1. The section 2.10.1 evaporator and condenser temperatures or 
pressures;
    2. Parameters required according to the indoor air enthalpy method.
    Continue these measurements until a 30-minute period (e.g., seven 
consecutive 5-minute samples) is obtained where the Table 7 or Table 
13, whichever applies, test tolerances are satisfied.
* * * * *
    3.11.1.3 * * *
    a. Continue (preliminary test was conducted) or begin (no 
preliminary test) the official test by making measurements for both the 
indoor and outdoor air enthalpy methods at equal intervals that span 5 
minutes or less. Discontinue these measurements only after obtaining a 
30-minute period where the specified test condition and operating 
tolerances are satisfied. To constitute a valid official test:
    1. Achieve the energy balance specified in section 3.1.1; and,
    2. For cases where a preliminary test is conducted, the capacities 
determined using the Indoor Air Enthalpy Method from the official and 
preliminary test periods must agree within 2 percent.
* * * * *
    3.11.2 * * *
    a. Conduct separate calibration tests using a calorimeter to 
determine the refrigerant flow rate. Or for cases where the superheat 
of the refrigerant leaving the evaporator is less than 5 [deg]F, use 
the calorimeter to measure total capacity rather than refrigerant flow 
rate. Conduct these calibration tests at the same test conditions as 
specified for the tests in this Appendix. Operate the unit for at least 
one hour or until obtaining equilibrium conditions before collecting 
data that will be used in determining the average refrigerant flow rate 
or total capacity. Sample the data at equal intervals that span 5 
minutes or less. Determine average flow rate or average capacity from 
data sampled over a 30-minute period where the Table 7 (cooling) or the 
Table 13 (heating) tolerances are satisfied. Otherwise, conduct the 
calibration tests according to ASHRAE Standard 23-05 (incorporated by 
reference, see Sec.  430.3), ASHRAE Standard 41.9-2000 (incorporated by 
reference, see Sec.  430.3), and section 7.4 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec.  430.3).
* * * * *
    3.13 Laboratory testing to determine off-mode energy consumption. 
The below laboratory testing is used to estimate the energy consumption 
of an air conditioner during the non-cooling seasons, the heating and 
shoulder seasons that separate the cooling and heating seasons. Testing 
to estimate the energy consumption of a heat pump during the collective 
shoulder seasons is also described. The extent of the testing strongly 
depends on whether the test unit includes a compressor crankcase 
heater, the heater is thermostatically controlled, and the heater is 
provided on an air conditioner or heat pump.
    3.13.1 Determine if the air conditioner or heat pump has a 
compressor crankcase heater. If so equipped, turn off the power to the 
outdoor unit, isolate the leads that supply power to the crankcase 
heater, measure the resistance of the heater circuit, record the value 
as

[[Page 31261]]

RCC, reconnect the heater's leads, and resupply power to the outdoor 
unit.
    Determine from the manufacturer if the compressor crankcase heater 
is thermostatically controlled. If the heater is thermostatically 
controlled, the manufacturer must provide:
    a. A value for the outdoor temperature, T00, at which the crankcase 
heater is expected to begin heating if the indoor temperature is above 
75 [deg]F and no space conditioning has been needed for a long enough 
time that the compressor's shell temperature equals the outdoor air 
temperature; and
    b. A value for the outdoor temperature, T100, at which the 
crankcase heater is expected to begin continuous heating if the indoor 
temperature is above 75 [deg]F and no space conditioning is needed.
    3.13.2 For air conditioners not having a compressor crankcase 
heater, conduct the following off-mode power test.
    3.13.2.1 Conduct the test immediately following the final cooling 
mode test. No requirements are placed on the ambient conditions within 
the indoor and outdoor test rooms. The room conditions are allowed to 
change for the duration of this particular test. Configure the controls 
of the air conditioner to mimic the operating mode if connected to a 
building thermostat that is set to the OFF mode.
    3.13.2.2 Integrate the power consumption of the air conditioner 
over a 5-minute interval. Calculate the average power consumption rate 
for the interval. Round this value to the nearest even wattage value 
and record it as both P1 and P2. Assign RCC=0.
    3.13.3 For heat pumps not having a compressor crankcase heater, 
conduct the following off-mode power test.
    3.13.3.1 Conduct the test immediately following the final cooling 
mode test. No requirements are placed on the ambient conditions within 
the indoor and outdoor test rooms. The room conditions are allowed to 
change for the duration of this particular test. Configure the controls 
of the heat pump to mimic the operating mode if connected to a building 
thermostat that is set to the COOL mode but whose temperature setpoint 
is satisfied.
    3.13.3.2 Integrate the power consumption of the heat pump over a 5-
minute interval. Calculate the average power consumption rate for the 
interval. Record this value as P1C.
    3.13.3.3 Re-configure the controls of the heat pump to mimic the 
operating mode if connected to a building thermostat that is set to the 
HEAT mode but whose temperature setpoint is satisfied.
    3.13.3.4 Integrate the power consumption of the heat pump over a 5-
minute interval. Calculate the average power consumption rate for the 
interval. Record this value as P1H.
    3.13.3.5 Calculate P1 = (P1C + P1H)/2 and round to the nearest even 
wattage. Assign RCC=0 and P2=0.
    3.13.4 For air conditioners having a compressor crankcase heater, 
conduct the following off-mode power test.
    3.13.4.1 Conduct the test immediately following the final cooling 
mode test.
    3.13.4.2 If the compressor crankcase heater is not thermostatically 
controlled, then (1) configure the controls of the air conditioner to 
mimic the operating mode if connected to a building thermostat set to 
the OFF mode; (2) assign T00 = T100 = 75 [deg]F; and (3) skip to 
section 3.13.4.5.9.
    3.13.4.3 If the compressor crankcase heater is thermostatically 
controlled and the manufacturer-provided T100 is greater than or equal 
to 75 [deg]F, then (1) T00 and T100 are deemed verified; (2) configure 
the controls of the air conditioner to mimic the operating mode if 
connected to a building thermostat that is set to the OFF mode; and (3) 
skip to section 3.13.4.5.9.
    3.13.4.4.1 Configure the controls of the air conditioner to mimic 
the operating mode if connected to a building thermostat that is set to 
the OFF mode. Maintain the dry bulb temperature in the indoor test room 
between 75 [deg]F and 85 [deg]F.
    3.13.4.4.2 Monitor the power consumption of the air conditioner and 
denote two operating states: (1) Power draw is at a lower level 
corresponding to no current flowing to the compressor crankcase heater 
(power-low) and (2) power draw is at the higher level corresponding to 
the compressor crankcase heater operating (power-high).
    3.13.4.4.3 As needed, temporarily depart from the end of test 
cooling rate (EOTCR) until the outdoor temperature is at least 3 [deg]F 
higher than T100 for at least 15 minutes or, if the crankcase heater is 
observed to cycle on (power-high) at this temperature, keep increasing 
the outdoor temperature until the compressor crankcase heater remains 
off (power-low) for at least 15 minutes. The compressor must have 
cycled off prior to beginning either 15 minute count.
    3.13.4.4.4 Re-establish cooling the outdoor test room with the 
reconditioning system set to provide EOTCR. As the outdoor temperature 
decreases, monitor the test unit's electrical power and record the 
outdoor temperature when the first power-high reading is measured. If 
this measured temperature is equal to or less than T00 + 2.5 [deg]F, 
then the manufacturer-provided T00 is verified. If the measured 
temperature is greater than T00 + 2.5 [deg]F, round the measured 
outdoor temperature to the nearest 2.5 [deg]F increment relative to a 
65 [deg]F reference (e.g., 67.5 [deg]F, 70.0 [deg]F, 72.5 [deg]F, * * * 
or 65.0 [deg]F, 62.5 [deg]F, 60.0 [deg]F, * * *) and designate this 
rounded value as the new T00.
    3.13.4.4.5 If the manufacturer-provided T100 is greater than or 
equal to T00-10 [deg]F then T100 is deemed verified. If T100 > T00, 
then set T100 = T00. Skip to section 3.13.4.5.
    3.13.4.4.6 As needed, depart from the EOTCR to obtain and then 
maintain within 1.0 [deg]F an outdoor dry bulb temperature 
that is between 10 [deg]F and 15 [deg]F less than T00. During the time 
that the outdoor temperature is maintained within the 1.0 
[deg]F tolerance, monitor the elapsed time of each power-high interval 
([Delta][tau]PH) and the elapsed time of the power-low interval 
([Delta][tau]PL) that immediately follows. Also monitor the outdoor 
temperature. Start data collection at the beginning of a power-high 
interval--elapsed time = 0. If one or more power-high + power-low 
cycles is completed when the elapsed time equals 20 minutes, 
discontinue the data collection and proceed to section 3.13.4.4.7. If a 
power-high interval is completed before the elapsed time equals 30 
minutes, monitor until the subsequent power-low interval is finished 
before discontinuing the data collection and proceeding to section 
3.13.4.4.7. If a power-low condition has not started at an elapsed time 
of 30 minutes or within 45 minutes of first obtaining outdoor 
conditions that meet the 1.0 [deg]F tolerance, then assign 
T100 = T00-10 [deg]F and skip to section 3.13.4.5.
    3.13.4.4.7 Designate the total number of completed power-high + 
power-low intervals from section 3.13.4.4.6 as NCC. Calculate the 
average outdoor temperature recorded over the corresponding interval of 
complete cycles and designate it as TCC. Calculate the average percent 
on-time of the crankcase heater, FCC, using
[GRAPHIC] [TIFF OMITTED] TP02JN10.260

    Using the T00 from section 3.13.4.4.4, FCC, and TCC, estimate the 
outdoor temperature at which the crankcase

[[Page 31262]]

heater would first begin to operate continuously:
[GRAPHIC] [TIFF OMITTED] TP02JN10.261

    If T100(Lab) <= T100 + 2.5 [deg]F, then the manufacturer-provided 
T100 is verified. If T100(Lab) > T100 + 2.5 [deg]F, round T100(Lab) to 
the nearest 2.5 [deg]F increment relative to a 65 [deg]F reference 
(e.g., 67.5 [deg]F, 70.0 [deg]F, 72.5 [deg]F, * * * or 65.0 [deg]F, 
62.5 [deg]F, 60.0 [deg]F, * * *) and designate this rounded value as 
the new T100.
    3.13.4.4.8 Approximate the percent time on of the crankcase heater 
at any outdoor temperatures between T00 and T100 using
[GRAPHIC] [TIFF OMITTED] TP02JN10.262

    For outdoor temperatures Tj that are greater than or 
equal to T00, assign FCC(Tj)=0. For outdoor temperatures that are less 
than or equal to T100, assign FCC(Tj)=100 percent.
    3.13.4.5 At this point in the off-mode power test, no requirements 
are placed on the ambient conditions within the indoor and outdoor test 
rooms. The room conditions are allowed to change for the duration of 
this particular test. Temporarily turn off the power to the outdoor 
unit and safely disable the compressor crankcase heater to prevent it 
from consuming any electrical power. Re-energize the outdoor unit.
    3.13.4.6 Integrate the power consumption of the air conditioner 
over a 5-minute interval. Calculate the average power consumption rate 
for the interval. Record the value as P0.
    3.13.5 For heat pumps having a compressor crankcase heater, conduct 
the following off-mode power test.
    3.13.5.1 The test shall be conducted immediately following the 
final cooling mode test. Configure the controls of the heat pump to 
mimic the operating mode if connected to a building thermostat set to 
the COOL mode but whose temperature setpoint is satisfied.
    3.13.5.2 If the compressor crankcase heater is not thermostatically 
controlled, assign FCC(65 [deg]F) = 100 percent, and skip to section 
3.13.5.5.
    3.13.5.3 If the compressor crankcase heater is thermostatically 
controlled and the manufacturer-provided T100 is greater than or equal 
to 65 [deg]F, then assign FCC(65 [deg]F) = 100 percent and skip to 
section 3.13.5.5.
    3.13.5.4 If the compressor crankcase heater is thermostatically 
controlled and the manufacturer-provided T100 is less than 65 [deg]F, 
obtain and then maintain the outdoor dry bulb temperature between 64 
[deg]F and 66 [deg]F. Maintain the dry bulb temperature in the indoor 
test room between 75 [deg]F and 85 [deg]F.
    3.13.5.4.1 Monitor the power consumption of the heat pump and 
denote the two operating states: (1) Power draw is at a lower level 
corresponding to no current flowing to the compressor crankcase heater 
(power-low); and (2) power draw is at the higher level corresponding to 
the compressor crankcase heater operating (power-high).
    3.13.5.4.2 After the compressor has been off for a minimum of 15 
minutes and while the outdoor temperature is between 64 [deg]F and 66 
[deg]F, monitor the elapsed time of each power-high interval 
([Delta][tau]PH) and the elapsed time of the power low interval 
([Delta][tau]PH) that immediately follows. Continue monitoring the 
outdoor temperature.
    Start the data collection at the beginning of a power-high 
interval--elapsed time = 0. If one or more power-high + power-low 
cycles is completed when the elapsed time equals 20 minutes, 
discontinue the data collection and proceed to section 3.13.5.4.3. If a 
power-high interval is completed before the elapsed time equals 30 
minutes, monitor until the subsequent power-low interval is finished 
before discontinuing the data collection and proceeding to section 
3.13.5.4.3. If a power-low condition has not started at an elapsed time 
of 30 minutes or within 45 minutes of first obtaining an outdoor 
temperature between 64 [deg]F and 66 [deg]F, then assign FCC(65 [deg]F) 
= 100 percent and skip to section 3.13.5.5.
    3.13.5.4.3 Designate the total number of completed power-high + 
power-low intervals as NCC. Calculate the average outdoor temperature 
over the corresponding interval of complete cycles and designate it as 
TCC. Calculate the average percent on-time of the crankcase 
heater, FCC, using
[GRAPHIC] [TIFF OMITTED] TP02JN10.263

    3.13.5.4.4 Using the manufacturer-provided T00 and T100, along with 
lab-measured TCC, calculate the expected value of 
FCC. If TCC >= T00, then FCC = 0; if 
TCC <= T100, then FCC = 100 percent; and if T100 
< TCC < T00, then use:
[GRAPHIC] [TIFF OMITTED] TP02JN10.264


[[Page 31263]]


    3.13.5.4.5 If FCC(Lab) <= FCC + 5 percent, then solve the section 
3.13.5.4.4 equation for TCC = 65 [deg]F and assign the 
result as being FCC(65 [deg]F). If FCC(Lab) > 
FCC + 5 percent, round FCC(Lab) to the nearest 5 
percent increment (e.g., 5, 10, 15, * * * 95 percent) and designate 
this rounded value as FCC(65 [deg]F).
    3.13.5.5 At this point in the off-mode power test, no requirements 
are placed on the ambient conditions within the indoor and outdoor test 
rooms. The room conditions are allowed to change for the duration of 
this particular test. Temporarily turn off the power to the outdoor 
unit and safely disable the compressor crankcase heater to prevent it 
from consuming any electrical power. Re-energize the outdoor unit.
    3.13.5.5.1 Integrate the power consumption of the heat pump over a 
5-minute interval. Calculate the average power consumption rate for the 
interval. Record this value as P0C.
    3.13.5.5.2 Configure the controls of the heat pump to mimic the 
operating mode if connected to a building thermostat set to the HEAT 
mode but whose temperature setpoint is satisfied.
    3.13.5.5.3 Integrate the power consumption of the heat pump over a 
5-minute interval. Calculate the average power consumption rate for the 
interval. Record this value as P0H. Assign P0 = (P0C + P0H)/2.
    3.13.5.6 Calculate P1 = P0 + (FCC(65 [deg]F)/100%) x 
[(230 V)\2\/RCC] and round to the nearest even wattage. 
Assign P2 = 0.
    3.13.5.7 Re-enable the compressor crankcase heater so that it may 
operate in its normal manner.
4. Calculations of Seasonal Performance Descriptors
* * * * *
    4.1 * * *
    When referenced, evaluate BL(Tj) for cooling using * * *
* * * Where:
Qck(95) = the space cooling capacity determined from the A or A2 
Test, whichever applies, Btu/h.
1.1 = sizing factor, dimensionless.

    The temperatures 95 [deg] and 65 [deg] in the building load 
equation represent the selected outdoor design temperature and the 
zero-load base temperature, respectively.
* * * * *
    4.1.1 SEER calculations for an air conditioner or heat pump having 
a single-speed compressor that was tested with a fixed-speed indoor fan 
installed, a constant-air-volume-rate indoor fan installed, or with no 
indoor fan installed. a. Calculate the seasonal energy efficiency 
ratio, SEER, using Eq. 4.1-1. Evaluate the quantity qc(Tj)/N in Eq. 
4.1-1 using
[GRAPHIC] [TIFF OMITTED] TP02JN10.265

Where:

X(Tj) = the cooling mode load factor for temperature bin j, 
dimensionless,
Qc(Tj) = space cooling capacity of the test unit when operating at 
outdoor temperature Tj, Btu/h, and

[GRAPHIC] [TIFF OMITTED] TP02JN10.266


fractional bin hours for the cooling season; the ratio of the number of 
hours during the cooling season when the outdoor temperature fell 
within the range represented by bin temperature Tj to the total number 
of hours in the cooling season, dimensionless.
Assign
[GRAPHIC] [TIFF OMITTED] TP02JN10.267


using the fractional bin hours listed in Table 16. Calculate the space 
cooling capacity at outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TP02JN10.268

    Determine Qc(82) from the B Test, Qc(95), from the A Test, and 
evaluate both in accordance with section 3.3. Calculate the cooling 
mode load factor using
[GRAPHIC] [TIFF OMITTED] TP02JN10.269

    Use Eq. 4.1-2 to calculate the building load, BL(Tj).
    b. Evaluate the quantity ec(Tj)/N in Eq. 4.1-1 using
    [GRAPHIC] [TIFF OMITTED] TP02JN10.270
    
Where:

Ec(Tj) = the electrical power consumption of the test unit when 
operating at outdoor temperature Tj, Btu/h, and
PLFf = the part load factor for temperature bin j, dimensionless.

    The quantities X(Tj) and
    [GRAPHIC] [TIFF OMITTED] TP02JN10.271
    

are the same quantities as used for calculating
[GRAPHIC] [TIFF OMITTED] TP02JN10.272


Calculate the electrical power consumption at outdoor temperature Tj 
using
[GRAPHIC] [TIFF OMITTED] TP02JN10.273


[[Page 31264]]


    Determine Ec (82) from the B Test, Ec (95) from the A Test, and 
evaluate both in accordance with section 3.3. Calculate the part load 
factor using
[GRAPHIC] [TIFF OMITTED] TP02JN10.274

    c. If the optional tests described in section 3.2.1 are not 
conducted, set the cooling mode cyclic degradation coefficient, CDc, to 
the default value specified in section 3.5.3.
* * * * *
    4.1.4.2 * * *
    T1 = the outdoor temperature at which the unit, when operating 
at minimum compressor speed, provides a space cooling capacity that 
is equal to the building load 
(Qck=1(T1))=BL(T1)), [deg]F. 
Determine T1 by equating Eqs. 4.1.3-1 and 4.1-2 and solving for 
outdoor temperature. Alternatively, T1 may be determined as 
specified in section 10.2.4 of ASHRAE Standard 116-95 (RA 05) 
(incorporated by reference, see Sec.  430.3).
    T2 = the outdoor temperature at which the unit, when operating 
at the intermediate compressor speed used during the section 3.2.4 
EV Test, provides a space cooling capacity that is equal to the 
building load (Qck=2 (T2) = BL (T2)), [deg]F. Determine 
T2 by equating Eqs. 4.1.4-1 and 4.1-2 and solving for outdoor 
temperature. Alternatively, T2 may be determined as specified in 
section 10.2.4 of ASHRAE Standard 116-95 (RA 05) (incorporated by 
reference, see Sec.  430.3).

* * * * *
    4.1.5 SEER calculations for an air conditioner or heat pump having 
a single indoor unit with multiple blowers. Calculate SEER using Eq. 
4.1-1, where qc (Tj)/N and ec (Tj)/N are evaluated as specified in 
applicable below subsection.
    4.1.5.1 For multiple blower systems that are connected to a lone, 
single-speed outdoor unit.
    a. Calculate the space cooling capacity, Qck=1 (Tj), and 
electrical power consumption, Eck=1 (Tj), of the test unit 
when operating at the cooling minimum air volume rate and outdoor 
temperature Tj using the equations given in section 4.1.2.1. Calculate 
the space cooling capacity, Qck=2 (Tj), and electrical power 
consumption, Eck=2 (Tj), of the test unit when operating at 
the cooling full-load air volume rate and outdoor temperature Tj using 
the equations given in section 4.1.2.1. In evaluating the section 
4.1.2.1 equations, determine the quantities Qck=1 (82) and 
Eck=1 (82) from the B1 Test, Qck=1 
(95) and Eck=1 (95) from the Al Test, 
Qck=2 (82) and Eck=2 (82) from the B2 
Test, and Qck=2 (95) and from the A2 Test. Evaluate all 
eight quantities as specified in section 3.3. Refer to section 3.2.2.1 
and Table 4 for additional information on the four referenced 
laboratory tests.
    b. Determine the cooling mode cyclic degradation coefficient, CcD, 
as per sections 3.2.2.1 and 3.5 to 3.5.3. Assign this same value to 
CcD(K=2).
    c. Except for using the above values of Qck=1 (Tj), 
Eck=1 (Tj), Qck=2 (Tj), Eck=2 (Tj), 
CcD, and CcD (k = 2), calculate the quantities qc (Tj)/N and ec (Tj)/N 
as specified in section 4.1.3.1 for cases where Qck=1 (Tj) 
[gteqt] BL (Tj). For all other outdoor bin temperatures, Tj, calculate 
qc (Tj)/N and ec (Tj)/N as specified in section 4.1.3.3 if 
Qck=2 (Tj) > BL (Tj) or as specified in section 4.1.3.4 if 
Qck=2 (Tj) <= BL (Tj).
    4.1.5.2 For multiple blower systems that are connected to either a 
lone outdoor unit having a two-capacity compressor or to two separate 
but identical model single-speed outdoor units.
    Calculate the quantities qc (Tj)/N and ec (Tj)/N as specified in 
section 4.1.3.
* * * * *
    4.1.6 Region-specific SEER calculations for a hot-dry climatic 
region, SEER-HD. Calculate SEER-HD, expressed in units of Btu/Wxh, 
using:
[GRAPHIC] [TIFF OMITTED] TP02JN10.275

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.276

for the hot-dry climatic region, the ratio of the total space 
cooling delivered during periods of the space cooling season when 
the outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the cooling season 
(N), Btu/h.
[GRAPHIC] [TIFF OMITTED] TP02JN10.277

for the hot-dry climatic region, the ratio of the total electrical 
energy consumed by the test unit during periods of the space cooling 
season when the outdoor temperature fell within the range 
represented by bin temperature Tj to the total number of hours in 
the cooling season (N), W.
Tj = the outdoor bin temperature, [deg]F. Outdoor temperatures are 
grouped or ``binned.'' Use bins of 5 [deg]F with the 10 dry climate 
bin temperatures being 67, 72, 77, 82, 87, 92, 97, 102, 107, and 112 
[deg]F.
j = the bin number. For dry climate seasonal calculations, j ranges 
from 1 to 10.

    When referenced, evaluate the dry climate building load BLHD(Tj) 
using
[GRAPHIC] [TIFF OMITTED] TP02JN10.278

Where:

Q*HD (95) = the space cooling capacity determined from the AD or AD2 
Test, whichever applies, Btu/h, and
1.1 = sizing factor, dimensionless.

    The temperatures 95 [deg]F and 65 [deg]F in the building load 
equation represent the outdoor design temperature and the zero-load 
temperature, respectively, for the hot-dry climatic region.
    4.1.6.1 SEER-HD calculations for an air conditioner or heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor fan installed, a constant-air-volume-rate fan installed, or with 
no indoor fan installed. Calculate SEER-HD using Eq. 4.1.6-1. Evaluate 
the quantities qHD(Tj)/N and eHD(Tj)/N in Eq. 4.1.6-1 as specified in 
section 4.1.1 for qc(Tj)/N and ec(Tj)/N, respectively, only now 
replacing the

[[Page 31265]]

quantities Qc(Tj) and Ec(Tj) with QHD(Tj) and EHD(Tj). Also, use the 
fractional bin hours, nj)/N, given in Table 16a rather than the values 
listed in Table 16.
    Calculate QHD(Tj) using the section 4.1.1 equation for Qc(Tj), 
replacing Qc(95) and Qc(82) with QHD(95) and QHD(82), respectively. 
Calculate EHD(Tj) using the section 4.1.1 equation for Ec(Tj), 
replacing Ec(95) and Ec(82) with EHD(95) and EHD(82), respectively. 
Determine QHD(95) and EHD(95) from the AD Test described in section 
3.2.1 and conducted in accordance with section 3.3. Determine QHD(82) 
and EHD(82) using the section 3.2.1 default equations or from the BD 
Test described in section 3.2.1 and conducted in accordance with 
section 3.3.
    Replace section 4.1.1 references to BL(Tj) with BLHD(Tj), as 
evaluated using Eq. 4.1.6-2. In evaluating Eq. 4.1.6-2, set QHD\*\(90) 
equal to the value obtained from solving the equation for QHD(Tj) at Tj 
= 90 [deg]F.
    If it helps the user, the remaining section 4.1.1 calculation 
parameters of X(Tj) and PLFj may also be designated as their dry 
climate versions by adding a subscript ``HD'' when calculating SEER-HD. 
Finally, use the section 4.1.1 value of CDc that was used to calculate 
SEER to also calculate SEER-HD.
    4.1.6.2 SEER-HD calculations for an air conditioner or heat pump 
having a single-speed compressor and a variable-speed variable-air-
volume rate indoor fan.
    4.1.6.2.1 Units covered by section 3.2.2.1 where the indoor fan 
capacity modulation correlates with the outdoor dry bulb temperature. 
The manufacturer must provide information on how the indoor air volume 
rate or the indoor fan speed varies over the outdoor temperature range 
of 67 [deg]F to 112 [deg]F. Calculate SEER-HD using Eq. 4.1.6-1. 
Evaluate the quantities qHD(Tj)/N and eHD(Tj)/N in Eq. 4.1.6-1 as 
specified in section 4.1.2.1 for qc(Tj)/N and ec(Tj)/N, respectively, 
only now replacing the quantities Qc(Tj) and Ec(Tj) with QHD(Tj) and 
EHD(Tj). Also, use the fractional bin hours, nj/N, given in Table 16a 
rather than the values listed in Table 16.
    Calculate QHD(Tj) using Eq. 4.1.2-2, where QHD(Tj), 
QHDk=2(Tj), and QHDk=1(Tj) replace Qc(Tj), 
Qck=2(Tj), and Qck=1(Tj), respectively. Use the 
section 4.1.2.1 equations for Qck=1(Tj) and 
Qck=2(Tj) to calculate QHDk=1(Tj) and 
QHDk=2(Tj), respectively. In evaluating these equations, use 
QHDk=1(82), QHDk=1(95), QHDk=2(82), 
and QHDk=2(95). Determine QHDk=2(95), and 
QHDk=1(95) from the AD2 and AD1 Tests described in section 
3.2.2.1 and conducted in accordance with section 3.3. Determine 
QHDk=2(82) and QHDk=1(82) using the section 
3.2.2.1 default equations or from the BD2 and BD1 Tests described in 
section 3.2.2.1 and conducted in accordance with section 3.3.
    Calculate EHD(Tj) using Eq. 4.1.2-4, where EHD(Tj), 
EHDk=2(Tj), and EHDk=1(Tj) replace Ec(Tj), 
Eck=2(Tj), and Eck=1(Tj), respectively. Use the 
section 4.1.2.1 equations for Eck=1(Tj) and 
Eck=2(Tj) to calculate EHDk=1(Tj) and 
EHDk=2(Tj), respectively. In evaluating these equations, use 
EHDk=1(82), EHDk=1(95), EHDk=2(82), 
and EHDk=2(95). Determine EHDk=2(95) and 
EHDk=1(95) from the AD2 and AD1 Tests described in section 
3.2.2.1 and conducted in accordance with section 3.3. Determine 
EHDk=2(82) and EHDk=1(82) using the section 
3.2.2.1 default equations or from the BD2 and BD1 Tests described in 
section 3.2.2.1 and conducted in accordance with section 3.3.
    Replace section 4.1.2.1 references to BL(Tj) with BLHD(Tj), as 
evaluated using Eq. 4.1.6-2. In evaluating Eq. 4.1.6-2, set QHD\*\(90) 
equal to the value obtained from solving the equation for 
QHDk=2(Tj) at Tj = 90 [deg]F. The parameters 
FPck=1, FPck=2, and FPc(Tj) denote the fan speeds 
described in section 4.1.2.1, only now as applied to the dry climate 
configuration and, in the case of the first two variables, as used for 
the AD1 and AD2 Tests.
    If it helps the user, the remaining section 4.1.2.1 calculation 
parameters of X(Tj) and PLFj may also be designated as their dry 
climate versions by adding a subscript ``HD'' when calculating SEER-HD. 
Finally, use the section 4.1.2.1 value of cDc used to calculate SEER to 
also calculate SEER-HD.
    4.1.6.2.2 Units covered by section 3.2.2 where indoor fan capacity 
modulation is used to adjust the sensible to total cooling capacity 
ratio. Calculate SEER-HD as specified in section 4.1.6.1.
    4.1.6.3 SEER-HD calculations for an air conditioner or heat pump 
having a two-capacity compressor.
    Calculate SEER-HD using Eq. 4.1.6-1. Evaluate the quantities 
qHD(Tj)/N and eHD(Tj)/N in Eq. 4.1.6-1 as specified for qc(Tj)/N and 
ec(Tj)/N, respectively, in sections 4.1.3.1, 4.1.3.2, 4.1.3.3, and 
4.1.3.4, as appropriate, only now replacing the quantities Qck(Tj) and 
Eck(Tj) with QHDk(Tj) and EHDk(Tj). Also, use the fractional bin hours, 
nj/N, given in Table 16a rather than the values listed in Table 16.
    Calculate QHDk=1(Tj) using Eq. 4.1.3-1, where 
QHDk=1(Tj), QHDk=1(82), and 
QHDk=1(67), replace Qck=1(Tj), 
Qck=1(82), and Qck=1(67), respectively. Calculate 
QHDk=2(Tj) using Eq. 4.1.3-3 where QHDk=2(Tj), 
QHDk=2(95), and QHDk=2(82) replace 
Qck=2(Tj), Qck=2(95), and Qck=2(82), 
respectively. Determine QHDk=2(95) and QHDk=1(82) 
from the AD2 and BD1 Tests described in section 3.2.3 and conducted in 
accordance with section 3.3. Determine QHDk=2(82) and 
QHDk=1(67) using the section 3.2.3 default equations or from 
the BD2 and FD1 Tests described in section 3.2.3 and conducted in 
accordance with section 3.3.
    Calculate EHDk=1(Tj) using Eq. 4.1.3-2, where 
EHDk=1(Tj), EHDk=1(82), and 
EHDk=1(67), replace Eck=1(Tj), 
Eck=1(82), and Eck=1(67), respectively. Calculate 
EHDk=2(Tj) using Eq. 4.1.3-4, where EHDk=2(Tj), 
EHDk=2(95), and EHDk=2(82), replace 
Eck=2(Tj),Eck=2(95), and Eck=2(82), 
respectively. Determine EHDk=2(95) and EHDk=1(82) 
from the AD2 and BD1 Tests described in section 3.2.3 and conducted in 
accordance with section 3.3. Determine EHDk=2(82) and 
EHDk=1(67) using the section 3.2.3 default equations or from 
the BD2 and FD1 Tests described in section 3.2.3 and conducted in 
accordance with section 3.3.
    Replace section 4.1.3 to 4.1.3.4 references to BL(Tj) with 
BLHD(Tj), as evaluated using Eq. 4.1.6-2. In evaluating Eq. 4.1.6-2, 
set Q\*\HD(90) equal to the value obtained from solving the equation 
for QHDk=2(Tj) at Tj = 90 [deg]F.
    If it helps the user, the remaining section 4.1.3 to 4.1.3.4 
calculation parameters of Xk=1(Tj), Xk=2(Tj), and 
PLFj may also be designated as their dry climate versions by adding a 
subscript ``HD'' when calculating SEER-HD. Finally, use the section 
4.1.3.1 value of CDc and the section 4.1.3.3 value of CDc(k = 2) that 
were used to calculate SEER to also calculate SEER-HD.
    4.1.6.4 SEER-HD calculations for an air conditioner or heat pump 
having a variable-speed compressor.
    Calculate SEER-HD using Eq. 4.1.6-1. Evaluate the quantities qHD 
(Tj) / N and eHD (Tj) / N in Eq. 4.1.6-1 as specified for qc (Tj) / N, 
and ec (Tj) / N, respectively, in sections 4.1.4.1, 4.1.4.2, and 
4.1.4.3, as appropriate only now replacing the quantities Qkc (Tj) and 
Ekc (Tj) with QkHD (Tj) and EkHD (Tj). Also, use the fractional bin 
hours, nj/N, given in Table 16a rather than the values 
listed in Table 16.
    Calculate QHDk\=1\ (Tj) using Eq. 4.1.3-1, where QHDk\=1\ (Tj), 
QHDk\=1\ (82), and QHDk\=1\ (67), replace Qck\=1\ (Tj), Qck\=1\ (82), 
and Qck\=1\ (67), respectively. Calculate QHDk\=2\ (Tj) using Eq. 
4.1.3-3 where QHDk\=2\ (Tj), QHDk\=2\ (82) replace Qck\=2\ (Tj), 
Qck\=2\ (95), and Qck\=2\ (82), respectively. Determine QHDk\=2\ (95) 
and QHDk\=1\ (82) from the AD2 and BD1 Tests described in 
section 3.2.4 and conducted in accordance with section 3.3. Determine 
QHDk\=2\ (82) and QHDk\=1\ (67) using the section 3.2.3 default

[[Page 31266]]

equations or from the BD2 and FD1 Tests described in section 
3.2.4 and conducted in accordance with section 3.3.
    Calculate EHDk\=1\ (Tj) using Eq. 4.1.3-2, where EHDk\=1\ (Tj), 
EHDk\=1\ (82), and EHDk\=1\ (67), replace Eck\=1\ (Tj), Eck\=1\ (82), 
and Eck\=1\ (67), respectively. Calculate EHDk\=2\ (Tj), using Eq. 
4.1.3-4, where EHDk\=2\ (Tj), EHDk\=2\ (95), and EHDk\=2\ (82) replace 
Eck\=2\ (Tj), Eck\=2\ (95), and Eck\=2\ (82), respectively. Determine 
EHDk\=2\ (95) and EHDk\=2\ (82) from the AD2 and BD1 Tests 
described in section 3.2.4 and conducted in accordance with section 
3.3. Determine EHDk\=2\ (82) and EHDk\=1\ (67) using the section 3.2.3 
default equations or from the BD2 and FD3 Tests 
described in section 3.2.4 and conducted in accordance with section 
3.3.
    Approximate the performance of the air conditioner and heat pump 
had it been tested for its steady-state, dry climate, intermediate 
speed (k = v) performance at an outdoor dry bulb temperature of 87 
[deg]F using the following equations.
[GRAPHIC] [TIFF OMITTED] TP02JN10.279

Where:
QHDk\=1\ (87) and QHDk\=2\ (87) = obtained by solving the equations 
for QHDk\=1\ (Tj) and QHDk\=2\ (Tj) for Tj = 87 [deg]F, 
and EHDk\=1\ (87), and
EHDk\=2\ (87) = obtained by solving the equations for EHDk\=1\ (Tj) 
and EHDk\=2\ (Tj) for Tj = 87 [deg]F.

    Calculate QHDk=v (Tj) using Eq. 4.1.4-1, where QHDk=v (Tj) and 
QHDk=v (87) replace Qck=v (Tj) and Qck=v (87), respectively. Calculate 
EHDk=v (Tj) using Eq. 4.1.4-2, where EHDk=v (Tj) and EHDk=v (87) 
replace Eck=v (Tj) and Eck=v (87), respectively.
    Replace section 4.1.4 to 4.1.4.3 references to BL(Tj) with BLHD 
(Tj), as evaluated using Eq. 4.1.6-2. In evaluating Eq. 4.1.6-2, set 
QHD (90) equal to the value obtained from solving the equation for 
QHDk\=2\ (Tj) at Tj = 90 [deg]F.
    If it helps the user, the remaining section 4.1.4 to 4.1.4.3 
calculation parameters of MQ, ME, NQ, 
NE, ERRk\=1\ (Tj), A, B, C, D, T1, Tv, 
T2, EERk\=1\ (T1), EERk\=v\ (Tv), 
EERk\=2\(T2), Xk=1(Tj), and PLFj may also be 
designated as their dry climate versions by adding a subscript ``HD'' 
when calculating SEER-HD. Finally, use the section 4.1.4.1 value of CcD 
used to calculate SEER to also calculate SEER-HD.

               Table 16a--Distribution of Fractional Bin Hours Within the Hot-Dry Climatic Region
----------------------------------------------------------------------------------------------------------------
                                                                            Representative     Fraction of total
                      Bin No. j                         Bin temperature     temperature for     temperature bin
                                                         range [deg]F        bin j [deg]F         hours nj/N
----------------------------------------------------------------------------------------------------------------
1...................................................               65-69                  67               0.477
2...................................................               70-74                  72               0.208
3...................................................               75-79                  77               0.119
4...................................................               80-84                  82               0.086
5...................................................               85-89                  87               0.047
6...................................................               90-94                  92               0.027
7...................................................               95-99                  97               0.021
8...................................................             100-104                 102               0.011
9...................................................             105-109                 107               0.004
10..................................................             110-114                 112               0.000
----------------------------------------------------------------------------------------------------------------

* * * * *
    4.2 * * *
    4. For triple-capacity, northern heat pumps (Definition 1.47), Qhk 
(47) = Qhk=2 (47), the space heating capacity determined 
from the H12 Test.
    For HSPF calculations for all heat pumps, see either section 4.2.1, 
4.2.2, 4.2.3, 4.2.4, or 4.2.6, whichever applies.
* * * * *
    4.2.4.2 * * *
    T4 = the outdoor temperature at which the heat pump, when operating 
at maximum compressor speed, provides a space heating capacity equal to 
the building load (Qh\k=2\(T4) = BL(T4)), [deg]F. 
Determine T4 by equating Eqs. 4.2.2-3 (k=2) and 4.2-2 and solving for 
outdoor temperature. Alternatively T4 may be determined as specified in 
section 10.2.4 of ASHRAE Standard 116-95 (RA 05) (incorporated by 
reference, see Sec.  430.3).
* * * * *
    4.2.6 Additional steps for calculating the HSPF of a heat pump 
having a triple-capacity compressor. The only triple-capacity heat 
pumps covered at this time are triple-capacity, northern heat pumps as 
defined in section 1.45. For such heat pumps, the calculation of the 
Eq. 4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TP02JN10.280


differ depending on whether the heat pump would cycle on and off at low 
capacity (section 4.2.6.1), cycle on and off at high capacity (section 
4.2.6.2), cycle on and off at booster capacity (4.2.6.3), cycle between 
low and high capacity (section 4.2.6.4), cycle between high and booster 
capacity (section 4.2.6.5), operate continuously at low capacity 
(4.2.6.6), operate continuously at high capacity (section 4.2.6.7), 
operate continuously at booster capacity (4.2.6.8), or heat solely 
using resistive heating (also section 4.2.6.8) in responding to the 
building load. As applicable, the manufacturer must supply information 
regarding the outdoor temperature range at which each stage of 
compressor capacity is active. Information of the type shown in

[[Page 31267]]

the example table below is required in such cases.

------------------------------------------------------------------------
                                           Outdoor temperature range of
          Compressor capacity                       operation
------------------------------------------------------------------------
Low (k=1)..............................  40 [deg]F <= T <= 65 [deg]F
High (k=2).............................  20 [deg]F <= T <= 50 [deg]F
Booster (k=3)..........................  -20 [deg]F <= T <= 30 [deg]F
------------------------------------------------------------------------

    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor capacity 
and outdoor temperature Tj using the equations given in section 4.2.3 
for Qhk=1 (Tj) and Ehk=1 (Tj) In evaluating the 
section 4.2.3 equations, determine the inputs Qhk=1 (62) and 
Ehk=1 (62) from the HO1 Test and determine Qhk=1 
(47) and Ehk=1 (47) from the H11 Test. Calculate all four 
quantities as specified in section 3.7. If, in accordance with section 
3.6.6, the H31 Test is conducted, calculate Qhk=1 (17) and 
Ehk=1 (17) as specified in section 3.10 and determine 
Qhk=1 (35) and Ehk=1 (35) as specified in section 
3.6.6.
    b. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at high compressor capacity 
and outdoor temperature Tj [Qhk=2 (Tj) and Ehk=2 
(Tj)] by solving Eqs. 4.2.2-3 and 4.2.2-4, respectively, for k = 2. 
Determine the equation inputs Qhk=2 (47) and 
Ehk=2 (47) from the H12 Test, evaluated as specified in 
section 3.7. Determine the equation inputs Qhk=2 (35) and 
Ehk=2 (35) from the H22 Test, evaluated as specified in 
section 3.9.1. Also, determine the equation inputs Qhk=2 
(17) and Ehk=2 (17) from the H32 Test, evaluated as 
specified in section 3.10.
    c. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at booster compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TP02JN10.281

[GRAPHIC] [TIFF OMITTED] TP02JN10.282

    Determine the inputs Qhk=3 (17) and Ehk=3 
(17) from the H33 Test and determine Qhk=3 (2) and 
Ehk=3 (2) from the H43 Test. Calculate all four quantities 
as specified in section 3.10. Determine the inputs Qhk=3 
(35) and Ehk=3 (35) as specified in section 3.6.6.
    4.2.6.1 Steady-state space heating capacity when operating at low 
compressor capacity is greater than or equal to the building heating 
load at temperature Tj, Qhk=1 (Tj) >= BL(Tj), and the heat 
pump permits low compressor capacity operation at Tj. Evaluate the 
quantities
[GRAPHIC] [TIFF OMITTED] TP02JN10.283


using Eqs. 4.2.3-1 and 4.2.3-2, respectively. Determine the equation 
inputs Xk=1 (Tj), PLFj, and [delta][min](Tj) as specified in 
section 4.2.3.1. In calculating the part load factor, PLFj, use the 
low-capacity cyclic-degradation coefficient CDh [or equivalently, CDh(k 
= 1)] determined in accordance with section 3.6.6.
    4.2.6.2 Heat pump only operates at high (k = 2) compressor capacity 
at temperature Tj and its capacity is greater than or equal to the 
building heating load, Qhk=1 (Tj) >= BL(Tj). Evaluate the 
quantities
[GRAPHIC] [TIFF OMITTED] TP02JN10.284


as specified in section 4.2.3.3. Determine the equation inputs 
Xk=2 (Tj), PLFj, and [delta][min](Tj) as specified in 
section 4.2.3.3. In calculating the part load factor, PLFj, use the 
high-capacity cyclic-degradation coefficient, CDh(k = 2)] determined in 
accordance with section 3.6.6.
    4.2.6.3 Heat pump only operates at booster (k = 3) capacity at 
temperature Tj and its capacity is greater than or equal to the 
building heating load, Qhk=3 (Tj) >= BL(Tj).
[GRAPHIC] [TIFF OMITTED] TP02JN10.285


[[Page 31268]]


[GRAPHIC] [TIFF OMITTED] TP02JN10.286

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.287

    Determine the low temperature cut-out factor, [delta][min](Tj), 
using Eq. 4.2.3-3. Use the booster-capacity cyclic-degradation 
coefficient, CDh(k = 3), determined in accordance with section 3.6.6.
    4.2.6.4 Heat pump alternates between low (k = 1) and high (k = 2) 
compressor capacity to satisfy the building heating load at temperature 
Tj, Qhk=1 (Tj) < BL(Tj) < Qhk=2 (Tj).
    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TP02JN10.288
    

as specified in section 4.2.3.2. Determine the equation inputs 
Xk=1 (Tj), Xk=2 (Tj), and [delta][min](Tj) as 
specified in section 4.2.3.2.
    4.2.6.5 Heat pump alternates between high (k = 2) and booster (k = 
3) compressor capacity to satisfy the building heating load at 
temperature Tj, Qhk=2 (Tj) < BL(Tj) < Qhk=3(Tj).
[GRAPHIC] [TIFF OMITTED] TP02JN10.289

[GRAPHIC] [TIFF OMITTED] TP02JN10.290

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.291


Xk=3 (Tj) = Xk=2 (Tj) =

the heating mode, booster capacity load factor for temperature bin j, 
dimensionless.
    Determine the low temperature cut-out factor, [delta][min](Tj), 
using Eq. 4.2.3-3.
    4.2.6.6 Heat pump only operates at low (k = 1) capacity at 
temperature Tj and its capacity is less than the building heating load, 
BL(Tj) > Qhk=1 (Tj).
[GRAPHIC] [TIFF OMITTED] TP02JN10.292


where the low temperature cut-out factor, [delta][min](Tj), is 
calculated using Eq. 4.2.3-3.
    4.2.6.7 Heat pump only operates at high (k = 2) capacity at 
temperature Tj and its capacity is less than the building heating load, 
BL(Tj) > Qhk=2(Tj). Evaluate the quantities
[GRAPHIC] [TIFF OMITTED] TP02JN10.293


as specified in section 4.2.3.4. Calculate [delta][sec](Tj) using the 
equation given in section 4.2.3.4.
    4.2.6.8 Heat pump only operates at booster (k = 3) capacity at 
temperature Tj and its capacity is less than the building heating load, 
BL(Tj) > Qhk=3(Tj), or the system converts to using only 
resistive heating.
[GRAPHIC] [TIFF OMITTED] TP02JN10.294


where [delta][sec](Tj) is calculated as specified in section 4.2.3.4 if 
the heat pump is operating at its booster compressor capacity. If the 
heat pump system coverts to using only resistive heating at outdoor 
temperature Tj, set [delta][sec](Tj) equal to zero.
* * * * *
    4.2.7 Additional steps for calculating the HSPF of a heat pump 
having a single indoor unit with multiple blowers. The calculation of 
the

[[Page 31269]]

Eq. 4.2-1 quantities eh(Tj) /N and RH(Tj) /N are evaluated as specified 
in applicable below subsection.
    4.2.7.1 For multiple blower heat pumps that are connected to a 
lone, single-speed outdoor unit.
    a. Calculate the space heating capacity, Qhk=1 (Tj), and 
electrical power consumption, Ehk=1 (Tj), of the heat pump 
when operating at the heating minimum air volume rate and outdoor 
temperature Tj using Eqs. 4.2.2-3 and 4.2.2-4, respectively. Use these 
same equations to calculate the space heating capacity, 
Qhk=2 (Tj) and electrical power consumption, 
Ehk=2 (Tj), of the test unit when operating at the heating 
full-load air volume rate and outdoor temperature Tj. In evaluating 
Eqs. 4.2.2-3 and 4.2.2-4, determine the quantities Qhk=1 
(47) and Ehk=1 (47) from the H11 Test; determine 
Qhk=2 (47) and Ehk=2 (47) from the H12 Test. 
Evaluate all four quantities according to section 3.7. Determine the 
quantities Qhk=1 (35) and Ehk=1 (35) as specified 
in section 3.6.2. Determine Qhk=2 (35) and Ehk=2 
(35) from the H22 Frost Accumulation Test as calculated according to 
section 3.9.1. Determine the quantities Qhk=1 (17) and 
Ehk=1 (17) from the H31 Test, and Qhk=2 (17) and 
Ehk=2 (17) from the H32 Test. Evaluate all four quantities 
according to section 3.10. Refer to section 3.6.2 and Table 10 for 
additional information on the referenced laboratory tests.
    b. Determine the heating mode cyclic degradation coefficient, CDh, 
as per sections 3.6.2 and 3.8 to 3.8.1. Assign this same value to CDh(k 
= 2).
    c. Except for using the above values of Qhk=1 (Tj), 
Ehk=1 (Tj), Qhk=2 (Tj), Ehk=2 (Tj), 
CDh, and CDh(k = 2), calculate the quantities eh(Tj)/N as specified in 
section 4.2.3.1 for cases where Qhk=1 (Tj) >= BL(Tj). For 
all other outdoor bin temperatures, Tj, calculate eh(Tj)/N 
and RHh(Tj)/N as specified in section 4.2.3.3 if Qhk=2 (Tj) 
> BL(Tj) or as specified in section 4.2.3.4 if Qhk=2 (Tj) <= 
BL(Tj).
    4.2.7.2 For multiple blower heat pumps connected to either a lone 
outdoor unit with a two-capacity compressor or to two separate but 
identical model single-speed outdoor units.
    Calculate the quantities eh(Tj)/N and RH(Tj)/N as specified in 
section 4.2.3.
* * * * *
    4.2.8 Off-mode seasonal power and energy consumption calculations. 
Evaluate the off-mode seasonal power consumption for the collective 
shoulders seasons, P1, which applies to air conditioners and heat 
pumps. For air conditioners, determine the off-mode seasonal power 
consumption for the heating season, P2. Once P1 and, for air 
conditioners, P2, are evaluated, use the SSH and the HSH to calculate 
the site specific seasonal energy consumption values.
    4.2.8.1 Off-mode seasonal power consumption for the collective 
shoulder seasons, P1. For air conditioners and heat pumps, the off-mode 
power consumption for the shoulder seasons is a single value that 
applies for all locations. The calculation of P1 varies for different 
types of systems.
    4.2.8.1.1 Air conditioners and heat pumps that do not have a 
compressor crankcase heater. For air conditioners and heat pumps not 
having a compressor crankcase heater, assign P1 as specified in 
sections 3.13.2.2 and 3.13.3.5, respectively.
    4.2.8.1.2 Air conditioners that have a compressor crankcase heater. 
For air conditioners having a compressor crankcase heater, evaluate P1 
using
[GRAPHIC] [TIFF OMITTED] TP02JN10.295

Where:
[GRAPHIC] [TIFF OMITTED] TP02JN10.296

    Obtain RCC, the measured resistance of crankcase heater element, 
and P0, the average off-mode power consumption of all other air 
conditioner components except the crankcase heater, as specified in 
sections 3.13.1 and 3.13.4.6, respectively. Calculate the percent time 
on of the crankcase heater for outdoor bin temperatures Tj = 57, 62, 
67, and 72 [deg]F as specified in section 3.13.4.4.8.
    4.2.8.1.3 Heat pumps that have a compressor crankcase heater. For 
heat pumps having a compressor crankcase heater, evaluate P1 using
[GRAPHIC] [TIFF OMITTED] TP02JN10.297


rounded to the nearest even wattage.
    Obtain RCC, the measured resistance of crankcase heater element, 
and P0, the average off-mode power consumption of all other heat pump 
components except the crankcase heater, as specified in sections 3.13.1 
and 3.13.5.5.3, respectively. Calculate the percent time on of the 
crankcase heater at a 65 [deg]F outdoor temperature, FCC(65), as 
specified in section 3.13.5.4.5.
    4.2.8.2 Off-mode seasonal power consumption for air conditioners 
during the heating season, P2. For air conditioners, P2 is non-zero and 
evaluated as specified below. For heat pumps, P2 equals zero.
    4.2.8.2.1 For air conditioners that do not have a compressor 
crankcase heater. The off-mode power consumption for the heating season 
is a single value that applies for all locations. Assign P2 = P1, as 
determined in section 3.13.2.2.
    4.2.8.2.2 For air conditioners that have compressor crankcase 
heater. The off-mode power consumption for the heating season depends 
on the fractional bin hour distribution, for which a different 
distribution is specified for each of the six generalized climatic 
regions, Figure 2. Calculate P2 using
[GRAPHIC] [TIFF OMITTED] TP02JN10.298


rounded to the nearest even wattage. Obtain RCC, the measured 
resistance of crankcase heater element, and P0, the average off-mode 
power consumption of all other air conditioner components except the 
crankcase heater, as specified in sections 3.13.1 and 3.13.4.6, 
respectively. Calculate FCC(Tj), the percent time on of the crankcase 
heater for outdoor bin temperatures Tj as specified in section 
3.13.4.4.8. Obtain nj/N, the heating season fractional bin hours, from 
Table 17.
    4.2.8.3 Off-mode seasonal energy consumption.
    4.2.8.3.1 For the shoulder seasons. Calculate the off-mode energy 
consumption for the collective shoulder seasons, E1, using
E1 = P1 x SSH

Where:

P1 = determined as specified in section 4.2.7.1 and the SSH are 
determined from Table 19.

[[Page 31270]]



  Table 19--Representative Cooling and Heating Load Hours and the Corresponding Set of Seasonal Hours for Each
                                           Generalized Climatic Region
----------------------------------------------------------------------------------------------------------------
                                                   Cooling      Heating      Cooling      Heating      Shoulder
                Climatic region                   load hours   load hours     season       Season       Season
                                                     CLRR         HLHR      hours CSHR   Hours HSHR   Hours SSHR
----------------------------------------------------------------------------------------------------------------
I..............................................         2400          750         6731         1826          203
II.............................................         1800         1250         5048         3148          564
III............................................         1200         1750         3365         4453          942
IV.............................................          800         2250         2244         5643          873
Rating Values..................................         1000         2080         2805         5216          739
V..............................................          400         2750         1122         6956          682
VI.............................................          200         2750          561         6258         1941
----------------------------------------------------------------------------------------------------------------

    4.2.8.3.2 For the heating season--air conditioners only. Calculate 
the off-mode energy consumption of an air conditioner during the 
heating season, E2, using
E2 = P2 x HSH

Where:

P2 = determined as specified in section 4.2.7.2 and the HSH are 
determined from Table 19.
* * * * *
    4.3.1 * * *
    [GRAPHIC] [TIFF OMITTED] TP02JN10.299
    
    * * *

    P1 = the off-mode seasonal power consumption for the collective 
shoulders seasons, as determined in section 4.2.7.1, W, and
    P2 = the off-mode seasonal power consumption for the heating 
season, as determined in section 4.2.7.2, W.

    Evaluate the HSH using
    [GRAPHIC] [TIFF OMITTED] TP02JN10.300
    
Where:

TOD and nj/N = listed in Table 19 and depend on the location of 
interest relative to Figure 2. For the six generalized climatic 
regions, this equation simplifies to the following set of equations:

Region I HSH = 2.4348 x HLH
Region II HSH = 2.5182 x HLH
Region III HSH = 2.5444 x HLH
Region IV HSH = 2.5078 x HLH
Region V HSH = 2.5295 x HLH
Region VI HSH = 2.2757 x HLH
    Evaluate the shoulder season hours using

SSH = 8760 - (CSH + HSH)

Where:

CSH = the cooling season hours calculated from CSH = 2.8045 x CLH

* * * * *
    4.3.2 Calculation of representative regional annual performance 
factors (APFR) for each generalized climatic region and for each 
standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TP02JN10.301

Where:

CLHR = the representative cooling hours for each generalized 
climatic region, Table 19, hr,
HLHR = the representative heating hours for each generalized 
climatic region, Table 19, hr, and
HSPF = the heating seasonal performance factor calculated as 
specified in section 4.2 for each generalized climatic region and 
for each standardized design heating requirement within each region, 
Btu/W x h.

    The SEER, Qc\k\ (95), DHR, C, P1, P2, SSH, and HSH are 
the same quantities as defined in section 4.3.1. Figure 2 shows the 
generalized climatic regions. Table 18 lists standardized design 
heating requirements.

    Table 19--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
             Region                      CLHR                HLHR
------------------------------------------------------------------------
I...............................                2400                 750
II..............................                1800                1250
III.............................                1200                1750
IV..............................                 800                2250
V...............................                 400                2750

[[Page 31271]]

 
VI..............................                 200                2750
------------------------------------------------------------------------

    4.4 Rounding of SEER, HSPF, SHR, and APF for reporting purposes. 
After calculating SEER according to section 4.1, round it off as 
specified in subpart B 430.23(m)(3)(i) of Title 10 of the CFR. Round 
section 4.2 HSPF values and section 4.3 APF values as per Sec.  
430.23(m)(3)(ii) and (iii) of Title 10 of the CFR. Round section 4.5 
SHR values to 2 decimal places.
    4.5 Calculations of the SHR, which should be computed for different 
equipment configurations and test conditions specified in Table 20.

                 Table 20--Applicable Test Conditions for Calculation of the Sensible Heat Ratio
----------------------------------------------------------------------------------------------------------------
                                             Reference
         Equipment configuration           Table No. of      SHR computation with           Computed values
                                            Appendix M           results from
----------------------------------------------------------------------------------------------------------------
Single-Speed Compressor and a Fixed-                   3  B Test....................  SHR(B)
 Speed Indoor Fan, a Constant Air Volume
 Rate Indoor Fan, or No Indoor Fan.
Single-Speed Compressor and a Variable                 4  B2 and B1 Tests...........  SHR(B1), SHR(B2)
 Air Volume Rate Indoor Fan.
Units Having a Two-Capacity Compressor..               5  B2 and B1 Tests...........  SHR(B1), SHR(B2)
Units Having a Variable-Speed Compressor               6  B2 and B1 Tests...........  SHR(B1), SHR(B2)
----------------------------------------------------------------------------------------------------------------

    The SHR is defined and calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TP02JN10.302
    
Where both the total and sensible cooling capacities are determined 
from the same cooling mode test and calculated from data collected 
over the same 30-minute data collection interval.
* * * * *
[FR Doc. 2010-12271 Filed 6-1-10; 8:45 am]
BILLING CODE 6450-01-P