[Federal Register Volume 82, Number 3 (Thursday, January 5, 2017)]
[Rules and Regulations]
[Pages 1426-1591]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-30004]



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Vol. 82

Thursday,

No. 3

January 5, 2017

Part II





Department of Energy





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10 CFR Parts 429 and 430





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

  Federal Register / Vol. 82 , No. 3 / Thursday, January 5, 2017 / 
Rules and Regulations  

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2016-BT-TP-0029]
RIN 1904-AD71


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

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

ACTION: Final rule.

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SUMMARY: On August 24, 2016, the U.S. Department of Energy (DOE) 
published a supplemental notice of proposed rulemaking (SNOPR) to amend 
the test procedure for central air conditioners and heat pumps. That 
SNOPR serves as the basis for this final rule. This final rule amends 
the test procedure and specific certification, compliance, and 
enforcement provisions related to this product. In this final rule, DOE 
makes two sets of amendments to the test procedure: Amendments to 
appendix M that would be required as the basis for making efficiency 
representations starting 180 days after final rule publication and a 
new appendix M1 that would be the basis for making efficiency 
representations as of the compliance date for any amended energy 
conservation standards. The new appendix M1 establishes new efficiency 
metrics SEER2, EER2, and HSPF2 that are based on the current efficiency 
metrics for cooling and heating performance, but generally have 
different numerical values than the current metrics. Broadly speaking, 
the amendments address off-mode test procedures, test set-up and fan 
delays, external static pressure conditions for testing, represented 
values for CAC/HP that are distributed in commerce with multiple 
refrigerants, the methodology for testing and calculating heating 
performance, and testing of variable-speed systems.

DATES:  The effective date of this rule is February 6, 2017. The final 
rule changes of appendix M will be mandatory for representations of 
efficiency starting July 5, 2017. Representations using appendix M1 
will be mandatory starting January 1, 2023. The incorporation by 
reference of certain publications listed in Appendix M1 is approved by 
the Director of the Federal Register on February 6, 2017 February 6, 
2017. The incorporation by reference of certain publications listed in 
Appendix M was approved by the Director of the Federal Register as of 
July 8, 2016.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at regulations.gov. All 
documents in the docket are listed in the regulations.gov index. 
However, some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available.
    The docket Web page can be found at https://www.regulations.gov/docket?D=EERE-2016-BT-TP-0029. The docket Web page will contain simple 
instruction on how to access all documents, including public comments, 
in the docket.

FOR FURTHER INFORMATION CONTACT:
    Ashley Armstrong, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 
1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: 
(202) 586-6590. Email: [email protected].
    Johanna Jochum, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6307. Email: [email protected].
    For further information on how to review public comments and the 
docket contact the Appliance and Equipment Standards Program staff at 
(202) 586-6636 or by email: [email protected].

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference 
into part 430 specific sections, figures, and tables in the following 
industry standards:
    (1) ANSI/AHRI 210/240-2008 with Addenda 1 and 2, (``AHRI 210/240-
2008''): 2008 Standard for Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment, ANSI approved October 
27, 2011;
    (2) ANSI/AHRI 1230-2010 with Addendum 2, (``AHRI 1230-2010''): 2010 
Standard for Performance Rating of Variable Refrigerant Flow (VRF) 
Multi-Split Air-Conditioning and Heat Pump Equipment, ANSI approved 
August 2, 2010.
    Copies of AHRI 210/240-2008 and AHRI 1230-2010 can be obtained from 
the Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson 
Boulevard, Suite 500, Arlington, VA 22201, USA, 703-524-8800, or by 
going to http://www.ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards.
    (3) ANSI/ASHRAE 23.1-2010, (``ASHRAE 23.1-2010''): Methods of 
Testing for Rating the Performance of Positive Displacement Refrigerant 
Compressors and Condensing Units that Operate at Subcritical 
Temperatures of the Refrigerant, ANSI approved January 28, 2010;
    (4) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37-2009''), 
Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment, ANSI approved June 25, 2009;
    (5) ANSI/ASHRAE 41.1-2013, (``ANSI/ASHRAE 41.1-2013''): Standard 
Method for Temperature Measurement, ANSI approved January 30, 2013;
    (6) ANSI/ASHRAE 41.6-2014, (``ASHRAE 41.6-2014''): Standard Method 
for Humidity Measurement, ANSI approved July 3, 2014;
    (7) ANSI/ASHRAE 41.9-2011, (``ASHRAE 41.9-2011''): Standard Methods 
for Volatile-Refrigerant Mass Flow Measurements Using Calorimeters, 
ANSI approved February 3, 2011;
    (8) ANSI/ASHRAE 116-2010, (``ASHRAE 116-2010''): Methods of Testing 
for Rating Seasonal Efficiency of Unitary Air Conditioners and Heat 
Pumps, ANSI approved February 24, 2010;
    (9) ANSI/ASHRAE 41.2-1987 (Reaffirmed 1992), (``ASHRAE 41.2-1987 
(RA 1992)''): ``Standard Methods for Laboratory Airflow Measurement'', 
ANSI approved April 20, 1992.
    Copies of ASHRAE 23.1-2010, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-
2013, ASHRAE 41.6-2014, ASHRAE 41.9-2011, ASHRAE 116-2010, and ASHRAE 
41.2-1987 (RA 1992) can be purchased from ASHRAE's Web site at https://www.ashrae.org/resources--publications.
    (10) ANSI/AMCA 210-2007, ANSI/ASHRAE 51-2007, (``AMCA 210-2007'') 
Laboratory Methods of Testing Fans for Certified Aerodynamic 
Performance Rating, ANSI approved August 17, 2007.
    Copies of AMCA 210-2007 can be purchased from AMCA's Web site at 
http://www.amca.org/store/index.php.
    For a further discussion of these standards, see section IV.M.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Final Rule
III. Discussion
    A. Testing, Rating, and Compliance of Basic Models of Central 
Air Conditioners and Heat Pumps
    1. Representation Accommodation
    2. Highest Sales Volume Requirement
    3. Determination of Represented Values for Multi-Split, Multi-
Circuit, and Multi-Head Mini-Split Systems
    4. Service Coil Definition

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    5. Efficiency Representations of Split-Systems for Multiple 
Refrigerants
    6. Representation Limitations for Independent Coil Manufacturers
    7. Reporting of Low-Capacity Lockout for Air Conditioners and 
Heat Pumps With Two-Capacity Compressors
    8. Represented Values of Cooling Capacity
    9. New Efficiency Metrics
    B. Amendments to Appendix M Testing To Determine Compliance With 
the Current Energy Conservation Standards
    1. Measurement of Off Mode Power Consumption: Time Delay for 
Units With Self-Regulating Crankcase Heaters
    2. Refrigerant Pressure Measurement Instructions for Cooling and 
Heating Heat Pumps
    3. Revised EER and COP Interpolation Method for Units Equipped 
With Variable-Speed Compressors
    4. Outdoor Air Enthalpy Method Test Requirements
    5. Certification of Fan Delay for Coil-Only Units
    6. Normalized Gross Indoor Fin Surface Area Requirements for 
Split Systems
    7. Modification to the Test Procedure for Variable-Speed Heat 
Pumps
    8. Clarification of the Requirements of Break-In Periods Prior 
to Testing
    9. Modification to the Part Load Testing Requirement of VRF 
Multi-Split Systems
    10. Modification to the Test Unit Installation Requirement of 
Cased Coil Insulation and Sealing
    11. Correction for the Calculation of the Low-Temperature Cut-
Out Factor for Single-Speed Compressor Systems
    12. Clarification of the Refrigerant Liquid Line Insulation
    C. Amendments to Appendix M1
    1. Minimum External Static Pressure Requirements
    2. Default Fan Power for Rating Coil-Only Units
    3. Revised Heating Load Line Equation
    4. Revised Heating Mode Test Procedure for Units Equipped With 
Variable-Speed Compressors
    D. Effective Dates and Representations
    1. Effective Dates
    2. Comment Period Length
    3. Representations From Appendix M1 Before Compliance Date
    E. Comments Regarding the June 2016 Final Rule
    1. Determination of Represented Values for Single-Split Systems
    2. Alternative Efficiency Determination Methods
    3. NGIFS Limit for Outdoor Unit With No Match
    4. Definitions
    5. Inlet Plenum Setup
    6. Off-Mode Power Consumption
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
    N. Congressional Notification
V. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    Title III, Part B \1\ of the Energy Policy and Conservation Act of 
1975 (``EPCA'' or ``the Act''), Public Law 94-163 (42 U.S.C. 6291-6309, 
as codified) sets forth a variety of provisions designed to improve 
energy efficiency and established the Energy Conservation Program for 
Consumer Products Other Than Automobiles.\2\ These products include 
central air conditioners and central air conditioning heat pumps,\3\ 
(single-phase \4\ with rated cooling capacities less than 65,000 
British thermal units per hour (Btu/h)), which are the focus of this 
Final Rule. (42 U.S.C. 6291(1)-(2), (21) and 6292(a)(3))
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    \1\ For editorial reasons, Part B was codified as Part A in the 
U.S. Code.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015, 
Public Law 114-11 (Apr. 30, 2015).
    \3\ This rulemaking uses the term ``CAC/HP'' to refer 
specifically to central air conditioners (which include heat pumps) 
as defined by EPCA. 42 U.S.C. 6291(21.)
    \4\ Where this rulemaking uses the term ``CAC/HP'', they are in 
reference specifically to central air conditioners and heat pumps as 
defined by EPCA.
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    Under EPCA, DOE's energy conservation program generally consists of 
four parts: (1) Testing; (2) labeling; (3) Federal energy conservation 
standards; and (4) certification, compliance, and enforcement. The 
testing requirements consist of test procedures that manufacturers of 
covered products must use as the basis of: (1) Certifying to DOE that 
their products comply with applicable energy conservation standards 
adopted pursuant to EPCA, and (2) making other representations about 
the efficiency of those products. (42 U.S.C. 6293(c); 42 U.S.C. 
6295(s)) Similarly, DOE must use these test procedures to determine 
whether covered products comply with any relevant standards promulgated 
under EPCA. (42 U.S.C. 6295(s))
    EPCA sets forth criteria and procedures DOE must follow when 
prescribing or amending test procedures for covered products. (42 
U.S.C. 6293(b)(3)) EPCA provides, in relevant part, that any test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results which measure the energy efficiency, 
energy use, or estimated annual operating cost of a covered product 
during a representative average use cycle or period of use, and shall 
not be unduly burdensome to conduct. Id.
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the amended test 
procedure would alter the measured energy efficiency of any covered 
product as determined under the existing test procedure. (42 U.S.C. 
6293(e)(1))
    The Energy Independence and Security Act of 2007 (EISA 2007), 
Public Law 110-140, amended EPCA to require that, at least once every 7 
years, DOE must review test procedures for all covered products and 
either amend the test procedures (if the Secretary determines that 
amended test procedures would more accurately or fully comply with the 
requirements of 42 U.S.C. 6293(b)(3)) or publish a notice in the 
Federal Register of any determination not to amend a test procedure. 
(42 U.S.C. 6293(b)(1)(A))
    DOE's existing test procedures for CAC/HP adopted pursuant to these 
provisions appear under Title 10 of the Code of Federal Regulations 
(CFR) part 430, subpart B, appendix M (``Uniform Test Method for 
Measuring the Energy Consumption of Central Air Conditioners and Heat 
Pumps''). These procedures establish the currently permitted means for 
determining energy efficiency and annual energy consumption for CAC/HP. 
The procedures established in the new appendix M1 include new 
efficiency metrics to represent cooling and heating performance whose 
values will be altered as compared to the current metrics. The new 
metrics include seasonal energy efficiency ratio 2 (SEER2), energy 
efficiency ratio 2 (EER2), and heating seasonal performance factor 2 
(HSPF2). Use of the test procedures of appendix M1 will become 
mandatory to demonstrate compliance on the compliance date of revised 
energy conservation standards.
    Section 310 of EISA 2007 established that the Department's test 
procedures for all covered products must account for standby mode and 
off mode energy consumption. (42 U.S.C. 6295(gg)(2)(A)) For CAC/HP, 
standby mode is

[[Page 1428]]

incorporated into the SEER and HSPF metrics, while off mode power 
consumption is separately regulated. This final rule includes changes 
relevant to the determination of both SEER and HSPF (including standby 
mode) and off mode power consumption.

B. Background

    DOE initiated a round of test procedure revisions for CAC/HP by 
publishing a notice of proposed rulemaking in the Federal Register on 
June 2, 2010 (June 2010 NOPR; 75 FR 31223). Subsequently, DOE published 
several supplemental notices of proposed rulemaking (SNOPRs) on April 
1, 2011 (April 2011 SNOPR; 76 FR 18105), on October 24, 2011 (October 
2011 SNOPR: 76 FR 65616), and on November 9, 2015 (November 2015 SNOPR; 
80 FR 69277) in response to comments received and to address additional 
needs for test procedure revisions. The June 2010 NOPR and the 
subsequent SNOPRs addressed a broad range of test procedure issues. On 
June 8, 2016, DOE published a test procedure final rule (June 2016 
final rule) that finalized test procedure amendments associated with 
many but not all of these issues. 81 FR 36991.
    On November 5, 2014, DOE published a request for information for 
energy conservation standards (ECS) for CAC/HP (November 2014 ECS RFI). 
79 FR 65603. In response, several stakeholders provided comments 
suggesting that DOE amend the current test procedure. The November 2015 
SNOPR addressed those test procedure-related comments, but, as 
mentioned in this preamble, not all of the related issues were resolved 
in the June 2016 final rule.
    On July 14, 2015, DOE published a notice of intent to form a 
Working Group to negotiate a NOPR for energy conservation standards for 
CAC/HP and requested nominations from parties interested in serving as 
members of the Working Group. 80 FR 40938. The Working Group, which 
ultimately consisted of 15 members in addition to one member from 
Appliance Standards and Rulemaking Federal Advisory Committee (ASRAC) 
and one DOE representative, identified a number of issues related to 
testing and certification. The term sheet summarizing the Working Group 
recommendations included several recommendations associated with test 
procedures. (CAC ECS: ASRAC Term Sheet, No. 76) \5\
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    \5\ This final rule addresses proposals and comments from two 
rulemakings: (1) Stakeholder comments and proposals regarding the 
CAC test procedure (CAC TP: Docket No. EERE-2009-BT-TP-0004); and 
(2) stakeholder comments and proposals regarding the CAC energy 
conservation standard from the Working Group (CAC ECS: Docket No. 
EERE-2014-BT-STD-0048). Comments received through documents located 
in the test procedure docket are identified by ``CAC TP'' preceding 
the comment citation. Comments received through documents located in 
the energy conservation standard docket (EERE-2014-BT-STD-0048) are 
identified by ``CAC ECS'' preceding the comment citation. Further, 
comments specifically received during the CAC/HP ECS Working Group 
meetings are identified by ``CAC ECS: ASRAC Public Meeting'' 
preceding the comment citation.
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    On August 24, 2016 DOE published a SNOPR (August 2016 SNOPR) 
proposing several amendments to the test procedure and to 
certification, compliance, and enforcement provisions, including a 
proposal to establish a new appendix M1 to be used for testing under 
any new energy conservation standard. 81 FR 58164. That SNOPR addressed 
issues not resolved by the June 2016 final rule and also proposed test 
procedure amendments to implement several of the items summarized in 
the ASRAC Working Group Term Sheet.

II. Synopsis of the Final Rule

    In this final rule, DOE revises the certification requirements and 
test procedure for CAC/HP based on public comment on various published 
materials and the ASRAC negotiation process discussed in section I.B. 
This final rule establishes two sets of test procedure changes: One set 
of changes to appendix M (effective 30 days after publication of a 
final rule and required for testing and determining compliance with 
current energy conservation standards); and another set of changes to 
create a new appendix M1 that would be used for testing to demonstrate 
compliance with any amended energy conservation standards (agreed 
compliance date of January 1, 2023, by the Working Group in the CAC 
rulemaking negotiations (CAC ECS: ASRAC Term Sheet, No. 76)). With the 
exceptions discussed in sections III.B.3 and III.B.7, the changes to 
appendix M do not alter measured efficiency. However, the new appendix 
M1 establishes new efficiency metrics for cooling and heating 
performance, SEER2, EER2, and HSPF2.
    In this final rule, DOE makes the following changes to 
certification requirements:
    (1) Codifying the CAC/HP ECS Working Group's recommendation 
regarding delayed implementation of testing to demonstrate compliance 
with amended energy conservation standards;
    (2) Relaxing the requirement that a split system's tested 
combination be a high sales volume combination;
    (3) Revising requirements for certification of multi-split systems 
in light of the adoption of multiple categories of duct pressure drop 
that the indoor units can provide;
    (4) Making explicit certain provisions of the service coil 
definition;
    (5) Revising the certification of separate individual combinations 
within the same basic model for each refrigerant that can be used in a 
model of split system outdoor unit and certification of details 
regarding the indoor units with which unmatched outdoor units are 
tested;
    (6) Revising representation limitations for independent coil 
manufacturers;
    (7) Revising the certification of low-capacity lockout for air 
conditioner and heat pumps with two capacity compressors;
    (8) Revising the requirements for represented values of cooling and 
heating capacity; and
    (9) Adding new efficiency metrics SEER2, EER2, and HSPF2 to reflect 
the changes in the test procedure that result in significant change in 
the efficiency metric values.
    DOE implements the following changes to appendix M:
    (1) Requiring a limit on the internal volume of lines and devices 
connected to measure pressure at refrigerant circuit;
    (2) Revising the method to calculate EER and coefficient of 
performance (COP) for variable-speed units for calculating performance 
at intermediate compressor speeds;
    (3) Requiring a 30-minute test without the outside-air apparatus 
connected (a ``free outdoor air'' test) to be the official test as part 
of all cooling and heating mode tests which use the outdoor air 
enthalpy method as the secondary measurement;
    (4) Relaxing the requirement for secondary capacity checks, 
requiring instead use of a secondary capacity measurement that agrees 
with the primary capacity measurement to within 6 percent only for the 
cooling full load test and, for heat pumps, for the heating full load 
test;
    (5) Revising the certification of the indoor fan off delay used for 
coil-only tests;
    (6) Modifying the test procedure for variable-speed heat pumps; and
    (7) Modifying the part load testing requirement of VRF multi-split 
systems and test unit installation requirement of cased coil insulation 
and sealing.
    DOE adopts the following provisions for new appendix M1:

[[Page 1429]]

    (1) New higher external static pressure requirements for all units, 
including unique minimum external static pressure requirements for 
mobile home systems, ceiling-mount and wall-mount systems, low- and 
mid-static multi-split systems, space-constrained systems, and small-
duct, high-velocity systems;
    (2) A unique default fan power for rating mobile home coil-only 
units and new default fan power for all other coil-only units;
    (3) Revisions to the heating load line equation in the calculation 
of the heating mode efficiency metric, HSPF2;
    (4) Amendments to the test procedures for variable-speed heat pumps 
that change speed at lower ambient temperatures and add a 
5[emsp14][deg]F heating mode test option for calculating full-speed 
performance below 17[emsp14][deg]F; and
    (5) Establishment of a 4-hour or 8-hour delay time before the power 
measurement for units that require the crankcase heating system to 
reach thermal equilibrium after setting test conditions.
    The test procedure amendments to appendix M for subpart B to 10 CFR 
part 430 established in this final rule pertaining to the efficiency of 
CAC/HP will be effective 30 days after publication in the Federal 
Register (referred to as the ``effective date''). Pursuant to EPCA, 
manufacturers of covered products are required to use the applicable 
test procedure as the basis for determining that their products comply 
with the applicable energy conservation standards. (42 U.S.C. 6295(s)) 
180 days after publication of a final rule, any representations made 
with respect to the energy use or efficiency of CAC/HPs are required to 
be made in accordance with the results of testing pursuant to the 
amended test procedures. (42 U.S.C. 6293(c)(2))
    The test procedures established in this final rule for appendix M1 
to subpart B of 10 CFR part 430 pertaining to the efficiency of CAC/HP 
are effective 30 days after publication in the Federal Register. The 
appendix M1 procedures will be required as the basis for determining 
that CAC/HP comply with any amended energy conservation standards (if 
adopted in the concurrent CAC/HP energy conservation standards 
rulemaking) and for representing efficiency as of the compliance date 
for those amended energy conservation standards.
    DOE revises the test procedure and requirements for certification, 
compliance, and enforcement in this final rule effective on February 6, 
2017. The amended test procedure of appendix M is mandatory for 
representations of efficiency as of July 5, 2017. The new test 
procedure of appendix M1 is mandatory for representations of efficiency 
as of January 1, 2023.

III. Discussion

    This section discusses the revisions to the certification 
requirements and test procedure that DOE adopts in this final rule.

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

1. Representation Accommodation

    In the August 2016 SNOPR, DOE proposed to implement the following 
recommendations from the CAC/HP ECS Working Group regarding 
representations for split systems in 10 CFR 429.16 and 429.70:
    [cir] DOE will implement the following accommodation for 
representative values of split system air conditioners and heat pumps 
based on the M1 methodology:
    [cir] By January 1, 2023, manufacturers of single-split systems 
must validate an AEDM that is representative of the amended M1 test 
procedure by:
    [ssquf] Testing a single-unit sample for 20-percent of the basic 
models certified.
    [ssquf] The predicted performance as simulated by the AEDM must be 
within 5 percent of the performance resulting from the test of each of 
the models.
    [ssquf] Although DOE will not require that a full complement of 
testing be completed by January 1, 2023, manufacturers are responsible 
for ensuring their representations are appropriate and that the models 
being distributed in commerce meet the applicable standards (without a 
5% tolerance).
    [cir] By January 1, 2023, manufacturers must either determine 
representative values for each combination of single-split-system CAC/
HP based on the M1 test procedures using a validated AEDM or through 
testing and the applicable sampling plan.
    [cir] By January 1, 2023, manufacturers of multi-split, multi-
circuit, or multi-head mini-split systems must determine representative 
values for each basic model through testing and the applicable sampling 
plan.
    [cir] By July 1, 2024, each model of condensing unit of split 
system CAC/HP must have at least 1 combination whose rating is based on 
testing using the M1 test procedure and the applicable sampling plan. 
81 FR at 58167 (Aug. 24, 2016)
    Lennox and AHRI commented that they supported DOE's proposal, 
although AHRI noted it supported DOE's proposal with certain 
exceptions. (Lennox, No. 25 at p. 2; AHRI, No. 27 at p. 1) While AHRI 
did not note the exceptions, DOE assumes these may be related to their 
comments regarding test requirements for two-stage air conditioners (Id 
at p. 2), effective dates for appendix M in the June 2016 Final Rule 
and this final rule (Id at p. 8), and AEDM options for multi-split 
systems (Id at p. 20). These issues are discussed separately in III.D 
and III.E. As these exceptions are tangential to the original proposal, 
DOE has adopted the accommodations as proposed.
2. Highest Sales Volume Requirement
    In the August 2016 SNOPR, based on recommendations by the CAC/HP 
ECS Working Group, DOE proposed removing the requirement for single-
split-system air conditioners that the individual combination required 
for testing be the highest sales volume combination (HSVC). 
Specifically, DOE proposed that for every basic model, a manufacturer 
must test the model of outdoor unit with a model of indoor unit.\6\ 81 
FR at 58202 (Aug. 24, 2016)
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    \6\ As adopted in the June 2016 Final Rule, for single-split-
system air conditioners with single-stage or two-stage compressors, 
the model of indoor unit must be coil-only.
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    ACEEE, NRDC, ASAP, and NEEA supported DOE's proposal to adopt the 
CAC/HP ECS Working Group recommendations regarding removing the HSVC, 
as described in the SNOPR. (ACEEE, NRDC, and ASAP, No. 33 at p. 8; 
NEEA, No. 35 at p. 1) DOE received no other comment on this issue. 
Therefore, DOE adopts this proposal in this final rule. DOE notes that 
some stakeholders commented on related items that were finalized in the 
June 2016 Final Rule. These are discussed in section III.E.1.
3. Determination of Represented Values for Multi-Split, Multi-Circuit, 
and Multi-Head Mini-Split Systems
    In the August 2016 SNOPR, DOE proposed that multi-split, multi-head 
mini-split, and multi-circuit systems could be tested and rated with 
five kinds of indoor units: Non-ducted, low-static ducted, mid-static 
ducted, conventional ducted, or small-duct, high velocity (SDHV). DOE 
proposed that when determining represented values (including certifying 
compliance with amended energy conservation standards), at a minimum, a 
manufacturer must test and rate a ``tested combination'' composed 
entirely of non-ducted units. Under the proposed rule, if a 
manufacturer were to offer the model of outdoor unit with

[[Page 1430]]

models of low-static, mid-static, and/or conventional ducted indoor 
units, the manufacturer would be required, at a minimum, also to test 
and rate a second ``tested combination'' with the highest static 
variety of indoor unit offered. The manufacturer would also be allowed 
to choose to test and rate additional ``tested combinations'' composed 
of the lower static varieties. In each case, the manufacturer would 
test with the appropriate external static pressure. DOE did not propose 
use of AEDMs for these systems. 81 FR at 58169 (Aug. 24, 2016)
    DOE also proposed to maintain its requirement from the June 2016 
final rule that, if a manufacturer also sells a model of outdoor unit 
with SDHV indoor units, the manufacturer must test and rate the SDHV 
system (i.e., test a combination with indoor units that all have SDHV 
pressure capability). DOE also proposed to continue to allow mix-match 
ratings across any two of the five varieties by taking a straight 
average of the ratings of the individual varieties, and to allow 
ratings of individual combinations through testing. 81 FR at 58169 
(Aug. 24, 2016)
    NEEA commented that they supported DOE's proposals regarding 
certification of multi-split, multi-circuit, and multi-head mini-split 
systems. (NEEA, No. 35 at p. 1-2) Lennox and Nortek commented that they 
supported DOE's proposals regarding tested combinations for multi-
split, multi-head mini-split, and multi-circuit systems. (Lennox, No. 
25 at p. 3-4; Nortek, No. 22 at p. 3) AHRI commented that they 
supported DOE's proposals regarding tested combinations for multi-split 
and multi-circuit systems. (AHRI, No. 27 at p. 2)
    AHRI and Mitsubishi commented that they were concerned with DOE's 
proposal to add low-static and mid-static testing requirements to 
appendix M. They commented that the ``low-static'' and ``mid-static'' 
terminology and the associated testing requirements were negotiated for 
appendix M1, and implementing this requirement before the effective 
date of the 2023 standard would not be in alignment with the Working 
Group's recommendation. (AHRI, No. 27 at p. 2-3; Mitsubishi, No. 29 at 
p. 2)
    DOE notes that it intended the low-static and mid-static 
requirements to apply to appendix M1 only. In the August 2016 SNOPR, 10 
CFR 429.16(a)(1) and (b)(2)(i) included tables regarding determining 
represented values and minimum testing requirements. In both of these 
tables, DOE only discussed the static variety in regards to testing in 
accordance with M1 or making representations on and after January 1, 
2023. In addition, the definitions for the static varieties are only 
found in appendix M1. However, DOE acknowledges that 10 CFR 
429.16(c)(3) may have included unclear language on this topic. DOE has 
modified this language in this final rule.
    AHRI and Mitsubishi commented that multi-head mini-split systems do 
not belong in the requirements for multi-split and multi-circuit 
systems because they operate as 1-to-1 combinations, and it is not 
possible to turn off one indoor unit for testing. In addition, they 
stated that these systems do not have multiple-ducted and non-ducted 
combinations. AHRI and Mitsubishi requested that DOE remove multi-head 
mini-split systems from non-applicable testing requirements and other 
sections and instead include multi-head mini-split in the same line as 
``Single-Split-System'' in the table in 10 CFR 429.16(b)(2). (AHRI, No. 
27 at p. 2; Mitsubishi, No. 29 at p. 1-2; Mitsubishi, Public Meeting 
Transcript, No. 20 at p. 113-114)
    In response, DOE notes that, though the August 2016 SNOPR proposed 
additional requirements regarding tested combinations, the 
certification and testing requirements for multi-head mini-split 
systems became associated with the testing requirements for multi-split 
and multi-circuit systems in the June 2016 final rule, and were not 
proposed in the August 2016 SNOPR. The only related change proposed in 
the August 2016 SNOPR pertains to requirements for different static 
varieties. Furthermore, although multi-head mini-split systems are 
grouped with multi-split and multi-circuit systems in the certification 
requirements, appendix M and M1 do not require this equipment to turn 
off any indoor units during testing. In addition, DOE does not believe, 
based on the information provided by AHRI and Mitsubishi, that the 
proposed language in 10 CFR 429.16 presents a problem for multi-head 
mini-split systems. The certification and testing requirements allow 
only non-ducted representations if that is all that is sold, or 
representations of only one kind of ducted combination, if that is all 
that is sold. The fact that multi-head mini-split systems are sold in 
few combinations should not preclude manufacturers from meeting these 
requirements. For these reasons, DOE is not removing multi-head mini-
splits from its grouping with multi-split and multi-circuit systems in 
10 CFR 429.16.
    DOE received no other comment on the proposals in the August 2016 
SNOPR for determining represented values for multi-split, multi-
circuit, and multi-head mini-split systems and DOE adopts all of the 
proposed requirements in this final rule. DOE also notes that in the 
August 2016 SNOPR, DOE omitted mention in 10 CFR 429.16(a)(1) that non-
SDHV multi-split, multi-circuit, and multi-head mini-split systems may 
also include space-constrained units, so DOE has clarified that in this 
final rule.
4. Service Coil Definition
    In the June 2016 final rule, to distinguish newly installed cased 
and uncased coils from replacement cased and uncased coils, DOE added a 
definition for service coils and explicitly excluded them from indoor 
units in the indoor unit definition.
    In the August 2016 SNOPR, DOE proposed to modify the adopted 
definition of service coil to more explicitly define what ``labeled 
accordingly'' meant. Specifically, DOE proposed that a manufacturer 
must designate a service coil as ``for indoor coil replacement only'' 
on the nameplate and in manufacturer product and technical literature. 
In addition, DOE proposed that the model number for any service coil 
must include some mechanism (e.g., an additional letter or number) for 
differentiating a service coil from a coil intended for an indoor unit. 
81 FR at 58169-58170 (Aug. 24, 2016)
    AHRI, Nortek, and Ingersoll Rand commented that they support DOE's 
proposal. (AHRI, No. 27 at p. 3, Nortek, No. 22 at p. 3, Ingersoll 
Rand, No. 38 at p. 2) DOE received no other comments on this issue. 
Therefore, DOE is adopting this proposal in this final rule.
5. Efficiency Representations of Split-Systems for Multiple 
Refrigerants
    DOE made numerous proposals in the August 2016 SNOPR regarding 
efficiency representations for multiple refrigerants, and they elicited 
voluminous and multi-faceted responses. The proposals themselves can be 
divided into three broad categories, including (1) representations for 
multiple refrigerants, (2) certification report requirements for 
outdoor units with no match, and (3) clarifying what outdoor units must 
have no-match efficiency representations. By far most of the responses 
addressed the third category--discussion thereof has been divided up 
into the following sub-topics: DOE authority, altering the measured 
efficiency, specific no-match criteria, and normalized gross indoor fin 
surface (NGIFS) (addressed in sections III.A.5.c through III.A.5.f).

[[Page 1431]]

a. Representations for Multiple Refrigerants
    In the August 2016 SNOPR, to address instances in which the 
manufacturer indicates that more than one refrigerant is acceptable for 
use in a unit, DOE proposed that a split-system air conditioner or heat 
pump, including an outdoor unit with no match, must be certified as a 
separate individual combination for every acceptable refrigerant. 
Specifically, each individual combination would be certified under the 
same basic model. DOE's existing requirements for basic models would 
continue to apply; therefore, if an individual combination or an 
outdoor unit with no match fails to meet DOE's energy conservation 
standards using any refrigerant indicated by the manufacturer to be 
acceptable, then the entire basic model would fail. DOE also proposed 
that manufacturers must certify the refrigerants for every individual 
combination that is distributed in commerce. For models where the 
manufacturer only indicates one acceptable refrigerant, this proposal 
would simply entail certifying to DOE the refrigerant for which the 
model is designed. Finally, DOE proposed that any outdoor unit model 
that has certain characteristics (e.g., if it is distributed in 
commerce without a specific refrigerant), a manufacturer must determine 
the represented value as an outdoor unit with no match. For some 
outdoor units, the proposal called for representations both as an 
outdoor unit with no match and as part of a combination, both as part 
of the same basic model. 81 FR at 58170 (Aug. 24, 2016).
    The August 2016 SNOPR proposed that a refrigerant's acceptability 
for use in an outdoor unit would be based on its being covered under 
the unit's warranty, either explicitly or based on refrigerant 
characteristics. Id. at 58201.
    AHRI, Nortek, Ingersoll Rand, and Carrier/UTC supported DOE's 
proposal that manufacturers should be required to certify efficiency 
ratings for all refrigerants that they have designed their equipment to 
use. (AHRI, No. 27 at p. 3; Nortek, No. 22 at p. 3; Ingersoll Rand, No. 
38 at p. 2; Carrier/UTC, No. 36 at p. 3) AHRI, Nortek, and JCI 
suggested that DOE revise the requirement so that, if a manufacturer 
approves an air conditioner or heat pump for multiple refrigerants by 
listing them on the nameplate, such a product is subject to DOE 
certification and enforcement requirements for each approved 
refrigerant. AHRI, Nortek, and JCI commented that manufacturers should 
have the option to rate all compatible refrigerants as one basic model 
with the same efficiency rating, or to list different efficiencies for 
different refrigerants as separate basic models. AHRI, Nortek, and JCI 
contend that the determination of different efficiency ratings for 
different refrigerants should be allowed based on testing, or the 
appropriate use of AEDMs. (AHRI, No. 27 at p. 6; Nortek, No. 22 at p. 
6; JCI, No. 24 at p. 9) Ingersoll Rand commented similarly. (Ingersoll 
Rand, No. 38 at p. 2)
    ACEEE, NRDC, and ASAP commented that they support the proposed 
requirement to assign separate model numbers to systems designed for 
more than one refrigerant. (ACEEE, NRDC, and ASAP, No. 33 at p. 4; 
Lennox, No. 25 at p. 5)
    Goodman commented that they agreed with DOE's proposal in 
principle, but were concerned that clarification regarding the 
refrigerants that are approved for use in a product may not always be 
clear, and that a refrigerant may be used in the field if information 
about approved refrigerants is weak or not readily identifiable. 
Goodman proposed regulatory text to address this issue, emphasizing 
reliance on a product's nameplate to indicate which refrigerants are 
approved. Specifically, the suggestion was that any refrigerant listed 
on the unit nameplate of any portion of the basic model be considered 
to be approved. Further, Goodman's suggestion also includes as 
``approved for use'' those non-zero ozone-depleting refrigerants with 
similar thermophysical properties to a refrigerant listed on the 
nameplate, (Goodman, No. 39, p. 2-3)
    In response to these comments DOE has revised the requirements so 
that indication of which refrigerants require certification of 
performance is based on the unit nameplate that is required by safety 
standards (e.g., UL 1995) to list all approved refrigerants (see newly 
designated paragraph (a)(3) of section 10 CFR 429.16).
    DOE does not understand Goodman's reference to ``any portion of the 
basic model''. If an individual combination of a basic model includes 
an indoor unit whose nameplate lists a refrigerant that is not listed 
on the outdoor unit's nameplate, such listing on the indoor unit's 
nameplate would not make the refrigerant approved for use in the 
outdoor unit. The refrigerant would therefore not be approved for use 
with that individual combination and presumably would not be required 
for certification with the basic model. Hence, if listing on the unit's 
nameplate is a sufficiently strong indication of which refrigerants are 
approved for use, it is not clear that any refrigerant listed on the 
indoor unit's nameplate but not on the outdoor unit's nameplate should 
be considered approved for use with the outdoor unit. Consequently, DOE 
has not included the ``any portion of the basic model'' language in its 
requirements. DOE has not adopted this language due to manufacturers' 
representations that the refrigerant listings on the nameplate are 
respected sufficiently that installers would not use a refrigerant in a 
system if it is not listed on the outdoor unit's nameplate.
    DOE also is not convinced that the ``approved refrigerants'' need 
to include any non-zero ozone depletion potential refrigerant that has 
similar thermophysical properties to a refrigerant approved for use on 
the unit nameplate. DOE is only aware of HCFC-22 as a non-zero ozone 
depletion refrigerant that is used for split system air conditioners--
no such alternatives are approved in the EPA SNAP list for residential 
and light commercial air conditioning and heat pumps.\7\ HCFC-22 and 
refrigerants with properties similar to HCFC-22, whether non-zero ozone 
depletion or not, are addressed separately in the no-match requirements 
(see section III.A.5.e).
---------------------------------------------------------------------------

    \7\ https://www.epa.gov/snap/acceptable-substitutes-residential-and-light-commercial-air-conditioning-and-heat-pumps.
---------------------------------------------------------------------------

    Additionally, in the August 2016 SNOPR, DOE did not intend to 
require testing of each refrigerant. In this final rule, DOE is 
clarifying the requirement to allow the manufacturer to test the unit 
with one refrigerant and to use an AEDM for other refrigerants. This 
clarification appears in paragraph (a)(3) of Sec.  429.16, but DOE has 
also modified paragraph (c)(2) of this section to emphasize this 
clarification for outdoor units with no match. Additionally, in this 
final rule, DOE is adding a provision in paragraph (a)(3) of Sec.  
429.16 to allow grouping of refrigerants in reporting provided that the 
representative values represent the least efficient refrigerant. In 
response to ACEEE, NRDC, and ASAP, DOE does not believe the additional 
reporting burden of requiring that each refrigerant have its own model 
number and efficiency representation is justified if the rating 
represents the least efficient refrigerant. In response to AHRI and 
Nortek, DOE is requiring that all of the refrigerants for the given 
model of outdoor unit be part of the same basic model. This is 
consistent with the basic model definition adopted in the June 2016 
final rule, which groups all combinations with a given model of

[[Page 1432]]

outdoor unit into the same basic model. 81 FR at 37053 (June 8, 2016).
b. Certification Report Requirements for Outdoor Units With no Match
    DOE proposed to require reporting of additional non-public 
information for the indoor unit that is tested with an outdoor unit 
with no match. This would include the indoor coil face area, depth in 
the direction of airflow, fin density (fins per inch), fin material, 
fin style (e.g., wavy or louvered), tube diameter, tube material, and 
numbers of tubes high and deep. These additional requirements would 
apply to outdoor units with no match, whether or not the outdoor unit 
was also certified as part of an individual combination. 81 FR at 58172 
(Aug. 24, 2016).
    Unico, Goodman, ACEEE, NRDC, and ASAP supported DOE in requiring 
that specific indoor coil descriptions be specified for outdoor units 
with no match. (Unico, Inc., No. 30 at p. 2; Goodman, No. 39 at p. 5; 
ACEEE, NRDC, and ASAP, No. 33 at p. 4)
    AHRI generally did not support DOE's proposals for outdoor units 
with no match, but noted that the following fin styles are available as 
options in the AHRI Directory: Flat corrugated, high performance, 
lanced, louvered, and N/A. (AHRI, No. 27 at p. 7) Rheem commented that 
the proposed list of indoor unit details are insufficient as a measure 
of indoor coil performance. Rheem opposed reporting of additional non-
public information for the indoor unit that is tested with an outdoor 
unit with no match. (Rheem, No. 37 at p. 2) Nortek similarly commented 
that DOE's attempt to have manufacturers describe a fin style and tube 
diameter is obsolete and that with the varying materials and 
technologies in the market, the burden of characterizing fins as 
``lanced, flat, corrugated'', etc. is of no value. (Nortek, No. 22 at 
p. 7)
    In response to the comments from AHRI, DOE will include options 
noted by AHRI for fin style in the certification template. In response 
to the comments from Rheem and Nortek, DOE notes that the reporting of 
information on the indoor unit is necessary for DOE's assessment and 
enforcement testing. DOE notes that, although Rheem indicated that the 
listed information is insufficient, they provided no recommendations 
regarding alternative ways that DOE can verify performance claimed for 
outdoor units with no match. Therefore, DOE adopts this requirement in 
this final rule.
c. DOE Authority
    Per DOE's regulations in Appendix M established in the June 2016 
final rule, the model of outdoor unit must be tested with an indoor 
unit meeting specified criteria. 81 FR at 37051 (June 8, 2016). 81 FR 
at 58171 (Aug. 24, 2016). Under the certification requirements proposed 
in the August 2016 SNOPR, DOE expanded the scope of outdoor units that 
would be required to be tested as outdoor units with no match. The 
specific criteria proposed to require such a rating are discussed in 
greater detail in section III.A.5.e, but they include having no 
designated refrigerant, a warranty that specifies refrigerant 
properties similar to those of HCFC-22 to define refrigerant 
acceptability (rather than or in addition to specific refrigerants), 
shipping without refrigerant or with a charge that requires addition of 
more than a pound of charge during setup, and shipping with any amount 
of R-407C. As proposed, any such unit would need to be certified as an 
outdoor unit with no match.
    Multiple stakeholders commented on various aspects of DOE's 
authority to establish such requirements.
    AHRI and Nortek commented that DOE has authority over 
manufacturers, but that DOE cannot expand that authority to make the 
manufacturer selling a legal product liable for the conduct of a 
distributor, contractor or individual consumer. They emphasized that an 
objective standard that could be the basis of DOE's certification and 
enforcement requirements will capture the conduct through which the 
manufacturer is distributing in commerce and marketing the equipment. 
(AHRI, No. 27 at p. 4; Nortek, No. 22 at p. 3-4)
    DOE agrees that DOE has authority over manufacturers but notes that 
EPCA defines manufacture as ``to manufacture, produce, assemble, or 
import.'' (42 U.S.C. 6291(10))
    AHRI and Nortek commented that the test requirements for outdoor 
units with no match represent design requirements and that DOE does not 
have authority to impose design requirements for central air 
conditioners. They noted that EPCA clearly states for some products 
that a standard may be a design requirement or a performance standard, 
but not both, and that EPCA does not even give DOE the option of 
considering design requirements for central air conditioners. AHRI and 
Nortek commented that when the use of a component with specific design 
requirements is mandated by the test procedure, it is in fact a design 
requirement for the product, since that test procedure must be used to 
determine the product's efficiency. (AHRI, No. 27 at p. 4-5; Nortek, 
No. 22 at p. 4)
    In response, DOE does not agree that the test procedure imposes a 
design requirement as DOE does not impose any design restrictions on 
the outdoor unit. However, DOE must establish test procedures that are 
reasonably designed to measure energy efficiency during a 
representative average use cycle as determined by DOE (42 U.S.C. 6293 
(b)(3)), which is why the indoor unit characteristics are specified. 
This requirement is analogous to the requirement to use higher external 
static pressure (ESP) when testing an SDHV system. DOE also notes that 
its delineation of outdoor units with no match is for units that are 
predominantly used to replace failed HCFC-22 outdoor units. As such, 
DOE has developed a straightforward approach to defining the 
characteristics of an indoor unit which is representative of such 
applications in order to allow the test procedure for these units to be 
representative of field installation. The extension of this concept to 
additional categories of outdoor units with no match (other than those 
designed for HCFC-22) does not invalidate this premise. For example, 
DOE has no evidence that outdoor units designed for use with R-407C are 
installed to a significant extent with new indoor units. Further 
discussion regarding the specific criteria to identify outdoor units 
with no match is in section III.A.5.e.
    AHRI and Nortek commented that DOE's proposal for outdoor units 
with no match would be an expansion into technical and policy issues 
that are outside of DOE's authority under EPCA, were not within 
Congress' intent in granting DOE authority over energy efficiency 
standards, and are the jurisdiction of the EPA. They assert that the 
proposed approach would effectively ban the sale of otherwise legal 
products by requiring the very restrictive no match testing. (AHRI, No. 
27 at p. 5; Nortek, No. 22 at p. 4-5) Similarly, JCI commented that 
DOE's R-407C proposal effectively bans the use of R-407C in split-
system CACs and HPs by proposing to burden R-407C units with more 
stringent testing requirements than units designed for use with any 
other EPA-SNAP approved refrigerant, requiring testing with an 
inefficient indoor unit, and thus requiring outdoor unit efficiency 
that is either technically impossible or economically inviable to meet. 
JCI commented that this refrigerant-specific test procedure requirement 
constitutes back-door regulation of R-407C by DOE even though R-407C is 
already subject to

[[Page 1433]]

direct regulation by EPA under the Clean Air Act, and EPA has permitted 
the use of R-407C in split system CAC/HPs. In proposing to manipulate 
the CAC/HP test procedure in a way that would eliminate the use of R-
407C in split-system CAC/HPs, JCI stated that DOE is acting beyond its 
legal authority under EPCA. (JCI, No. 24 at p. 3-4)
    Ingersoll Rand agrees with AHRI's position that these proposed 
requirements exceed DOE's statutory authority. (Ingersoll Rand, No. 38 
at p. 3)
    On the other hand, ACEEE, NRDC, and ASAP commented that DOE 
regulates energy efficiency and has a legal obligation to ensure that 
manufacturers comply with its standards. According to ACEEE, NRDC, and 
ASAP, the August 2016 test procedure SNOPR does precisely that by 
ensuring that units intended as replacement units have to meet the same 
rules regardless of the refrigerant they are designed to use. ACEEE, 
NRDC, and ASAP commented that in the SNOPR, DOE clearly set out to 
close a loophole in its own regulations that, if left unaddressed, 
would result in the sale of units that do not meet existing standards, 
resulting in higher energy consumption. ACEEE, NRDC, and ASAP commented 
that closing that loophole is the purpose of DOE's ``no-match'' 
requirements for certifying these units. ACEEE, NRDC, and ASAP further 
commented that DOE is not banning the sale of R-407C units and that 
selling outdoor unit replacements using R-407C is and will continue to 
be perfectly legal--in fact, manufacturers may produce and sell outdoor 
units with no match using any refrigerant they want, including R-22 and 
R-407C. They commented that these units will need to meet the 
efficiency of DOE's existing minimum standards, rather than skate by 
with a certified value not achieved in the real world. They expressed 
the view that DOE's SNOPR effectively addresses the efficiency 
performance of products on the market today. (ACEEE, NRDC, and ASAP, 
No. 33 at p. 11) ACEEE, NRDC, and ASAP also indicated that some 
products, including the R-407C products introduced to the market in 
2016, can only meet the existing standards by pairing the outdoor unit 
with an oversized indoor unit, even though the units are sold as 
replacements for outdoor units in which the existing indoor unit is not 
replaced. They further stated that other combinations in which the 
outdoor and indoor units are mismatched are unlikely to be sold in 
these combinations in any significant quantity. (ACEEE, NRDC, and ASAP, 
No. 33 at p. 4) Lennox also commented that ``a manufacturer'' rated an 
outdoor unit for R-407C by matching the outdoor unit with an unusually 
large indoor coil and sold it with one pound of refrigerant charge as a 
replacement for HCFC-22 units. (Lennox, No. 25 at p. 4)
    Contrary to the comments of AHRI, JCI, Nortek, and Ingersoll Rand, 
EPCA requires DOE to establish appropriate test procedures with which 
to measure product efficiency for a representative average use cycle. 
(42 U.S.C. 6293(b)(3)) DOE's proposals regarding outdoor units with no 
match are based on efficiency considerations and supported by DOE's 
authority granted by EPCA to regulate product efficiency and to 
establish appropriate test procedures with which to measure product 
efficiency. JCI commented that when consumers are offered the option to 
use R-407C, as opposed to HCFC-22, they take advantage of it, citing 
that sales of R-407C are rising proportionately with JCI's sales of R-
407C units, and pointing out that they are giving customers the 
opportunity to avoid HCFC-22 refrigerant without entirely replacing 
their CAC/HP systems. (JCI, No. 24 at p. 7) These statements support 
DOE's expectation that the sales of these R-407C units are primarily, 
if not entirely, for no-match installations in which the indoor unit is 
not replaced. Although JCI claims that DOE cannot extend its arguments 
made for HCFC-22 outdoor units (i.e., that they are clearly no-match 
installations because there is no valid EPA-approved combination that 
includes an HCFC-22 outdoor unit (JCI, No. 24 at p. 5)), DOE asserts 
that the possibility that there are or could be a few valid R-407C 
combinations sold does not in itself make sales of combinations (rather 
than no-match sales) the representative efficiency value for R-407C.
    JCI also claimed that DOE has no authority to regulate outdoor 
units with no match because they are not a central air conditioner or a 
heat pump as defined by EPCA. (JCI, No. 24 at p. 4) DOE notes that in 
the June 2016 Final Rule, DOE reasonably interpreted the statutory 
definition to specify the following: ``A central air conditioner or 
central air conditioning heat pump may consist of: a single-package 
unit; an outdoor unit and one or more indoor units; an indoor unit 
only; or an outdoor unit with no match. In the case of an indoor unit 
only or an outdoor unit with no match, the unit must be tested and 
rated as a system (combination of both an indoor and an outdoor 
unit).'' 81 FR at 37056 (June 8, 2016). In that rule, DOE noted that 
this interpretation did not change the scope of DOE's product coverage 
and is in line with the current certification requirements for CAC/HP. 
81 FR at 36999.
d. Altering the Measured Efficiency
    In the August 2016 public meeting, JCI commented that they offer a 
matched combination with R-407C, and that the tested combination is 
available in the AHRI database. JCI noted that the product has been 
available since spring 2016, and it is too early to say that there is 
no tested combination of this product. JCI also questioned how long 
after introduction of an outdoor unit product an assessment can be made 
whether there is or is not a highest sales volume combination. (JCI, 
Public Meeting Transcript, No. 20 at pp. 124-132) In written comments, 
JCI cited EPCA requirements that when amending test procedures, DOE 
must consider to what extent the amendments alter the measured 
efficiency of covered products, and then amend the applicable energy 
conservation standards if a determination is made that the test 
procedure amendment alters the measurement. (42 U.S.C. 6293(e)(1-2)) 
JCI commented that DOE has not done this for its amendments associated 
with no-match R-407C products. JCI explained that the no-match 
proposals would force manufacturers to re-test previously certified 
compliant products using a new testing standard that is technically 
impossible to meet, which would render the previously-compliant R-407C 
systems non-compliant. (JCI, No. 24 at p. 6)
    This test procedure provides a mechanism of assessing the 
performance of no-match products, such as those that use R-407C, which 
can then be used to provide a reasonable level of assurance that all 
field-match combinations of the new, unmatched outdoor units will 
achieve the established efficiency levels. The current test procedure 
requires that single-stage split system air conditioners be tested 
using the highest sales volume tested combination. 10 CFR 429.16. It is 
DOE's understanding that condensing units utilizing R407C typically do 
not have a highest sales volume indoor unit that satisfy the 
requirements of the test procedure and thus, could not be tested under 
the current regulatory regime. Further, if the condensing units were to 
have a highest sales volume indoor unit for testing, DOE believes the 
results of such testing would overstate the performance of R407C 
systems as installed. DOE believes this is the case because R407C 
systems typically get installed with existing indoor units, which are 
not properly sized, in order

[[Page 1434]]

to achieve the system efficiency that would result from a new matched 
pair system. Thus, DOE believes that manufacturers of R407C condensing 
units should have sought a waiver for the current test procedure 
requirements pursuant to the procedures at 10 CFR 430.27. EPCA requires 
DOE to adopt test procedures that are reasonably designed to produce 
test results which measure energy efficiency of a covered product 
during a representative average use cycle or period of use. (42 U.S.C. 
6293(b)(3)) To meet this requirement for outdoor units with no match, 
DOE is now adopting an alternative approach similar to the proposal 
with modification for testing and determining represented values for 
no-match R407C products based on stakeholder comments. DOE notes that 
under the approach adopted in this final rule, the testing method for 
no-match systems does not consider HSVC. In this rulemaking, the only 
proposal regarding HSVC was to remove the requirement for single-split 
system air conditioners, which DOE adopts as discussed in section 
III.A.2. The application of HSVC to current applicable regulations is 
not within the scope of this rulemaking. Therefore, DOE will not 
address its application in this rule.
    JCI also questioned whether DOE performed any analysis on how the 
new requirements for units with R-407C refrigerant impact consumers. 
(JCI, Public Meeting Transcript, No. 20 at pp. 137-139)
    In response, DOE does not evaluate impacts on consumers for test 
procedure amendments. The test procedure amendments are developed to 
provide efficiency representations for representative average use 
cycles. (42 U.S.C. 6293(a)(3)) As discussed in section III.A.5.d, DOE 
developed the test approach for outdoor units with no match on this 
basis. Thus, the energy conservation standard rulemaking's 
consideration of consumer impacts accounts for the impacts that might 
be associated with specific test procedure changes.
e. Specific No-Match Criteria
    DOE proposed in the August 2016 SNOPR that manufacturers must 
determine efficiency representations for outdoor units as outdoor units 
with no match if they meet any of the following criteria: Having no 
designated refrigerant, a warranty that specifies refrigerant 
properties similar to those of HCFC-22 to define refrigerant 
acceptability (rather than or in addition to specific refrigerants), 
shipping without refrigerant or with a charge that requires addition of 
more than a pound of charge during setup, and shipping with any amount 
of R-407C. 81 FR at 58170-58172 (Aug. 24, 2016).
    JCI and Goodman commented that there are other refrigerants, 
including MO-99 and NU-22, that are used as replacements for HCFC-22. 
JCI questioned why those refrigerants were not specifically called out 
in the proposed test procedure as R-407C was, while Goodman indicated 
that the proposal would do nothing to address these other HCFC-22 
replacement refrigerants. (JCI, Public Meeting Transcript, No. 20 at p. 
140; Goodman, No. 39 at p. 3)
    JCI also stated that they have competitors that have published 
guidelines around the application of R-410A units into existing indoor 
applications, and questioned why those units would not have to be held 
to the same test approach for outdoor units with no match.
    In response, it has always been the case that some outdoor units 
are installed as replacements for failed outdoor units. However, in 
most cases an outdoor unit model would also be sold in substantial 
numbers as a combination with indoor units. This is in contrast to R-
407C units, which are predominantly sold in scenarios in which the 
outdoor unit is replaced, and the indoor unit is not replaced. Hence 
the test procedure is representative of an average use cycle for R-410A 
units without requiring that it be tested as a unit with no match.
    JCI also commented that the benefits of R-407C will increase over 
time if products designed for this refrigerant based on ``additional 
valid matches'' are allowed to be sold, but that the proposed 
requirements would significantly limit any such possibility. JCI 
asserted that it can create a larger market for complete R-407C systems 
and that DOE should not limit the potential for such innovation. (JCI, 
No. 24 at p. 7)
    ACEEE, NRDC, and ASAP and Lennox supported the proposed requirement 
that an outdoor unit distributed without a designated refrigerant must 
be tested and certified as an outdoor unit with no match. (ACEEE, NRDC, 
and ASAP, No. 33 at p. 4; Lennox, No. 25 at p. 5)
    AHRI and Nortek commented that DOE's categorization of dry-ship 
units is overly-broad and does not necessarily equate to outdoor units 
with no match. AHRI and Nortek commented that units with long line sets 
require more than one pound of charge to be added in the field. AHRI 
and Nortek contended that it is also very realistic that manufacturers 
will not be able to ship units with mildly flammable refrigerants 
factory charged which will require adding refrigerants in the field 
during installation. (AHRI, No. 27 at p. 6; Nortek, No. 22 at p. 6) 
JCI, Ingersoll Rand, Goodman, Carrier/UTC also disagreed with DOE's 
proposal for similar reasons. Ingersoll Rand, Goodman, and Carrier/UTC 
gave examples of situations in which the entire charge required for a 
system could not be contained within the outdoor unit by itself as 
shipped from the factory, and would require more than a pound of 
refrigerant to be added, including for MicroChannel Heat Exchangers and 
long line sets. (JCI, No. 24 at p. 7-8; Ingersoll Rand, No. 38 at p. 2; 
Goodman, No. 39 at p. 3-4; Carrier/UTC, No. 36 at p. 3; JCI and 
Ingersoll Rand, Public Meeting Transcript, No. 20 at pp. 140-141) 
Goodman further commented that the regulatory text should restrict the 
one pound rule to laboratory tests and suggested regulatory text to 
address this issue as well as the small diameter tubing issue. 
(Goodman, No. 39 at p. 3-4) Lennox supported the intent of DOE's 
proposal but found it to be too restrictive because of the existence of 
products in which the internal volume of the product does not allow it 
to be fully charged from the factory. (Lennox, No. 25 at p. 5) Goodman, 
Lennox, and JCI were particularly concerned with potential unintended 
consequences and potentially impeding innovation as the industry moves 
toward lower global warming potential (GWP) refrigerants, in which 
cases the manufacturer may choose to ship split-system units designed 
for use with A2L refrigerants without the refrigerant factory-
installed. (Goodman, No. 39 at p. 4) Lennox commented that the safety 
requirements and codes and standards required for a transition to A2L 
\8\ refrigerants are not developed and that there is a high probability 
that some form of mitigation to ensure product safety will be required, 
for example, requiring that such units be dry-shipped, i.e. with a dry 
nitrogen charge rather than with refrigerant. Lennox commented that DOE 
should maintain a path that allows dry-shipping products (DOE 
understands this to mean not requiring no-match testing for these 
products) to ensure the most efficient transition to low-GWP products 
with the least

[[Page 1435]]

negative consumer impacts. (Lennox, No. 25 at p. 5)
---------------------------------------------------------------------------

    \8\ A2L is a safety classification for refrigerants that have 
low toxicity and lower flammability. See https://www.epa.gov/snap/refrigerant-safety. Most refrigerants in current use (e.g. R-410A) 
have an A1 classification, indicating both low toxicity and no flame 
propagation.
---------------------------------------------------------------------------

    First Co. objected to the requirement to test an outdoor unit as a 
no-match outdoor unit if more than a pound of refrigerant would have to 
be added during set up. First Co. commented that the proposals are 
based on a single charge value when there are multiple charge values 
for different coils. First Co. requested DOE drop this requirement 
entirely. (EERE-2016-BT-TP-0029, No. 21 at p. 5)
    In response to these comments DOE has revised the criteria for 
outdoor units with no match. Specifically, manufacturers must determine 
efficiency representations, and certify such representations, for 
outdoor units as an outdoor unit with no match if:
     The outdoor unit is approved for use with, determined by 
listing on the outdoor unit nameplate, HCFC-22 or refrigerants with 
similar thermophysical properties, as specified in Sec.  429.16(a)(3) 
(the discussion below addresses similarity);
     There are no designations of approved refrigerants on the 
outdoor unit nameplate; or.
     The outdoor unit is shipped requiring more than two pounds 
of charge when tested according to the test procedure (e.g., with 25 
feet of interconnecting lines), unless (a) an A2L refrigerant is listed 
as approved on the nameplate, or (b) the factory charge listed on the 
nameplate is 70 percent or more of the outdoor unit's internal 
refrigerant circuit volume times the density for 95 [deg]F refrigerant 
liquid.
    DOE agrees with JCI and Goodman that outdoor units approved for use 
with refrigerants similar to HCFC-22 (other than R-407C) are likely to 
be intended for no-match use in the field. Hence, DOE is changing the 
criteria so that approval for use of any such refrigerant similar to 
HCFC-22 would make the outdoor unit subject to the no-match 
requirements. DOE does not find it likely that a large market for 
complete systems based on R-407C or other refrigerants similar to HCFC-
22 would likely emerge in the near future given the initial trends 
associated with introduction of R-407C products, as discussed section 
III.A.5.c. As suggested by ACEEE, NRDC, and ASAP (ACEEE, NRDC, and 
ASAP, No. 33 at p. 3), R-410A is nearly universally used as the 
refrigerant that has replaced HCFC-22 in CAC/HP systems. Other 
refrigerants approved by the EPA in its SNAP listing for acceptable 
substitutes in residential and light commercial air conditioning and 
heat pumps \9\ are rarely used in new split systems. DOE considered the 
approved refrigerants in the SNAP list and refrigerants understood to 
be suitable for use in HCFC-22 systems (``Refrigerants for R-22 
Retrofits'', No. 46 at p. 1) and developed an HCFC-22 similarity 
criterion that would apply for these likely replacement options. DOE 
determined that the HCFC-22 replacement refrigerants would be selected 
and no other refrigerant that is likely to be approved for use in new 
split systems would be selected if the saturation pressure associated 
with 95 [deg]F refrigerant temperature is within 18 percent of the 
pressure for HCFC-22. Hence, DOE adopts this as a criterion for no-
match status of an outdoor unit. DOE recognizes that there may be A2L 
refrigerants that would themselves have similar pressures that in 
future may be approved on EPA's SNAP list for these products. To ensure 
that transition from global warming refrigerants is not restricted, DOE 
acknowledges that some revisions to these requirements may need to be 
developed as manufactures start to adopt such refrigerants in new split 
systems. DOE will consider such testing and certification revisions and 
propose options in a future rulemaking.
---------------------------------------------------------------------------

    \9\ https://www.epa.gov/snap/acceptable-substitutes-residential-and-light-commercial-air-conditioning-and-heat-pumps.
---------------------------------------------------------------------------

    DOE is also revising the no-match criteria regarding dry shipping 
and required refrigerant addition as indicated above in response to 
manufacturer comments and additional research. First, DOE recognizes 
that where an installation requires long line sets, that a higher 
quantity of refrigerant may have to be added. DOE agrees with Goodman's 
suggestion to base this limit on a standardized scenario, specifically 
the addition of charge in a DOE test, for which 25 feet of refrigerant 
lines are specified. Second, DOE has adopted the exception associated 
with small-volume outdoor coils (factory charge 70 percent or more than 
the coil internal volume times refrigerant density) suggested by 
Goodman. However, DOE reviewed its own available test data for CAC/HP 
systems and determined that, for tests in which the added charge 
quantities were clearly recorded, a large percentage of tests required 
addition of 1 pound or more of refrigerant. Review of the data showed 
that nearly all of the tests could be conducted with the addition of 
less than 2 pounds of refrigerant. Hence, DOE is revising the charge 
addition requirement accordingly. First Company's comments addressed 
differences in indoor coil volumes, but did not provide specific 
information regarding the potential differences in charge that could be 
associated with different coil sizes--the additional pound doubles the 
allowed charge addition for a unit before requiring a no-match test 
and, based on DOE test experience, is sufficient to address nearly all 
tested systems. Because these systems were charged without 
consideration of this new requirement and would likely have required 
less charge addition if pre-charged with the limit in mind, and also 
considering that at least one manufacturer (Goodman) agreed with the 
one-pound limit on the basis of additional clarifications that DOE has 
adopted (the low-coil-volume exclusion and clarification that the limit 
applies for ratings testing), DOE believes that the finalized criteria 
are sufficiently flexible to avoid requiring no-match testing for any 
outdoor units that should not be tested this way.
    DOE also acknowledges the issues associated with A2L refrigerants 
and small-volume heat exchanger technologies. DOE agrees with Goodman's 
suggestions for providing exceptions to the no-match requirements in 
these cases and has adopted the suggestions in this final rule.
f. NGIFS
    In the July 2016 final rule, DOE set requirements for the indoor 
units that are used in tests of outdoor units with no match. 81 FR at 
37065 (June 8, 2016). The August SNOPR proposed extension of this 
requirement to additional types of outdoor units with no match. 81 FR 
at 58170 (Aug. 24, 2016).
    AHRI and Nortek commented that it will not always be the case that 
outdoor units with no match are a result of the phase-out of R-22 
refrigerant and that in the future there will be a transition between 
nonflammable and mildly flammable refrigerants. They further suggested 
that when higher GWP refrigerants, such as R-410A are phased out, there 
will likely be a period of time when R-410A condensing units will be 
sold as outdoor units with no match, and that they will likely be 
shipped dry. AHRI and Nortek commented that while a NGIFS no higher 
than 1.0 sq.in./Btu/hr may be representative of R-22 units circa 2006, 
NGIFS of 1.0 makes no sense for R-410A, resulting in energy 
measurements that are not representative of the unit in the field. 
(AHRI, No. 27 at p. 5-6; Nortek, No. 22 at p. 5) Ingersoll Rand 
commented similarly. (Ingersoll Rand, No. 38 at p. 2) Ingersoll Rand 
further commented that the NGIFS definition is only appropriate for \3/
8\'' tube coils and cannot be used for coils with smaller

[[Page 1436]]

diameter tubes or with microchannel heat exchangers. Ingersoll Rand 
commented that NGIFS does not account for fin design or tube pattern 
which affects heat transfer, and its adoption will create the potential 
for testing loopholes in the future. Ingersoll Rand commented that it 
would be better to set a limit on coil cabinet volume based on coils 
sold in the 5 years prior to the elimination of a refrigerant. 
(Ingersoll Rand, No. 38 at p. 2)
    DOE acknowledges that the old indoor units that are matched with 
no-match outdoor units in field installations will not always be old 
HCFC-22 indoor units. DOE will consider adjustments to the no-match 
requirements consistent with available information in a future 
rulemaking. However, DOE does not necessarily agree that a phaseout of 
high GWP refrigerants will by itself mean a step change of the existing 
population of indoor units to characteristics typical of more recent R-
410A systems. Consideration will have to be given to whether the NGIFS 
value is allowed to rise to reflect representative field conditions or 
whether there are alternative approaches that would be more effective 
in addressing issues associated with installation of no-match outdoor 
units.
    In response to Ingersoll Rand's comment regarding applicability of 
NGIFS, DOE responds that the vast majority of indoor units that are 
field-matched with no-match outdoor units have \3/8\-in OD tubing. 
Further, DOE selected the NGIFS value based on the assumption that 
manufacturers would use enhanced fin surfaces (e.g., lanced, louvered, 
wavy) for such tests. DOE also notes that such surfaces were in general 
use during the time period before phaseout of HCFC-22 for new systems. 
(See, e.g., page 1-11 of the 1997 technical support document for room 
air conditioners, which indicates that such surfaces were in use for 
central air conditioners at the time, https://www1.eere.energy.gov/buildings/appliance_standards/pdfs/tsdracv2.pdf.)
6. Representation Limitations for Independent Coil Manufacturers
    In the June 2016 final rule, DOE adopted language in 10 CFR 429.16 
specifying that a basic model may only be certified as compliant with a 
regional standard if all individual combinations within that basic 
model meet the regional standard for which that basic model would be 
certified and that an ICM cannot certify a basic model containing a 
representative value that is more efficient than any combination 
certified by an OUM containing the same outdoor unit. 81 FR at 37050 
(June 8, 2016).
    Based on letters submitted by several stakeholders (Docket No. 
EERE-2016-BT-TP-0029-0006, -0005, and -0003), in the August 2016 SNOPR, 
DOE proposed to remove the sentence: ``An ICM cannot certify a basic 
model containing a representative value that is more efficient than any 
combination certified by an OUM containing the same outdoor unit.'' and 
replace it with the following language in 10 CFR 429.16(a)(4)(i): An 
ICM cannot certify an individual combination with a rating that is 
compliant with a regional standard if the individual combination 
includes a model of outdoor unit that the OUM has certified with a 
rating that is not compliant with a regional standard. Conversely, an 
ICM cannot certify an individual combination with a rating that is not 
compliant with a regional standard if the individual combination 
includes a model of outdoor unit that an OUM has certified with a 
rating that is compliant with a regional standard. 81 FR at 58172 (Aug. 
24, 2016)
    AHRI, Nortek, Unico, First Co., ADP, ACEEE, NRDC, and ASAP, 
Ingersoll Rand, Rheem, Carrier, Lennox, and JCI supported DOE's 
proposal. (AHRI, No. 27 at p. 7; Nortek, No. 22 at p. 7; Unico, Inc., 
No. 30 at p. 2; First Co, No. 21 at p. 3; ADP, No. 23 at p. 3; ACEEE, 
NRDC, and ASAP, No. 33 at p. 5; Ingersoll Rand, No. 38 at p. 3; Rheem, 
No. 37 at p. 2; Carrier/UTC, No. 36 at p. 4; Lennox, No. 25 at p. 11; 
JCI, No. 24 at p. 9; ADP, Public Meeting Transcript, No. 20 at p. 143) 
Therefore, in this final rule, DOE is adopting this language as 
proposed.
7. Reporting of Low-Capacity Lockout for Air Conditioners and Heat 
Pumps With Two-Capacity Compressors
    In the August 2016 SNOPR, DOE proposed to require that the lock-out 
temperatures for both cooling and heating modes for CAC/HPs with two-
capacity compressors be provided in the certification report. 81 FR 
58163, 58172 (Aug. 24, 2016).
    NEEA commented that they strongly support the proposed reporting 
requirement. (NEEA, No. 35 at p. 2) AHRI, Nortek, Ingersoll Rand, JCI, 
and Carrier/UTC commented that low-capacity lockout for air 
conditioners and heat pumps with two-capacity compressors is considered 
intellectual property, and that they are concerned about the 
possibility of reverse engineering products if this information is 
publicly reported. (AHRI, Public Meeting Transcript, No. 20 at p. 101; 
AHRI, No. 27 at p. 7; Nortek, No. 22 at p. 8; Ingersoll Rand, No. 38 at 
p. 3; JCI, No. 24 at p. 17-18; Carrier/UTC, No. 36 at p. 3)
    In the existing requirements and the requirements proposed in the 
August 2016 SNOPR, DOE lists product-specific items that needs to be 
included in certification reports in 10 CFR 429.16(e), with subsection 
(2) listing public items, and subsection (4) listing additional items 
that would not be posted to DOE's public certification database. DOE 
notes that it included the proposal to require reporting the outdoor 
temperature(s) at which the unit locks out low capacity operation 
(where applicable) in proposed Sec.  429.16(e)(4) of the August 2016 
SNOPR. Because, under the proposal, the item would not be posted to 
DOE's public certification database, DOE is maintaining this 
requirement in this final rule.
8. Represented Values of Cooling Capacity
    In the August 2016 SNOPR, DOE proposed to revise the regulatory 
text in three locations (10 CFR 429.16(b)(3), 10 CFR 429.16(d), 10 CFR 
429.70(e)(5)(iv)) to allow a one-sided tolerance on cooling and heating 
capacity that allows underrating of any amount, but only overrating up 
to 5 percent (i.e., the certified capacity must be no greater than 105 
percent of the mean measured capacity or the output of the AEDM), as 
intended in the June 2016 final rule. As adopted in the June 2016 final 
rule, DOE would still use the mean of the measured capacities in its 
enforcement provisions.
    AHRI, Mitsubishi, Rheem, Carrier, JCI, Nortek, Ingersoll Rand, ADP, 
Lennox, and Goodman opposed DOE's proposal for tolerance on cooling 
capacity. They commented that the same rules that apply to efficiency 
should be applied to capacity, where manufacturers should be permitted 
to rate cooling and heating capacity only as high as the tested value 
or AEDM output. (AHRI, No. 27 at p. 7; Mitsubishi, No. 29 at p. 2; 
Rheem, No. 37 at p. 2; Carrier/UTC, No. 36 at p. 4; JCI, No. 24 at p. 
9; Nortek, No. 22 at p. 8; Ingersoll Rand, No. 38 at p. 3; ADP, No. 23 
at p. 3-4; Lennox, No. 25 at p. 6; Goodman, No. 39 at p. 12; Carrier/
UTC and Lennox, Public Meeting Transcript, No. 20 at p. 145) 
Additionally, Carrier commented that de-rating capacity would result in 
a consumer getting more capacity than expected but that overrating 
capacity as suggested in this proposal would result in a loss to the 
consumer. In addition, the double sided tolerance would statistically 
result in much higher risk for manufacturers. (Carrier/UTC, No. 36

[[Page 1437]]

at p. 4; Carrier/UTC, Public Meeting Transcript, No. 20 at p. 144)
    ACEEE, NRDC, ASAP supported the use of one-sided tolerance tests 
where possible, stating that there may be legitimate business reasons 
to label and sell units that are more efficient than their certified 
values and that consumers can only be pleased if a product does better 
than claimed. (ACEEE, NRDC, and ASAP, No. 33 at p. 5)
    Unico commented that they strongly support one-sided tolerance for 
capacity, without which a manufacturer cannot rate conservatively. 
Unico stated that it recognizes that, for some product classes other 
than small-duct high-velocity, there is a very small chance that a 
manufacturer could conservatively rate a system with the express intent 
to avoid testing with a slightly higher external static pressure. Unico 
believes the advantage that this provides is insignificant. (Unico, 
Inc., No. 30 at p. 2)
    NEEA commented that they do not necessarily support the proposal, 
stating that they were not able to ascertain if DOE's one-sided 
tolerance for capacity reporting would result in a system being rated 
with a lower building load as a result of reporting an overly 
conservative value, and thus an overrated cooling and/or heating 
performance. (NEEA, No. 35 at p. 2)
    First Co. agreed with DOE's proposal to allow one sided tolerance 
on represented values of cooling and heating capacity, but commented 
that the proposed language in Sec.  429.70(e)(5)(iv) does not 
accurately reflect DOE's intention. First Co. believes that in the 
first sentence after the words ``. . . by more than 5 percent'' the 
text should read ``or tests worse than its certified cooling capacity 
by more than 5 percent.'' (First Co, No. 21 at p. 3)
    DOE understands that overrating capacity could result in a loss to 
the consumer and could put the manufacturer at risk. In response to the 
comments received, in this final rule DOE is revising the tolerance on 
cooling capacity to be similar to the tolerance on efficiency, where 
the cooling capacity should be less than or equal to the lower of: (1) 
The mean of the sample and (2) the lower 90 percent confidence limit of 
the true mean divided by 0.95; or less than or equal to the AEDM 
output. DOE agrees with Unico that conservatively rating to gain some 
advantage is not a significant risk. In response to NEEA, DOE notes 
that the building loads, calculated by sections 4.1 and 4.2 of both 
appendix M and appendix M1 of the August 2016 SNOPR, use the tested 
heating and cooling capacities, not the rated capacities. Therefore, 
there is no concern of overrating cooling or heating performance.
    In response to First Co.'s comments, DOE notes that the August 2016 
SNOPR, Sec.  429.70(e)(5)(iv), regarding AEDM verification testing, 
inadvertently stated that DOE would notify a manufacturer that a unit 
fails to meet its certified rating if the tested cooling capacity is 
greater than 105 percent of its certified cooling capacity. In this 
final rule, the section has been revised to indicate DOE will notify a 
manufacturer that a unit fails to meet its certified rating if the 
tested cooling capacity is lower than its certified cooling capacity. 
This is consistent with DOE's revisions to its tolerance on cooling 
capacity.
9. New Efficiency Metrics
    During the August 2016 Public Meeting, EEI, PG&E, Goodman, Rheem, 
and Unico recommended renaming the efficiency metrics whose values will 
be altered as compared to the current metrics, which includes HSPF, 
SEER, and EER. The purpose of this would be to help avoid confusion in 
the marketplace and to allow more relevant utility incentive programs. 
(EEI, PG&E, Goodman, Rheem, and Unico, Public Meeting Transcript, No. 
20 at pp. 85-91)
    Additionally, EEI submitted a written comment suggesting that a new 
efficiency acronym be used under the revised test procedure in order to 
avoid market confusion and to ensure that consumers are aware that 
significant changes have been made in how heat pumps are tested and 
rated. EEI suggested the use of several specific acronyms. (EEI, No. 
34, page 6) The California IOUs similarly commented that the proposed 
changes to appendix M1 efficiency ratings are so substantial that they 
should be given new descriptors. The California IOUs stated that value 
changes will cause confusion in the marketplace unless they are re-
labeled as ``EER2,'' ``SEER2,'' and ``HSPF2,'' or with other labels 
determined by DOE to be appropriate. (California IOUs, No. 32 at p. 5)
    In response to the comments, in this final rule, DOE is creating 
new efficiency metrics to represent cooling and heating performance 
whose values will be altered as compared to the current metrics. The 
new metrics include seasonal energy efficiency ratio 2 (SEER2), which 
will replace seasonal energy efficiency ratio (SEER); energy efficiency 
ratio 2 (EER2), which will replace energy efficiency ratio (EER); and 
heating seasonal performance factor 2 (HSPF2), which will replace 
heating seasonal performance factor (HSPF). These labels are consistent 
with those used in the CAC/HP ECS Working Group Term Sheet. New 
efficiency metrics SEER2, EER2, and HSPF2 reflect the changes in the 
test procedure in appendix M1 that result in change in the measured 
efficiency values. The definitions for these metrics are identical to 
those for the original metrics except that they are determined in 
accordance with appendix M1 instead of in accordance with appendix M.

B. Amendments to Appendix M Testing To Determine Compliance With the 
Current Energy Conservation Standards

    Under EPCA, any test procedure that DOE prescribes or amends shall 
be reasonably designed to produce test results which measure energy 
efficiency and energy use of a covered product during a representative 
average use cycle or period of use. (42 U.S.C. 6293(b)(3)) In the 
August 2016 SNOPR, DOE proposed several revisions to appendix M to 
subpart B of 10 CFR part 430 to improve the test representativeness and 
repeatability. 81 FR 58164 (Aug. 24, 2016) In addition, DOE held a 
public meeting at DOE headquarters in Washington, DC, on August 26, 
2016 (Public Meeting Transcript, Docket No. EERE-2016-BT-TP-0029-0020). 
Based on the comments DOE received from the August 2016 Public Meeting 
and from the August 2016 SNOPR comment period, DOE is modifying its 
approach and adopting revisions to its procedures in Appendix M, which 
is independent of Appendix M1.
1. Measurement of Off Mode Power Consumption: Time Delay for Units With 
Self-Regulating Crankcase Heaters
    In the August 2016 SNOPR, DOE proposed revisions to the off-mode 
test procedure imposing time delays to allow self-regulating crankcase 
heaters to approach equilibrium before making measurements. DOE 
proposed a 4-hour time delay for units without compressor sound 
blankets and an 8-hour time delay for units with compressor sound 
blankets. 81 FR at 58173 (Aug. 24, 2016)
    In the SNOPR public meeting, JCI commented that adding four or 
eight hour time delays is a substantial testing burden and requested 
that DOE consider developing an approach to predict the final values 
without much extra test time. They reiterated this request in written 
comments and suggested that a time-based correlation developed by 
manufacturers could be built into the AEDM for the off-mode metric. 
(JCI, Public Meeting Transcript, No. 20 at p. 31; JCI, No. 24 at p. 10)

[[Page 1438]]

    AHRI and Nortek commented that they generally support establishing 
delay time but were concerned that manufacturers would have to retest 
all units again within 180 days of the publication of the final rule so 
soon after initiating off-mode testing after the June 2016 final rule 
first established the off-mode test procedures. AHRI asserted that this 
revision represents a significant and unnecessary testing burden. AHRI 
suggested that DOE should either allow the off-mode rating to be based 
on appendix M modifications finalized in the June 2016 Final Rule (DOE 
assumes this is a request to clarify that products tested within 180 
days of the June 8 final rule need not be retested again using the time 
delays) or move this revision to appendix M1 (AHRI, No. 27 at p. 8; 
Nortek, No. 22 at pp. 8-9). Carrier commented that the estimated time 
to implement this change would be at least six additional months 
(Carrier, No. 36 at p. 5). Rheem disagreed with the implementation time 
frame because this change will double the testing time and supported 
moving the change to appendix M1 (Rheem, No. 37 at p. 2). Ingersoll 
Rand commented that completing all the required testing would extend 
beyond the effective date (Ingersoll Rand, No. 38 at p. 3).
    ACEEE, NRDC, and ASAP commented that DOE's approach to the thermal 
response delay issue for self-regulating crankcase heaters seems 
reasonable and responsive, but also sub-optimal considering that the 
measured self-regulating heater's power at the end of the specified 
delay times could be higher or lower with compressors having more or 
less thermal mass. ACEEE, NRDC, and ASAP recommended that DOE allow 
manufacturers to select alternative delay times if shorter or longer 
delays are required for specific models. (ACEEE, NRDC, and ASAP, No. 33 
at p. 6).
    Lennox, the CA IOUs and NEEA supported DOE's proposal. (Lennox, No. 
25 at p. 11; CA IOU, No. 32 at p. 4; NEEA, No. 35 at p. 2)
    DOE agrees that this additional delay time requirement could change 
the off-mode power measurement for some tested combinations that 
manufacturers may have already tested using the test procedure of the 
June 2016 Final Rule. DOE does not intend to introduce unnecessary test 
burden due to the close timing between the June 2016 Final Rule and 
this final rule. Therefore, DOE has decided to remove this requirement 
from appendix M and adopt it only in appendix M1. As for JCI's 
suggestion to develop a time-based correlation to allow prediction of 
the final measurement based on the trend in the measurement over a 
limited time period, DOE does not have sufficient test data to be 
confident that such an approach would provide a predictable result. In 
fact, depending on the equation used to fit the curve created by the 
first few data points, the details of the particular compressor design, 
and the history of testing just prior to conducting an off-mode test, 
DOE is concerned that a wide range of results might be obtained for any 
given unit, including a prediction of infinite wattage. DOE understands 
JCI's concern and agrees that such an approach could be considered in 
the future with more analysis and testing to validate an approach. 
Hence, DOE will not adopt a shortened test using curve fitting to 
predict ultimate off-mode power input. Regarding JCI's mention of an 
AEDM for off-mode, DOE does not regulate what analytic evaluation can 
be used in an AEDM--there is nothing in the AEDM requirements that 
would prevent a manufacturer from adopting an AEDM that uses the 
results of a shortened test as its input, as long as the requirements 
in 10 CFR 429.16 and 429.70 are satisfied. Thus, this notice does not 
adopt a shortened test procedure using curve fitting and prediction to 
determine off-cycle power input for systems with self-regulating 
crankcase heaters.
    DOE received no comment suggesting different time delays than those 
proposed by DOE. Hence, DOE has adopted in appendix M1 the proposed 
time delays for measurement of off-mode power for units with self-
regulating crankcase heaters or heater systems in which the crankcase 
heater control is affected by the heater's heat.
    In addition, DOE notes that the August 2016 SNOPR inadvertently 
included in the regulatory text a certification requirement for the 
duration of the crankcase heater time delay for the shoulder season and 
heating season, if such time delay is employed. DOE does not actually 
require this information and has not adopted this requirement in the 
final rule.
2. Refrigerant Pressure Measurement Instructions for Cooling and 
Heating Heat Pumps
    In the August 2016 SNOPR, DOE proposed limiting the internal volume 
of the pressure measurement system (i.e. the pressure gauge or 
transducer and the capillary tube and tube fittings connecting the 
transducer to the refrigerant lines) at pressure measurement locations 
that may switch from liquid to vapor state when changing operating 
modes and for all locations for systems undergoing cyclic tests for 
cooling/heating heat pumps. Specifically, DOE proposed the limit to be 
0.25 cubic inch per 12,000 Btu/h. DOE also proposed the default 
internal volumes to be assigned to pressure transducers and gauges of 
0.1 and 0.2 cubic inches, respectively, if transducer or gauge 
datasheets do not provide their internal volume. 81 FR at 58174 (Aug. 
24, 2016)
    During the 2016 August Public Meeting, Carrier commented that 
manufacturers typically test with up to six pressure transducers and 
the proposed limit would prohibit the level of testing during 
manufacturers' development stage and limit the number of pressure 
transducers to two. Carrier requested a reconsideration of the 
tolerance. (Carrier, Public Meeting Transcript, No. 20 at pp. 70-75)
    AHRI requested clarification of ``locations where the refrigerant 
state changes from liquid to vapor for different parts of the test.'' 
AHRI commented that it is standard industry practice to place pressure 
taps with capillary tubes at six locations and advised that one of its 
members reported that, in their test chambers, the average internal 
volume of each pressure line is 0.91 cubic inches. Hence, AHRI asserts 
that DOE's proposed limit is too tight, such that the allowed number of 
pressure transducers would be zero for a unit that has a capacity less 
than 3 tons, and only one for larger-capacity units. In addition, AHRI 
commented that, for a cyclic test, the refrigerant state change occurs 
so quickly during transient startup that the effects (if any) will be 
within the tolerance of the measuring equipment. According to AHRI, for 
steady-state tests of units with the cooling mode restrictor located in 
the outdoor unit, there are at most two locations where the refrigerant 
state changes from liquid to two-phase between heating and cooling. 
AHRI's comment provided a table showing the refrigerant states at the 
six typical measurement locations for a cooling/heating heat pump 
having two expansion devices (one each in the indoor and outdoor units) 
for four test scenarios: Cooling steady-state, cooling transient start-
up, heating steady-state, and heating transient start-up. The comment 
provided a similar table showing the refrigerant states for a heat pump 
with a single expansion device in the outdoor unit. In these tables, 
the transient startup scenario entries were all ``two-phase''. In 
addition, the only differences in refrigerant state between steady-
state heating and steady-state cooling were highlighted in the single-
expansion-device table for the liquid

[[Page 1439]]

service valve and indoor coil inlet locations. AHRI commented that the 
refrigerant weight difference (e.g., associated with transfer of 
refrigerant in and out of the pressure lines) is extremely small 
(particularly considering standard charging conditions in the field), 
and would have a negligible effect on the system performance. AHRI 
requested that DOE eliminate restrictions on pressure transducer 
internal volume or increase them significantly in order to ensure 
proper system analysis. (AHRI, No. 27 at pp. 8-11) JCI, Carrier, 
Ingersoll Rand and Goodman concurred with AHRI's comment. (JCI, No. 24 
at p. 10-12; Carrier/UTC, No. 36 at p. 5-6; Ingersoll Rand, No. 38 at 
p. 3; Goodman, No. 39 at p. 9) Ingersoll Rand further requested that 
there be clarification that this requirement would apply only to 
assessment and enforcement testing, not for developmental testing. 
(Ingersoll Rand, No. 38 at p. 3)
    Lennox commented that this proposal is not practical or in 
alignment with current practice for either manufacturer or audit 
testing, and requested DOE remove or extensively revise this 
requirement to align with current practices. (Lennox, No. 25 at p. 12) 
Rheem disagreed with DOE's proposal, and commented that the amount of 
refrigerant trapped in pressure measuring devices can be adequately 
accounted for through proper refrigerant charging instructions. (Rheem, 
No. 37 at p. 3) Unico agreed there should be volume limits but did not 
have a comment on the value. Unico commented that most systems have a 
high tolerance for charging while some systems, particularly systems 
with microchannel coils, have a very low tolerance. (Unico, No. 30 at 
p. 3) ACEEE, NRDC, and ASAP appreciated DOE's interest but stated that 
it could not judge whether the proposed volumetric limits are the right 
ones. (ACEEE, NRDC, and ASAP, No. 33 at p. 6) The CA IOUs agreed with 
DOE's proposal (CA IOU, No. 32 at p. 4)
    DOE has considered all of the comments received and is making 
revisions based on those comments. First, DOE agrees that the transient 
startup phase of a cyclic test may be sufficiently short that any 
transfer of refrigerant in or out of the pressure lines at this time 
could have very little impact on measured cyclic performance. The 
scenario for cyclic test performance enhancement at the end of the on 
cycle discussed in the August 2016 SNOPR could still occur (see 81 FR 
at 58174 (Aug. 24, 2016)), but there is no data available to 
demonstrate that this effect is significant.
    DOE notes that the tables provided in the AHRI comment showing 
refrigerant states at different refrigerant circuit locations represent 
states in the refrigerant lines and not in the pressure measurement 
systems, which could be different. For example, while the refrigerant 
state is always vapor at the discharge location during steady-state 
operation, the pressure measurement system is at a lower temperature 
than the saturation temperature associated with the prevailing pressure 
level. Hence, the vapor in the pressure line will condense. The 
condensed liquid may flow out of the capillary line back into the 
system, but this is unlikely if the pressure measurement system is 
lower than the measurement location. Also, it is somewhat unclear 
whether surface tension inside a small-diameter capillary tube would 
impede the flow of condensed liquid back into the system, or whether 
the vapor flowing into the system to replace the liquid would hold up 
the liquid's return flow. DOE considered the potential states within 
the pressure measurement systems rather than at the measurement 
locations when evaluating the potential for refrigerant transfer 
between steady-state operating modes. DOE made some reasonable 
assumptions for this assessment, making liberal assumptions where there 
is some doubt about what will occur--specifically, DOE did not assume 
that for the above scenario that liquid return flow to the system would 
be impeded. DOE's assessment of likely refrigerant states for a single-
expansion-valve heat pump is summarized in Table III-1. The table adds 
a seventh potential refrigerant circuit location, between the outdoor 
coil and the expansion valve, which DOE expects that some manufacturers 
may monitor during developmental testing to determine subcooling 
achieved during cooling mode operation.

                         Table III-1--Refrigerant States in Pressure Measurement Systems for a Single-Expansion-Valve Heat Pump
--------------------------------------------------------------------------------------------------------------------------------------------------------
           Operating mode                               Steady-state cooling                                      Steady-state heating
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pressure measurement system above or
         below tap location                      Above                        Below                        Above                        Below
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Compressor Discharge.............  Vapor......................  Liquid **..................  Vapor......................  Liquid **.
2. Between Outdoor Coil and           Liquid.....................  Liquid.....................  Vapor *....................  Two-phase.
 Expansion Valve.
3. Liquid Service Valve.............  Vapor *....................  Two-phase..................  Liquid.....................  Liquid.
4. Indoor Coil Inlet................  Vapor *....................  Two-phase..................  Liquid.....................  Liquid.
5. Indoor Coil Outlet...............  Vapor......................  Vapor......................  Vapor......................  Liquid **.
6. Common Suction Port (i.e. vapor    Vapor......................  Vapor......................  Vapor......................  Liquid **.
 service valve).
7. Compressor Suction...............  Vapor......................  Vapor......................  Vapor......................  Vapor.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Any liquid that enters the pressure measurement system will evaporate because the system is at a warmer temperature than the saturation temperature
  associated with the pressure.
** Liquid will condense in the pressure measurement system because the system is at a cooler temperature than the saturation temperature associated with
  the pressure, and will not drain back into the refrigeration circuit.

    DOE notes that the liquid that might transfer out of one pressure 
measurement system as the operating mode switches from cooling to 
heating may transfer into another pressure measurement system and 
therefore not affect total charge operating within the refrigerant 
circuit. Also, because of the large density difference between liquid 
and vapor, DOE believes that the charge in the pressure measurement 
system would be negligible if the refrigerant within it is two-phase or 
vapor. Hence, the likely transfer of refrigerant out of the 
refrigeration circuit as the system switches from cooling to heating 
would be equal to the liquid density (calculated for 100 [deg]F bubble 
point conditions) multiplied by the volume differential obtained by 
adding the volumes of the downward-run pressure measurement systems at 
locations 5 and 6 (as designated in Table III-1) to the volumes of any 
pressure measurement systems at locations 3 and 4 and subtracting the 
volume of any pressure measurement system at location 2. For

[[Page 1440]]

a system with two expansion valves, the transferred refrigerant would 
represent only the volumes of downward-run pressure measurement systems 
at locations 5 and 6.
    DOE realizes the refrigerant transfer could be mitigated by complex 
phenomena occurring within the pressure measurement systems, some of 
which, for example surface tension, are mentioned above. Another 
mitigating phenomenon would be the filling of the pressure measurement 
system with compressor oil, which would displace any refrigerant that 
might transfer into it. Hence, DOE is relaxing the requirement proposed 
in the August 2016 SNOPR in new section 2.2.g (see 81 FR at 58207 (Aug. 
24, 2016)) that the volume differentials listed above represent no more 
than 0.5 percent of refrigerant charge. DOE is instead adopting a 
requirement in section 2.2.g that the volume differential represent no 
more than 2 percent of the charge listed on the outdoor unit nameplate. 
Basing the limit on the outdoor unit nameplate charge will provide more 
flexibility for pressure measurement systems for those heat pumps that 
have more charge and would hence be less sensitive to this issue. 
However, due to the uncertainty regarding the actual potential behavior 
regarding refrigerant transfer, DOE also is imposing a pressure 
measurement system volume limit of 1 cu. in. for location 2 for single-
expansion-device heat pumps, in order to prevent a test laboratory from 
using a very large volume for this location to offset the volumes of 
locations 3, 4, 5, and 6.
    For a two-expansion-device heat pump with pressure measurement 
systems at locations 5 and 6 above the pressure tap locations, this 
approach imposes no volume limits. Also, for single-expansion-valve 
heat pumps with pressure measurement systems at locations 5 and 6 above 
the pressure tap locations and the volume at locations 2 offsetting the 
volumes at locations 3 and 4, there will also be no volume limit, other 
than the 1 cu. in. limit at location 2. DOE believes that these 
revisions to the proposal will allow manufacturers to make pressure 
measurements at the locations typically used for development and 
ratings testing while also providing some assurance that unforeseen 
impacts associated with refrigerant transfer between operating modes 
will be mitigated. However, DOE notes that the test procedure is for 
determining the performance of the product for the purpose of 
efficiency representations, not for development testing. DOE does not 
require pressure measurements installed at all 7 locations indicated in 
Table III-1. If manufacturers require use of pressure lines for 
development testing that exceed the volume requirements, they have the 
option of using isolation valves to isolate the tap locations not 
needed for ratings tests as the test transitions from development to 
determination of ratings for purposes of certifying compliance with 
applicable standards. Another option is to use pressure transducers 
that are more resistant to the temperature changes that occur in the 
test chamber. In any case, DOE may consider revisions to the 
requirements in the future if testing shows that they can be revised 
further to both improve test repeatability and allow more flexibility 
in making pressure measurements.
3. Revised EER and COP Interpolation Method for Units Equipped With 
Variable-Speed Compressors
    In the August 2016 SNOPR, DOE proposed to require use of bin-by-bin 
interpolations for all variable-speed units (including variable-speed 
multi-split and multi-head mini-split systems), to calculate 
performance when operating at an intermediate compressor speed to match 
the building cooling or heating load. This method consists of using 
interpolation of EER or COP for each temperature bin based on the 
estimates of capacity and power input for the specific bin temperature. 
(EER is equal to cooling capacity divided by power input, while COP is 
proportional to heating capacity divided by power input.) 81 FR at 
58175 (Aug. 24, 2016)
    Nortek, JCI, Mitsubishi, Carrier, Rheem, Ingersoll Rand and AHRI 
expressed support for DOE's proposal but stated concerns that it would 
impact ratings and would, as a result, be more appropriate for 
inclusion in appendix M1 as opposed to Appendix M. (Nortek, No. 22 at 
p. 9; JCI, No. 24 at p. 12; Mitsubishi, No. 29 at p. 2; Carrier, No. 36 
at p. 6; Rheem, No. 37 at p. 3; Ingersoll Rand, No. 38 at p. 4; AHRI, 
No. 27 at p. 11) AHRI also commented that its members were in the 
process of collecting data on the impact this proposed change would 
have on ratings and committed to providing additional information to 
the Department within 30 days of the close of the comment period. 
(AHRI, No. 27 at p. 11) DOE notes that the additional data were not 
provided. Goodman also requested DOE implement this change as part of 
appendix M1. (Goodman, No. 39 at p. 6) Unico recommended that this 
proposal be moved to appendix M1, and if it remains as an appendix M 
change, DOE should allow that the higher rating of both methods be 
used, but only if the bin-by-bin method results in a failure. (Unico, 
No. 30 at p. 3-4) Lennox, CA IOU, ACEEE, NRDC, and ASAP, and NEEA all 
supported DOE's proposal. (Lennox, No. 25 at p. 12; CA IOU, No. 32 at 
p. 4; ACEEE, NRDC, and ASAP, No. 33 at p. 6; NEEA, No. 35 at p. 2)
    Central air conditioning heat pumps include single-speed, two-
speed, and variable-speed products, all within the same product class 
that when tested in accordance with the DOE test procedure will have 
different measured efficiencies. Pursuant to 42 U.S.C. 6293(e), DOE is 
required to determine to what extent, if any, the proposed test 
procedure would alter the measured efficiency of the covered product. 
DOE proposed changes to the interpolation method for variable speed 
units only. For single-speed and two-speed products there would be no 
change in measured efficiency because they would not be impacted by 
this change in test procedure. However, variable-speed products would 
be impacted by this change in test procedure, so the measured 
efficiency would change.
    Where an amended test procedure would alter measured efficiency, 
EPCA requires DOE to amend an energy conservation standard by 
measuring, under the amended test procedure, a sample of representative 
products that minimally comply with the standard. In this case, 
minimally compliant units are those with single-speed technology. 
Consistent with the statute, DOE has tested a representative sample of 
covered products that minimally comply with the existing standard. EPCA 
requires that the amended standard should constitute the average of the 
energy efficiency of those units, determined under the amended test 
procedure. As a result of that testing, DOE has determined that there 
is no change in measured average energy efficiency for single-speed 
units between the current test procedure and the amended test 
procedure. Thus, under 42 U.S.C. 6293(e)(2), the amended standard 
applicable to the amended test procedure and the current standard 
applicable to the amended test procedure are the same. As a result, DOE 
does not need to amend the existing standard to require that 
representations of variable-speed heat pumps be based on the amended 
test procedure in appendix M.
    If DOE were to include this change in appendix M, Goodman requested 
that DOE allow industry up to two years to re-test and re-calculate 
SEER and HSPF, by either modifying the implementation date for this 
provision or by issuing a policy of non-enforcement for this provision. 
(Goodman, No. 39 at p. 6) DOE notes that this proposal would not

[[Page 1441]]

require additional testing. The proposed change only impacts how 
ratings are calculated based on the new interpolation method, not the 
data that is measured or how it is measured. If manufacturers have test 
data that is otherwise valid under the amended test procedure, there 
would be no reason to retest solely because of the change in the way 
represented values for variable speed heat pumps are calculated.
    Several commenters suggested that because the change to bin-by-bin 
interpolation for variable speed heat pumps might cause changes in 
ratings, DOE should not require the new method in Appendix M. 
Commenters did not explain why a simple change in ratings would warrant 
a decision to postpone the change in method, but DOE has considered 
three possibilities. First, commenters may be concerned about the work 
to comply with the new method. However, as noted above, the new 
interpolation method is only a matter of calculation; it will require 
no new tests. DOE believes that the burden of recalculation using 
existing test data will be minimal; Appendix M will specify how to 
perform the bin-by-bin interpolation, and relatively simple revision to 
a spreadsheet would suffice to implement this method as a substitute 
for the quadratic method required under the prior test procedure. 
Second, commenters may be concerned about the cost of revising labels 
and other representation documents to reflect the new ratings. Third, 
some commenters may object because if the new method results in a 
decreased rating, that change will make the affected models appear less 
efficient to potential buyers.
    With respect to these second and third concerns, DOE believes that 
the inaccuracy of the current method warrants the change. As the August 
2016 SNOPR explained, the quadratic interpolation method can produce 
inaccurate results. For HSPF the quadratic method can produce a value 
up to 7.9% different from what the bin-by-bin method produces (and DOE 
regards the latter as more accurate). Thus, for some equipment the 
rated HSPF is overstated, with respect to a fair measure of efficiency, 
by as much as 7.9%. A buyer using such equipment would consume 7.9% 
more energy, at 7.9% more cost, than expected based on the rating. DOE 
believes that amount is a significant difference. By contrast, the 
regulation requires a represented cooling capacity to be within 5% of 
the average measured cooling capacities, and it permits rounding of 
figures to approximately 1% precision (200 Btu/h for a 20,000 Btu/h 
system). Using 1% and 5% as indicators of what amount of error in a 
rating is significant, DOE believes it is important to correct an 
interpolation method that generates, for some models, larger errors. Of 
course, if a rating based on the old method is still valid--including 
by being within the regulation's tolerances with respect to 
recalculated values--a manufacturer could choose whether or not to 
revise the rating.
    For these reasons, DOE is adopting this proposal both in appendix M 
and appendix M1 in this final rule.
4. Outdoor Air Enthalpy Method Test Requirements
    In the August 2016 SNOPR, DOE proposed modifications to 
requirements when using the outdoor air enthalpy method as the 
secondary test method, including that the official test be conducted 
without the outdoor air-side test apparatus connected. 81 FR at 58175-
58176 (Aug. 24, 2016)
    During the August 26, 2016 public meeting, Carrier suggested that 
the proposal to require a heat balance only for the full-load cooling 
test and, for a heat pump, the full-load heating test be extended to 
other secondary capacity measurement methods, including to use of the 
refrigerant enthalpy method. Carrier contended that it can be difficult 
to get an energy balance for some operating conditions, particularly 
for variable-speed systems, when there is insufficient subcooling or 
superheat.\10\ (Carrier, Public Meeting Transcript, No. 20 at pp. 38-
39) Ingersoll Rand agreed with this suggestion; Goodman also agreed and 
indicated that the issue applies for tests of single-stage, two-stage, 
and variable-speed systems for the heating mode test conducted in 17 
[deg]F outdoor temperature. (Ingersoll Rand, Public Meeting Transcript, 
No. 20 at p. 39; Goodman, Public Meeting Transcript, No. 20 at p. 40)
---------------------------------------------------------------------------

    \10\ In this context, subcooling refers to the difference 
between the saturated temperature associated with the pressure of 
the refrigerant liquid exiting the outdoor unit (in cooling mode) 
and the temperature of the liquid. Similarly, superheat refers to 
the difference between the temperature of the refrigerant exiting 
the indoor unit (in cooling mode) and the saturated temperature 
associated with the pressure of this refrigerant. The enthalpy of 
the refrigerant at these locations generally cannot be determined if 
these values are zero.
---------------------------------------------------------------------------

    JCI, Lennox, Carrier, Ingersoll Rand, Goodman and AHRI agreed with 
DOE on this proposal but recommended that the ducted test be a 30-
minute test. (JCI, No. 24 at p. 12; Lennox, No. 25 at p. 12; Carrier, 
No. 36 at p. 7; Ingersoll Rand, No. 38 at p. 4; Goodman, No. 39 at p. 
13; AHRI, No. 27 at p. 11-12) Carrier, Ingersoll Rand, Goodman and AHRI 
also suggested DOE similarly only require balance checks for the 
A2 and H12 (or H1N) tests for the 
refrigerant enthalpy method. (Carrier, No. 36 at p. 7; Ingersoll Rand, 
No. 38 at p. 4; Goodman, No. 39 at p. 13; AHRI, No. 27 at p. 11-12) In 
addition, AHRI and Ingersoll Rand suggested DOE eliminate the five 
consecutive readings for verifying the primary capacity measurements. 
(AHRI, No. 27 at p. 11-12; Ingersoll Rand, No. 38 at p. 4) CA IOU and 
Rheem agreed with DOE's proposal. (CA IOU, No. 32 at p. 4; Rheem, No. 
37 at p. 3)
    DOE agrees that validation of proper capacity measurement for 
cooling and heating modes for full-load operation is sufficient to show 
that the indoor air enthalpy method is being applied properly and gives 
an accurate measurement. Hence, use of the secondary method and 
achieving an energy balance for all load levels in each operating mode 
is not necessary. DOE notes that systems with capacity greater than 
135,000 Btu/h are tested without any requirement for a secondary 
capacity check. (American Society of Heating Refrigeration, and Air-
Conditioning Engineers (``ASHRAE'') Standard 37-2009 (``ASHRAE 37-
2009''), which is incorporated by reference into the DOE test 
procedures for both residential and commercial air conditioners, 
indicates in Table 1 that a single method is used for systems with a 
cooling capacity greater than 135,000 Btu/h.) Further, DOE believes 
this modification will help to reduce test burden. The situation 
discussed in the public meeting and written comments, in which, when 
using the refrigerant enthalpy method as the secondary test method, a 
heat balance cannot be calculated for some conditions due to subcooling 
or superheat being too low, would technically make completion of a 
valid test impossible, according to the current test procedure, without 
resorting to an alternative secondary method. DOE recognizes that use 
of different secondary methods for different parts of the test would 
significantly increase test burden. Hence, DOE is modifying the test 
procedure to require use of a secondary capacity measurement that 
agrees with the primary capacity measurement to within 6 percent only 
for the cooling full load test and, for heat pumps, for the heating 
full load test.
    DOE has decided to change the names for ``ducted'' and ``non-
ducted'' outdoor air enthalpy methods to avoid confusion with certain 
product types. Specifically, DOE is adopting the new name ``free 
outdoor air test'' for non-ducted outdoor air enthalpy test, and 
``ducted outdoor air test'' for ducted outdoor air enthalpy test. In 
this final rule, DOE is also

[[Page 1442]]

adopting a 30-minute ducted outdoor air test with measurements at five-
minute intervals, and eliminating from section 3.11.1.2 the requirement 
of five consecutive readings for verifying primary capacity 
measurements.
    DOE's proposed changes to outdoor air enthalpy method requirements 
in the August 2016 SNOPR included revision to section 3.11.1.2 that 
removed the reference to section 8.6.2 of ASHRAE 37-2009. 81 FR at 
58209 (Aug. 24, 2016). However, the key points of section 8.6.2 still 
apply for the revised approach for the outdoor air enthalpy method. The 
finalized test procedure retains the reference to this section.
5. Certification of Fan Delay for Coil-Only Units
    In the August 2016 SNOPR DOE proposed to amend its certification 
report requirements to require coil-only ratings to specify whether a 
time delay is included, and if so, the duration of the delay used. DOE 
proposed to use the certified time delay for any testing to verify 
performance. 81 FR at 58176 (Aug. 24, 2016)
    Nortek, Ingersoll Rand, Carrier, JCI, Rheem, Goodman and AHRI 
suggested that the certification of the indoor fan off delay should not 
be public information. (Nortek, No. 22 at p. 2; Ingersoll Rand, No. 38 
at p. 3; Carrier, No. 36 at p. 7; JCI, No. 24 at p. 13; Rheem, No. 37 
at p. 3; Goodman, No. 39 at p. 12; AHRI, No. 27 at p. 12) ADP agreed 
that the duration of the indoor fan time delay needs to be specified 
but should be a part of the public product-specific information. ADP 
commented that making this information public improves the accuracy of 
ICM AEDM ratings. (ADP, No. 23 at p. 4) Lennox and ACEEE, NRDC, and 
ASAP supported DOE's proposal. (Lennox, No. 25 at p. 12; ACEEE, NRDC, 
and ASAP, No. 33 at p. 6)
    DOE understands that manufacturers want to keep fan delay setting 
information private. Given that DOE proposed to require this 
information in the section of additional product-specific information 
that would not be posted to DOE's public certification database, DOE 
has decided to adopt this proposal in this final rule. In response to 
ADP, DOE will address concerns regarding reporting for ICMs through a 
separate process.
6. Normalized Gross Indoor Fin Surface Area Requirements for Split 
Systems
    To help ensure that the test procedure results in ratings that are 
representative of average use, in the August 2016 SNOPR DOE, proposed 
to include a provision that would prevent testing certain combinations 
that are not representative of single-split systems with coil-only 
indoor units that are commonly distributed in commerce. Specifically, 
DOE proposed to limit the normalized gross indoor fin surface (NGIFS) 
for the indoor unit used for single-split-system coil-only tests to no 
greater than 2.0 square inches per British thermal unit per hour 
(sq.in./Btu/hr). NGIFS is equal to total fin surface multiplied by the 
number of fins and divided by system capacity. 81 FR at 58177 (Aug. 24, 
2016)
    In the August 2016 Public Meeting, Ingersoll Rand commented that it 
did a rough calculation for a micro channel heat exchanger and 
determined the NGIFS to be 0.81. Ingersoll Rand commented that this 
indicates that there are problems with looking at today's technology 
and coming up with a value for NGIFS. Ingersoll Rand further commented 
that in coming up with a value for NGIFS, it needs to be ensured that 
doing so does not create issues or loopholes. (Ingersoll Rand, Public 
Meeting Transcript, No. 20 at p. 45) Rheem commented that there needs 
to be further study on the 2.0 value of NGIFS before making a decision 
in order to not limit future efficiencies. (Rheem, Public Meeting 
Transcript, No. 20 at p. 46) Carrier/UTC similarly commented that there 
may be unforeseen consequences of limiting design options that 
manufacturers will have to comply with the efficiency standards. 
(Carrier/UTC, Public Meeting Transcript, No. 20 at pp. 47-48) Rheem 
also commented that due to the complexity of the issue, the NGIFS 
criteria should go in appendix M1, not in appendix M. (Rheem, Public 
Meeting Transcript, No. 20 at p. 46) Johnson Controls commented that 
units that are above 2.0 today would need to be retested, and the 
ratings for these units would most likely change. JCI commented that 
for this reason, they believe that the proposal for NGIFS belongs in 
appendix M1, not in appendix M. (JCI, Public Meeting Transcript, No. 20 
at pp. 50-51) Allied commented that the values that DOE is proposing 
are reasonable, but that there are further considerations associated 
with the different technologies that apply. Allied also commented that, 
based on their review, future standard levels could be even more 
stringent and still allow some latitude in design approaches. (Allied, 
Public Meeting Transcript, No. 20 at pp. 49-50) JCI also commented that 
usually normalized values do not have dimensions and questioned whether 
the proposal takes into account fin and tube spacing. (JCI, Public 
Meeting Transcript, No. 20 at pp. 56-59)
    Nortek and AHRI opposed DOE's proposal and commented that DOE does 
not have the authority to regulate the design of residential central 
air-conditioners and heat pumps, so all NGIFS restrictions should be 
removed from both appendix M and M1. AHRI commented that AHRI would 
like to aid the Department to address this ``golden blower'' issue in a 
way which does not put restrictions on design and is both refrigerant 
and technology neutral. AHRI proposed to develop a solution within 30 
days of the close of the August 2016 SNOPR comment period, but they did 
not provide additional input. (Nortek, No. 22 at p. 10; AHRI, No. 27 at 
p. 12)
    JCI commented that while DOE stated in the SNOPR that the 2.0 limit 
of NGIFS does not affect 95% of tested combinations, this also showed 
there are current systems that will not be compliant. JCI expressed 
concern that if such changes are made to appendix M, standards 
adjustments would be required. JCI recommended that DOE limit NGIFS in 
M1 only and the DOE recommended value of 2.5 appears to be a valid 
target. (JCI, No. 24 at p. 13)
    Lennox commented that while it is reasonable to use \3/8\'' round 
tube, plate fin coil in the NGIFS definition for outdoor units with no 
match, DOE must revise the definition for other split system products 
because there are other tube diameters and technologies used across the 
industry. Lennox recommended that DOE expand the definition to include 
all tube types and fin surfaces. Lennox supported DOE's proposal on the 
NGIFS calculation and proposed limit. (Lennox, No. 25 at p. 6-8) 
Carrier opposed DOE's proposal to limit NGIFS for the indoor unit and 
preferred DOE not restrict design options as that could impact consumer 
choices when different refrigerants are used in the future or lessen a 
manufacturer's ability to optimize for hot dry climates. Additionally, 
Carrier commented that this proposal does not address microchannel 
coils or any other coil tube diameter besides \3/8\''. (Carrier, No. 36 
at p. 7)
    Rheem objects to the limitation of a fixed value for NGIFS and 
proposed that indoor coil area should be determined by balancing with 
the outside coil area. (Rheem, No. 37 at p. 3-4) Ingersoll Rand opposed 
the proposed NGIFS limit because it is only appropriate for 3/8'' tube 
coils. Ingersoll Rand commented that it would be better to set a limit 
on coil cabinet volume based on coils sold in the 5 years prior to the 
elimination of a refrigerant. (Ingersoll Rand, No. 38

[[Page 1443]]

at p. 4) Goodman also expressed concern that this requirement on the 
tested combination may inhibit future designs and did not support the 
proposed restrictions. Goodman suggested that some requirements in 
cabinet width might be appropriate and that DOE and AHRI should work 
together to develop a reasonable restriction. (Goodman, No. 39 at p. 7-
8)
    ACEEE, NRDC, and ASAP supported DOE's proposal and also suggested 
DOE should consider the input of manufacturers who may have a few 
models designed for hot, dry climates where the apparent evaporator 
surface oversizing can improve rated performance. (ACEEE, NRDC, and 
ASAP, No. 33 at p. 6) CA IOU and NEEA agreed with DOE's proposal. (CA 
IOU, No. 32 at p. 4; NEEA, No. 35 at p. 3)
    In response to JCI, valid normalized values may have units. For 
example, energy efficiency ratio is a normalized value representing 
capacity per electric power input with units of British thermal units 
(Btu) per Watt-hour (Btu/W-h). Additionally, the NGIFS does take into 
consideration the fin spacing--the number of fins, Nf, is a 
parameter in the equation to determine NGIFS. As an example, consider 
two indoor coils with the same finned length--the coil with the higher 
fin density will have more fins and thus a higher NGIFS. It is true, 
however, that NGIFS does not include the impact of tube spacing.
    Addressing the Ingersoll Rand and Allied comments, DOE acknowledges 
that NGIFS does not provide as good a representation of the heat 
transfer performance of microchannel indoor coils as that of 
conventional tube-fin indoor coils, and the development of an 
appropriate equivalent value for this newer technology will be 
important in order to prevent loopholes in the requirement. However, 
DOE is not aware of any significant current market share of systems 
using microchannel indoor coils, and so good information to use as the 
basis for development of NGIFS limits for this technology is not yet 
available. Further, the likely lower value of NGIFS for microchannel 
coils will mean that imposing a limit based on conventional coil 
technology would not limit use of microchannel coils before a better 
approach is developed. DOE has not developed an appropriate approach at 
the moment, but could consider adopting an NGIFS approach for 
microchannel indoor coils in a future rulemaking.
    Because DOE's NGIFS analysis for coil-only systems does not 
consider tube diameters other than \3/8\ inches and fin types other 
than plate fins, as well as the units currently on the market that 
would not meet the 2.0 NGIFS limit (e.g. as indicated by the JCI 
comment), the proposed approach does not resolve DOE's concern while 
maintaining a reasonable test procedure for units with different 
designs. Accordingly, DOE is not adopting the NGIFS requirement in this 
final rule for either appendix M or appendix M1. DOE will consider how 
best to address this issue in the future.
7. Modification to the Test Procedure for Variable-Speed Heat Pumps
    The August 2016 SNOPR proposed changes to the test procedure of 
appendix M for variable-speed heat pumps to allow more flexibility in 
the design and testing of these products. 81 FR at 58177-79 (Aug. 24, 
2016). The June 2016 final rule imposed restrictions on the compressor 
speeds that could be used in testing, indicating that full speed must 
be the same speed for all heating mode operating conditions. DOE 
adopted this approach based on the observation that extrapolation of 
performance outside of the range of conditions used for testing can 
lead to unreasonable results if the speeds are allowed to be different 
for the different test conditions. 81 FR at 37029 (June 8, 2016). 
However, the final rule discussed stakeholder comments regarding heat 
pumps that improve heating mode performance by using different 
compressor speeds at lower ambient temperatures, and indicated that 
consideration would be given in the future to test procedure revisions 
that would better address their operation. Id. In the August SNOPR, DOE 
proposed a test procedure revision that would allow testing of heat 
pumps whose compressors operate at higher speeds in lower ambient 
temperatures. 81 FR at 58177-58179 (Aug. 24, 2016). Specifically, DOE 
proposed the following amendments for appendix M.
     A 47[emsp14][deg]F full-speed test used to represent the 
heating capacity would be required and designated as H1N. 
However, the 47[emsp14][deg]F full-speed test would not have to be 
conducted using the same compressor speed (determined based on 
revolutions per minute (RPM) or power input frequency) as the full-
speed tests conducted at 17[emsp14][deg]F and 35[emsp14][deg]F ambient 
temperatures, nor at the same compressor speeds used for the full-speed 
cooling test conducted at 95[emsp14][deg]F. For appendix M, the 
compressor speed for the 47[emsp14][deg]F full-speed test would be at 
the manufacturer's discretion, except that it would have to be no lower 
than the speed used in the 95[emsp14][deg]F full-speed cooling test. 
Prior to the June 2016 final rule amendments, the heating capacity was 
represented either by the H12 test (for which the compressor 
speed guidance was not explicit), or, if a manufacturer chose to 
conduct what was then the optional H1N test, this latter 
test (using the same compressor speed as the full-speed cooling mode 
test) represented the heating capacity. Under the proposal in the 
August SNOPR, heating capacity would be represented only by the 
H1N test, which would be mandatory, while the compressor 
speed would be at the manufacturer's discretion within a range from the 
speed used for the 95[emsp14][deg]F full-speed cooling test to the 
speed used for the full-speed 17[emsp14][deg]F test.
     The full-speed tests conducted at 17[emsp14][deg]F and 
35[emsp14][deg]F ambient temperatures would still have to use the same 
speed, which would be the maximum speed at which the system controls 
would operate the compressor in normal operation in a 17[emsp14][deg]F 
ambient temperature, although the 35[emsp14][deg]F full-speed test 
would remain optional.
     It would be optional to conduct a second full-speed test 
at 47[emsp14][deg]F ambient temperature at the same compressor speed as 
used for the 17[emsp14][deg]F test, if this speed is higher than the 
speed used for the H1N test described in this preamble. This 
test would be designated the H12 test. Because DOE does not 
expect that an H1N test would ever use a higher compressor 
speed than used for the full-speed 17[emsp14][deg]F test, the proposed 
test procedure would not provide for this situation.
     If no 47[emsp14][deg]F full-speed test were conducted at 
the same speed as used for the 17[emsp14][deg]F full-speed test, 
standardized slope factors for capacity and power input would be used 
to estimate the performance of the heat pump for the 47[emsp14][deg]F 
full-speed test point for the purpose of calculating HSPF.
     The capacity measured for the H1N test would be 
used in the calculation to determine the design heating requirement.
    In addition, DOE proposed that the H1N test, at 
47[emsp14][deg]F ambient temperature, be conducted to represent nominal 
heat pump heating capacity, but that there would be no specific 
compressor speed requirement associated with it for appendix M, except 
that it be no lower than the speed used for the 95[emsp14][deg]F full-
speed cooling test. Under the proposal, if the H1N test did 
not use the same speed as is used for the 17[emsp14][deg]F full-speed 
heating test, it would affect the HSPF calculation only through its 
influence on the design heating requirement, since the standardized 
slope factors would be used to represent full-speed heat pump 
performance. 81 FR at 58179 (Aug. 24, 2016)

[[Page 1444]]

    A number of manufacturers and AHRI recommended the proposed changes 
should be part of appendix M1 rather than appendix M. (Rheem, Public 
Meeting Transcript, No. 20 at pp. 54-55; Rheem, No. 37 at p. 4; 
Carrier, No. 36 at p. 2; Nortek, No. 22 at p. 11; AHRI, No. 27 at p. 
13; Mitsubishi, No. 29 at p. 2-3) Carrier commented at the public 
meeting that the proposals may be good, but that there had not been 
sufficient time to thoroughly review them, adding that a key concern is 
avoiding any potential need to retest products. (Carrier/UTC, Public 
Meeting Transcript, No. 20 at pp. 55). Unico recommended moving the 
slope factor change and the proposal for compressor speed at 
47[emsp14][deg]F test to appendix M1. (Unico, No. 30 at p. 4)
    JCI recommended the proposal that the H12 test be 
conducted at maximum speed should be made optional, and the use of 
slope factors should be permitted if the test is not run. JCI commented 
that the standardized slope factors predict performance fairly closely, 
but can lower the HSPF by as much as 0.5 HSPF, and requested to move 
this change to M1. Additionally, JCI objected to DOE's proposal on 
H1N test and commented that if a manufacturer wishes to rate 
the heating capacity of their units at 47[emsp14][deg]F at a speed 
above the A2 speed, they should be permitted to do so. (JCI, 
No. 24 at p. 14)
    Goodman supported DOE's proposal to require a full-speed test at 
47[emsp14][deg]F to be designated H1N. However, Goodman does 
not support the proposal to mandate that the compressor speed for this 
test be equal to or higher than the cooling full compressor speed. In 
addition, although Goodman generally supported DOE's proposal regarding 
the standardized slope factors to be used if no 47[emsp14][deg]F test 
is run using the same compressor speed as the H32 test, 
Goodman commented that the datasets DOE's contractor have used to set 
the standardized slopes are not appropriate. According to Goodman, 
developing ratios of capacity based on certified heating capacities can 
lead to errors because ratings might be conservative. Further, Goodman 
asserted that it would be possible for models to be counted more than 
once, or that a limited number of an appropriate cross section of 
representative models would be included. Additionally, according to 
Goodman, varying technologies could have different slopes. Goodman 
suggested that DOE work with AHRI and manufacturers to review real test 
data. Goodman also supported the optional 5[emsp14][deg]F test and 
suggested DOE to take a further step to provide an optional 
5[emsp14][deg]F test for two-speed and single-speed heat pumps. 
(Goodman, No. 39 at p. 5-7)
    AHRI suggested that a test procedure similar to triple-capacity 
heat pumps should be made an optional procedure for variable-speed heat 
pumps. (AHRI, No. 27 at p. 13)
    EEI strongly recommended that the 5[emsp14][deg]F test and any 
additional considered test should remain optional. EEI also suggested 
that DOE should require tests and information be published for all 
furnaces and boilers at the same temperatures as for heat pumps. (EEI, 
No. 34 at p. 2)
    Carrier supported DOE's modification to allow the H1N 
speed to be any speed between the 17[emsp14][deg]F full heating speed 
and 95[emsp14][deg]F full cooling speed. (Carrier, No. 36 at p. 8)
    Lennox, ACEEE, NRDC, and ASAP, and NEEA supported DOE's proposals 
for revising the variable-speed heat pump test methods in appendix M. 
(Lennox, No. 25 at p. 13; ACEEE, NRDC, and ASAP, No. 33 at p. 7; NEEA, 
No. 35 at p. 3)
    DOE considered the requests to move the proposed variable-speed 
heat pump test method amendments to appendix M1 and other detailed 
comments regarding specific aspects of the amendments. DOE revised part 
of its proposal as discussed later in this section. DOE's intention 
with the changes to the variable-speed heat pump test procedure of 
appendix M was to allow the tests conducted previously (i.e., prior to 
the effective date of the June 2016 final rule) to still be used to 
represent heat pump performance, while preventing use of extrapolation 
of the performance below 17[emsp14][deg]F using the results of tests 
conducted at different speeds at 17[emsp14][deg]F and 47[emsp14][deg]F. 
For this reason, DOE is not finalizing some aspects of its proposal for 
appendix M, and instead is finalizing them only for appendix M1.
    DOE believes that the standardized slope factors (or use of same-
speed tests, if a manufacturer does prefer to retest rather than use 
the standardized slope factors) would provide more accurate 
representation of heat pump performance. As discussed in section 
III.B.3, pursuant to 42 U.S.C. 6293(e), DOE is required to determine to 
what extent, if any, the proposed test procedure would alter the 
measured efficiency of the covered product. DOE proposed changes to 
heating mode test procedure for variable speed units only. For single-
speed and two-speed products there would be no change in measured 
efficiency because they would not be impacted by this change in test 
procedure. However, variable-speed products would be impacted by this 
change in test procedure, so the measured efficiency may change.
    Where an amended test procedure would alter measured efficiency, 
EPCA requires DOE to amend an energy conservation standard by 
measuring, under the amended test procedure, a sample of representative 
products that minimally comply with the standard. In this case, 
minimally compliant units are those with single-speed technology. 
Consistent with the statute, DOE has tested a representative sample of 
covered products that minimally comply with the existing standard. EPCA 
requires that the amended standard should constitute the average of the 
energy efficiency of those units, determined under the amended test 
procedure. As a result of that testing, DOE has determined that there 
is no change in measured average energy efficiency for single-speed 
units between the current test procedure and the amended test 
procedure. Thus, under 42 U.S.C. 6293(e)(2), the amended standard 
applicable to the amended test procedure and the current standard 
applicable to the amended test procedure are the same. As a result, DOE 
does not need to amend the existing standard to require representations 
of variable-speed heat pumps to be based on the amended test procedure 
in appendix M. Therefore, DOE is finalizing aspects of its proposal for 
appendix M, including the use of standardized slope factors, which 
might require recalculation of HSPF for variable-speed unit.
    DOE believes that Unico's comment about the ``changing the slope 
factors'' may have been a comment regarding the heating load line 
equation slope factor rather than the standardized slope factors 
associated with the appendix M variable speed heat pump proposal. If 
so, the change was proposed only for appendix M1. If not, DOE's 
discussion regarding the standardized slope factors in the above 
paragraph responds to Unico's comment.
    Based on the comments received, DOE concluded that the proposal 
details that commenters believed would lead to a need to retest are (a) 
requiring the compressor speed for the H32 and 
H22 tests to be the maximum speed at which the system 
controls would operate the compressor in normal operation in a 
17[emsp14][deg]F ambient temperature, and (b) requiring the compressor 
speed for the H1N test to be no lower than the for the 
A2 test.
    To resolve the first of these issues, DOE is adopting this 
requirement in appendix M1, but not appendix M. However, for appendix 
M, DOE is amending the proposal to require that

[[Page 1445]]

the compressor speeds used for the H32 and H22 
tests be the same (if the optional H22 test is conducted), 
and will require that the compressor frequency that corresponds to 
maximum speed at which the system controls would operate the compressor 
in normal operation in a 17[emsp14][deg]F ambient temperature be 
provided in the certification reports. However, DOE will not post this 
information to DOE's public certification database. DOE has added this 
reporting requirement in 10 CFR 429.16(e).
    To resolve the second issue, DOE is revising its proposal to allow 
the compressor speed used for the H1N test to be lower than 
used for the A2 test, provided that the H1N 
capacity is no lower than the A2 cooling capacity. Goodman's 
comment regarding this issue states that it is normally the case that 
products on the market today have heating full compressor speed equal 
to or higher than the cooling full compressor speed, but Goodman 
believes this does not necessarily have to be the case. (Goodman, No. 
39 at p. 6) While DOE agrees that such a possibility could exist, this 
is not a very strong statement regarding the existence of heat pumps 
with lower heating speed. Goodman's comment continues with an 
explanation that achieving roughly equivalent capacity in heating mode 
at 47[emsp14][deg]F as in cooling mode at 95[emsp14][deg]F would likely 
provide better performance at lower ambient temperatures. Id. These 
statements suggest that a reasonable compromise would be to allow lower 
H1N speed than A2 speed as long as the 
H1N capacity is no lower, which is the approach that DOE has 
adopted in this final rule.
    Similarly, JCI's comment that the compressor speed for the 
H1N test be allowed to be higher than the A2 
speed is consistent with the previously-stated approach that DOE is 
adopting in this final rule.
    As for Goodman's suggestion regarding an optional 5[emsp14][deg]F 
test for two-speed and single-speed heat pumps, DOE discusses this in 
section III.C.4, as part of its discussion of amendments to appendix 
M1.
    With regard to AHRI's suggestion to add an optional test procedure 
for variable-speed heat pumps that is similar to the test for triple-
capacity heat pumps, DOE considered this suggestion, but is declining 
to adopt these optional tests in this final rule because stakeholders 
have not been given an opportunity to comment on them. However, DOE may 
consider such an option in the future. In response to EEI's comment on 
making the proposed 5[emsp14][deg]F test and any additional test points 
optional, DOE notes that it has not proposed nor adopted any new 
heating mode tests for heat pumps that are not optional, either in the 
June 2016 final rule, the August 2016 SNOPR, or this rulemaking.
    In response to JCI's comment that conducting the H12 
test at maximum speed should be made optional, DOE notes that this was 
optional as proposed and is optional in the test procedure adopted in 
this final rule.
    In response to Goodman's comment about rigorous review of test data 
to develop the standardized slope factors, DOE requested data or 
suggestions regarding how they should be changed. 81 FR at 58179 (Aug. 
24, 2016). However, such data were not provided. DOE notes that the 
standardized slope factors, which DOE derived from different data 
sources, some of which must have represented test data, were remarkably 
consistent. Further, if capacities reported for both 17[emsp14][deg]F 
and 47[emsp14][deg]F test points are conservative, it is not clear that 
there would be a dramatic difference in the calculated slope. 
Therefore, DOE has adopted the standardized slope factors proposed in 
the August 2015 SNOPR.
    Regarding EEI's comment that furnace performance should be provided 
at the same temperatures and for at least two temperatures for both 
furnaces and CAC/HP, DOE is reluctant to impose that additional 
reporting burden at this time. The capacity and steady-state efficiency 
for furnaces does not vary significantly as a function of outdoor 
temperature. Thus, DOE is not convinced that the additional information 
would be of significant value to consumers.
8. Clarification of the Requirements of Break-In Periods Prior to 
Testing
    In the August 2016 SNOPR, DOE proposed modifications to the test 
procedure to clarify the use of break-in, generalizing the requirement 
so that it applies regardless of who conducts the test, indicating that 
the break-in requirement applies for each compressor of the unit, and 
clarifying that the compressor(s) must undergo the certified break-in 
period (which may not exceed 20 hours) prior to any test period used to 
measure performance. 81 FR at 58179 (Aug. 24, 2016)
    During the August 2016 Public Meeting, Ingersoll Rand commented 
that DOE's proposed rule was unclear about whether a compressor change-
out is required if the compressor of a unit operates longer than the 
certified break-in period during product development or operation 
associated with test set-up prior to making the first measurement used 
to determine an efficiency representation. (Ingersoll Rand, Public 
Meeting Transcript, No. 20 at pp. 27-29).
    Many stakeholders commented that changing out compressors during 
testing is a significant burden. Nortek suggested that DOE extend the 
break-in period to 50 hours and allow the break-in to be conducted at 
ambient conditions. (Nortek, No. 22 at p. 11) ADP and Lennox commented 
that the 20 hour maximum should remain in place for any verification, 
enforcement or other non-development testing. ADP also suggested that 
the break-in period should be part of the public product-specific 
information so that ICMs can use this information for more accurate 
AEDM ratings. (ADP, No. 23 at p. 4; Lennox, No. 25 at p. 13) JCI 
suggested DOE allow up to 72 hours of break-in time and recommended 
allowing break ins to be conducted before installing the compressor in 
the unit, or to break in a system outside of the test cell. (JCI, No. 
24 at p. 14) AHRI provided data from two compressor manufacturers and 
suggested DOE extend the allowed break-in period to 72 hours and permit 
the break-in to be conducted at ambient conditions. Rheem supported 
AHRI. (AHRI, No. 27 at p. 13-15; Rheem, No. 37 at p. 4) Unico supported 
a 72-hour minimum break-in period and commented that it is easy to run 
the unit outside the test chamber. (Unico, No. 30 at p. 5) Emerson 
commented that longer break-in will ensure repeatability and improve 
stability of compressor performance. Emerson also included data for 
several compressors. (Emerson, No. 31 at pp. 1-2) Carrier suggested 
that DOE allow a 72-hour break-in period and allow break in outside of 
test chamber while running tests on other units. (Carrier, No. 36 at p. 
8-9) Ingersoll Rand, Goodman and the Joint Advocates commented that 
there is no technical reason to establish an upper limit for break-in. 
Goodman suggested to permit 72 hours of break-in. (Ingersoll Rand, No. 
38 at p. 4; Goodman, No. 39 at p. 8-9; Joint Advocates, No. 33 at p.7) 
NEEA supported DOE's proposed modification of the test procedure. 
(NEEA, No. 35 at p. 3)
    DOE does not intend to require a compressor change-out in the 
development test. Rather, the establishment of the 20-hour limit is to 
maintain test repeatability among labs regardless of who conducts the 
test. DOE notes that there is no requirement in the test procedure that 
the break-in has to be conducted in the psychrometric chamber, so 
manufacturers and technicians have an option, if needed, as to where 
break-in

[[Page 1446]]

is conducted. Finally, DOE adopted the 20-hour break-in limit in the 
June 2016 Final Rule, and the proposal in the August 2016 SNOPR was 
intended to clarify how this requirement applies for manufacturers and 
third party testing. Accordingly, DOE will not change the 20-hour limit 
in this final rule.
    In response to ADP's comments, DOE will discuss concerns about 
reporting requirements for ICMs through a separate process.
9. Modification to the Part Load Testing Requirement of VRF Multi-Split 
Systems
    In the August 2016 SNOPR, DOE proposed to remove the 5 percent 
tolerance for part load operation from section 2.2.3.a of appendix M 
when comparing the sum of nominal capacities of the indoor units and 
the intended system part load capacity for VRF multi-split units. 81 FR 
at 58179 (Aug. 24, 2016)
    DOE received no objections on this proposal, and adopts it in this 
final rule.
10. Modification to the Test Unit Installation Requirement of Cased 
Coil Insulation and Sealing
    In the August 2016 SNOPR, DOE proposed to remove the statement 
about insulating or sealing cased coils from appendix M, section 2.2.c, 
in order to avoid confusion regarding whether sealing of duct 
connections is allowed. 81 FR at 58180 (Aug. 24, 2016)
    DOE received no objections on this proposal, and adopts it in this 
final rule.
11. Correction for the Calculation of the Low-Temperature Cut-Out 
Factor for Single-Speed Compressor Systems
    Equation 4.2.1-3 in section 4.2.1 of appendix M, used for 
calculating the low-temperature cut-out factor for a blower coil system 
heat pump having a single-speed compressor and either a fixed-speed 
indoor blower or a constant-air-volume-rate indoor blower, or for a 
single-speed coil-only system heat pump, was incorrectly modified in 
the June 2016 final rule, in that the ``or'' initially in the equation 
was changed to an ``and''. 81 FR at 37107 (June 8, 2016). DOE was 
alerted to this issue in comments received in response to the notice of 
data availability (NODA) associated with the CAC/HP energy conservation 
standard rulemaking published October 27, 2016. 81 FR 74727. (Docket 
Number EERE-2014-BT-STD-0048, AHRI, No. 94 at p. 2; Unico, No. 95 at p. 
1) The equation originally used ``or''. This modification could have 
changed the range of temperature bins for which it is assumed that the 
heat pump function has cut out. DOE has corrected this issue in this 
rulemaking in appendix M and also has adopted the correct equation in 
appendix M1.
12. Clarification of the Refrigerant Liquid Line Insulation
    In the June 2016 Final Rule, DOE adopted clarifications for 
insulation requirements for the refrigerant lines in section 2.2(a) of 
appendix M. 81 FR at 37027 (June 8, 2016). In some cases, these 
requirements may indicate that the refrigerant lines should be 
uninsulated, exposed to the air. However, DOE notes that this 
requirement is not appropriate to apply for every inch of refrigerant 
line, particularly where it would conflict with the requirements in 
ASHRAE 41.1-1986 (RA 2006) (referenced in section 5.1.1 of ASHRAE 37-
2009, which is incorporated by reference, see Sec.  430.3). ASHRAE 
41.1-1986 (RA 2006) requires in sections 8.2 and 8.3 that it is 
acceptable to use surface temperature measurement for the refrigerant 
liquid temperature, but that insulating material extending to at least 
6 in. on each side of a surface temperature-measuring element should be 
installed on the line. The liquid temperature measurement may be 
essential, e.g. when the refrigerant enthalpy method is used as the 
secondary method (see section 2.10.3 of appendix M). Therefore, DOE has 
decided to clarify in the test procedure (in both appendices M and M1) 
that the refrigerant insulation requirement in section 2.2(a) does not 
apply for portions of the lines insulated according to the ASHRAE 41.1-
1986 (RA 2006) requirements for temperature measurement.
    Because this clarification simply addresses DOE's intention on how 
to correctly conduct the test procedure, DOE finds that there is good 
cause under 5 U.S.C. 553(b)(B) to not issue a separate notice to 
solicit public comment on this change.

C. Amendments to Appendix M1

    The November 2015 SNOPR proposed to establish a new appendix M1 to 
Subpart B of 10 CFR part 430, which would be required to demonstrate 
compliance with any new energy conservation standards. 80 FR at 69397 
(Nov. 9, 2015) In the August SNOPR, DOE continued to propose 
establishing a new appendix M1. Under DOE's proposal, the appendix 
would include all of the test procedure provisions in appendix M as 
finalized in the June 2016 final rule, all of the changes to appendix M 
that are finalized in this rulemaking as discussed in section III.B, 
and all of the additional changes discussed in this section III.C, 
which would be included only in the new appendix M1. DOE proposed to 
make appendix M1 mandatory for representations of efficiency starting 
on the compliance date of any amended energy conservation standards for 
CAC/HP (however, note the phase-in of testing requirements for certain 
proposed new requirements for split systems discussed in section 
III.A.1).
1. Minimum External Static Pressure Requirements
    Most of the residential central air conditioners and heat pumps in 
the United States use ductwork to distribute air in a residence, using 
either a fan inside the indoor unit or housed in a separate component, 
such as a furnace, to move the air. External static pressure (ESP) for 
a CAC/HP is the static pressure rise between the inlet and outlet of 
the indoor unit that is needed to overcome frictional losses in the 
ductwork. The external static pressure imposed by the ductwork affects 
the power consumed by the indoor fan, and therefore also affects the 
SEER and/or HSPF of a CAC/HP.
a. Conventional Central Air Conditioners and Heat Pumps
    The current DOE test procedure \11\ stipulates that certification 
tests for ``conventional'' CACs and heat pump blower coil systems 
(i.e., CACs and heat pump blower coil systems which are not small-duct, 
high-velocity systems) must be performed with an external static 
pressure at or above 0.10 in. wc. if cooling capacity is rated at 
28,800 Btu/h or less; at or above 0.15 in. wc. if cooling capacity is 
rated from 29,000 Btu/h to 42,500 Btu/h; and at or above 0.20 in. wc. 
if cooling capacity is rated at 43,000 Btu/h or more.
---------------------------------------------------------------------------

    \11\ Table 3 of 10 CFR part 430 subpart B appendix M.
---------------------------------------------------------------------------

    DOE did not propose revisions to minimum external static pressure 
requirements for conventional blower coil systems in the June 2010 test 
procedure NOPR, stating that new values and a consensus standard were 
not readily available.\12\ 75 FR 13223, 31228 (June 2, 2010). However, 
between the June 2010 test procedure NOPR and the November 2015 test 
procedure SNOPR, many stakeholders submitted comments citing data that 
suggested the minimum external static pressure requirements were too 
low and a value

[[Page 1447]]

of 0.50 in. wc. would be more representative of field conditions. These 
comments are summarized in the November 2015 test procedure SNOPR. 80 
FR at 69317-69318 (Nov. 9, 2015). Ultimately, in the November 2015 
SNOPR, DOE proposed to adopt, for inclusion into 10 CFR part 430, 
subpart B, appendix M1, for systems other than multi-split systems and 
small-duct, high-velocity systems, minimum external static pressure 
requirements of 0.45 in. wc. for units with a rated cooling capacity of 
28,800 Btu/h or less; 0.50 in. wc. for units with a rated cooling 
capacity from 29,000 Btu/h to 42,500 Btu/h; and 0.55 in. wc. for units 
with a rated cooling capacity of 43,000 Btu/h or more. DOE reviewed 
available field data to determine the external static pressure values 
it proposed in the November 2015 test procedure SNOPR. DOE gathered 
field studies and research reports, where publically available, to 
estimate field external static pressures. DOE previously reviewed most 
of these studies when developing test requirements for furnace fans. 
The 20 studies, published from 1995 to 2007, provided 1,010 assessments 
of location and construction characteristics of CAC and/or heat pump 
systems in residences, with the data collected varying by location, 
representation of system static pressure measurements, equipment's age, 
ductwork arrangement, and air-tightness.\13\ 79 FR 500 (Jan. 3, 2014). 
DOE also gathered data and conducted analyses to quantify the pressure 
drops associated with indoor coil and filter foulants.\14\ The November 
2015 test procedure SNOPR provides a detailed overview of the analysis 
approach DOE used to determine an appropriate external static pressure 
value using these data. 80 FR at 69318-69319 (Nov. 9, 2015). DOE did 
not consider revising the minimum external static pressure requirements 
for SDHV systems in the November 2015 test procedure SNOPR. DOE did, 
however, propose to establish a new category of ducted systems, short 
duct systems, which would have lower external static pressure 
requirements for testing. DOE proposed to define ``short duct system'' 
to mean ducted systems whose indoor units can deliver no more than 0.07 
in. wc. external static pressure when delivering the full load air 
volume rate for cooling operation. 80 FR at 69314. DOE proposed in the 
November 2015 SNOPR to require short duct systems to be tested using 
the minimum external static pressure previously proposed in the June 
2010 NOPR for ``multi-split'' systems: 0.03 in. wc. for units less than 
28,800 Btu/h; 0.05 in. wc. for units between 29,000 Btu/h and 42,500 
Btu/h; and 0.07 in. wc. for units greater than 43,000 Btu/h. 75 FR at 
31232 (June 2, 2010)
---------------------------------------------------------------------------

    \12\ In the June 2010 NOPR, DOE proposed lower minimum ESP 
requirements for ducted multi-split systems: 0.03 in. wc. for units 
less than 28,800 Btu/h; 0.05 in. wc. for units between 29,000 Btu/h 
and 42,500 Btu/h; and 0.07 in. wc. for units greater than 43,000 
Btu/h. 75 FR at 31232 (June 2, 2010).
    \13\ DOE has included a list of citations for these studies in 
the docket for the furnace fan test procedure rulemaking. The docket 
number for the furnace fan test procedure rulemaking is EERE-2010-
BT-TP-0010.
    \14\ Siegel, J., Walker, I., and Sherman, M. 2002. ``Dirty Air 
Conditioners: Energy Implications of Coil Fouling'' Lawrence 
Berkeley National Laboratory report, number LBNL-49757.
    ACCA. 1995. Manual D: Duct Systems. Washington, DC, Air 
Conditioning Contractors of America.
    Parker, D.S., J.R. Sherwin, et al. 1997. ``Impact of evaporator 
coil airflow in air conditioning systems'' ASHRAE Transactions 
103(2): 395-405.
---------------------------------------------------------------------------

    In response to the November 2015 SNOPR, the CAC/HP ECS Working 
Group members weighed in on appropriate minimum external static 
pressure requirements. (CAC ECS: CAC/HP ECS Working Group meeting, No. 
86 at pp. 31-128) Recommendation #2 of the CAC/HP ECS Working Group 
Term Sheet states that the minimum required external static pressure 
for CAC/HP blower coil systems other than mobile home systems, ceiling-
mount and wall-mount systems, low and mid-static multi-split systems, 
space-constrained systems, and small-duct, high-velocity systems should 
be 0.50 in. wc. for all capacities. (CAC ECS: ASRAC Term Sheet, No. 76 
at p. 2)
    In the August 2016 SNOPR, DOE proposed to adopt a minimum external 
static pressure requirement of 0.50 in. wc. for systems other than 
mobile home, ceiling-mount and wall-mount systems, low and mid-static 
multi-split systems, space-constrained systems, and small-duct, high-
velocity systems based on DOE's analysis and consistent with the CAC/HP 
ECS Working Group Term Sheet. 81 FR at 58181 (Aug. 24, 2016)
    During the August 2016 SNOPR public meeting and in written 
comments, many stakeholders expressed support for the new minimum 
external static requirements that DOE proposed. JCI, Goodman, Unico, 
AHRI, NEEA, Carrier/UTC, Lennox, Ingersoll Rand, and Nortek expressed 
support for DOE's proposal to require conventional systems to be tested 
at a minimum external static pressure of 0.5 in. wc. consistent with 
Recommendation #2 of the Term Sheet. (JCI, No. 24 at p. 15; Goodman, 
No. 39 at p. 13; Unico, No. 30 at p. 6; AHRI, No. 27 at p. 16; NEEA, 
No. 35 at p. 3; Carrier/UTC, No. 36 at p. 9; Lennox, No. 25 at p. 10; 
Ingersoll Rand, No. 38 at p. 5; Nortek, No. 22 at p. 11)
    In light of DOE's analysis results, the Term Sheet recommendation, 
and support expressed in written comments, DOE is adopting a minimum 
external static pressure of 0.50 in. wc. for all capacities of 
conventional CAC/HP products in this final rule.
b. Non-Conventional Central Air Conditioners and Heat Pumps
    In response to the November 2015 SNOPR and during the CAC/HP ECS 
Working Group negotiations, DOE also received comment regarding the 
minimum external static pressure requirements for mobile home systems, 
ceiling-mount and wall-mount systems, low and mid-static multi-split 
systems, space-constrained systems, and small-duct, high-velocity 
systems. 81 FR at 58181 (Aug. 24, 2016). The CAC/HP ECS Working Group 
included in its Final Term Sheet Recommendation #2, which is summarized 
in Table III-2. (CAC ECS: ASRAC Term Sheet, No. 76 at p. 2)

   Table III-2--CAC/HP ECS Working Group Recommended Minimum External
                   Static Static Pressure Requirement
------------------------------------------------------------------------
                                                 Minimum external static
              Product description                   pressure (in. wc.)
------------------------------------------------------------------------
All central air conditioners and heat pumps      0.50.
 except (2)-(7) below.
(2) Ceiling-mount and Wall-mount Blower Coil     TBD by DOE.
 System.
(3) Manufactured Housing Air Conditioner Coil    0.30.
 System.
(4) Low-Static System..........................  0.10.

[[Page 1448]]

 
(5) Mid-Static System..........................  0.30.
(6) Small Duct, High Velocity System...........  1.15.
(7) Space-Constrained..........................  0.30.
------------------------------------------------------------------------

    Recommendation #1 of the CAC/HP ECS Working Group included 
suggested definitions for distinguishing the CAC/HP varieties included 
in Recommendation #2 (Table III-2) to enable the proper administration 
of the CAC/HP ECS Working Group's recommended minimum external static 
pressure requirements.
    DOE agrees with the intent of Recommendation #1 and #2 of the CAC/
HP ECS Working Group Term Sheet because DOE recognizes that the CAC/HP 
varieties included in these recommendations have unique installation 
characteristics that result in different field external static pressure 
conditions, and in turn, indoor fan power consumption in the field. 
Consequently, in the August 2016 test procedure SNOPR, DOE proposed to 
adopt definitions similar to those that the CAC/HP ECS Working Group 
recommended for space-constrained systems, low-static systems, and mid-
static systems, as well as the recommended minimum external static 
pressure requirements for those products, to be more reflective of 
field conditions.
    In the August 2016 SNOPR, DOE proposed to adopt the following 
definitions for the CAC/HP varieties included in Recommendations #1 and 
#2 in the CAC/HP ECS Working Group Term Sheet, which are slightly 
modified versions of those suggested in the Term Sheet, but reflect the 
same intent:
     Ceiling-mount blower coil system means a split system for 
which the outdoor unit has a certified cooling capacity less than or 
equal to 36,000 Btu/h and the indoor unit is shipped with manufacturer-
supplied installation instructions that specify to secure the indoor 
unit only to the ceiling of the conditioned space, with return air 
directly to the bottom of the unit (without ductwork), having an 
installed height no more than 12 inches (not including condensate drain 
lines) and depth (in the direction of airflow) of no more than 30 
inches, with supply air discharged horizontally.
     Low-static blower coil system means a ducted multi-split 
or multi-head mini-split system for which all indoor units produce 
greater than 0.01 in. wc. and a maximum of 0.35 in. wc. external static 
pressure when operated at the cooling full-load air volume rate not 
exceeding 400 cfm per rated ton of cooling.
     Mid-static blower coil system means a ducted multi-split 
or multi-head mini-split system for which all indoor units produce 
greater than 0.20 in. wc. and a maximum of 0.65 in. wc. when operated 
at the cooling full-load air volume rate not exceeding 400 cfm per 
rated ton of cooling.
     Mobile home blower coil system means a split system that 
contains an outdoor unit and an indoor unit that meet the following 
criteria: (1) Both the indoor and outdoor unit are shipped with 
manufacturer-supplied installation instructions that specify 
installation only in a mobile home with the home and equipment 
complying with HUD Manufactured Home Construction Safety Standard 24 
CFR part 3280; (2) the indoor unit cannot exceed 0.40 in. wc. when 
operated at the cooling full-load air volume rate not exceeding 400 cfm 
per rated ton of cooling; and (3) the indoor unit and outdoor unit each 
must bear a label in at least \1/4\ inch font that reads ``For 
installation only in HUD manufactured home per Construction Safety 
Standard 24 CFR part 3280.''
     Wall-mount blower coil system means a split-system air 
conditioner or heat pump for which the outdoor unit has a certified 
cooling capacity less than or equal to 36,000 Btu/h and the indoor unit 
is shipped with manufacturer-supplied installation instructions that 
specify to secure the back side of the unit only to a wall within the 
conditioned space, with the capability of front air return (without 
ductwork) and not capable of horizontal airflow, having a height no 
more than 45 inches, a depth of no more than 22 inches (including 
tubing connections), and a width no more than 24 inches (in the 
direction parallel to the wall). 81 FR at 58181-58183 (Aug. 24, 2016)
    In response to the August 2016 test procedure SNOPR, NEEA, Lennox, 
AHRI, Ingersoll Rand, Goodman, Nortek and UTC/Carrier expressed support 
for DOE's proposed minimum external static pressure requirements and 
definitions for all product types. (NEEA, No. 35 at p. 3; Lennox, No. 
25 at p. 14; AHRI, No. 27 at p. 16; IR, No. 38 at p. 5; Goodman, No. 39 
at p. 13; Nortek, No. 22 at p. 12; UTC/Carrier, No. 36 at p. 9)
    In written comments, JCI, ADP and First Co. suggested that DOE 
modify its proposed definition for wall-mount blower coil system. JCI, 
ADP, and First Co. pointed out that these systems have common 
installations that do not meet DOE's proposed definition. JCI, ADP and 
First Co. stated that wall-mount units are not exclusively installed by 
securing the back of the unit to a wall within the conditioned space. 
Instead, wall-mount units are often mounted to adjacent wall studs or 
within an enclosure (e.g., a closet) such that the front side of the 
unit is flush with the wall of the conditioned space. JCI, ADP, and 
First Co. recommended that DOE modify the definition of wall-mount 
blower coil system to allow for these types of installations. (JCI, No. 
24 at p. 15; ADP, No. 23 at pp. 4-5; First Co., No. 21 at p. 4-5) ADP 
provided an example installation manual for an ADP wall-mount blower 
coil that provided instructions for the installation options mentioned. 
ADP suggested adding ``the ability'' and remove ``only'' from the 
proposed definition. (ADP, No. 23 at p 4) Mortex echoed ADP's suggested 
modifications to DOE's proposed definition for wall-mount blower-coil 
systems. (Mortex, No. 26 at p. 4)
    DOE recognizes that wall-mount units are often installed as JCI, 
ADP, Mortex, and First Co. describe in their comments. In this final 
rule, DOE is modifying the definition proposed in the August 2016 test 
procedure SNOPR to maintain the intent of the Term Sheet but also allow 
for the ``flush-mount'' installations described by JCI, ADP, Mortex and 
First Co. DOE is adopting the following modified definition for ``wall-
mount blower coil system'':

[[Page 1449]]

    Wall-mount blower coil system means a split-system air conditioner 
or heat pump for which (a) the outdoor unit has a certified cooling 
capacity less than or equal to 36,000 Btu/h; (b) the indoor unit(s) is/
are shipped with manufacturer-supplied installation instructions that 
specify mounting only by (1) securing the back side of the unit to a 
wall within the conditioned space, or (2) securing the unit to adjacent 
wall studs or in an enclosure, such as a closet, such that the indoor 
unit's front face is flush with a wall in the conditioned space; (c) 
has front air return without ductwork and is not capable of horizontal 
air discharge; and (d) has a height no more than 45 inches, a depth 
(perpendicular to the wall) no more than 22 inches (including tubing 
connections), and a width no more than 24 inches (parallel to the 
wall).
    In response to the August 2016 test procedure SNOPR, DOE received 
comment on its proposed definition for ceiling-mount blower coil 
system. In its comments, First Co. stated that these systems have 
common installations that do not meet DOE's proposed definition. 
According to First Co., ceiling-mount indoor units are often installed 
in a furred down space, which requires that return air comes into the 
back of the unit either through a duct or through the furred down 
space. DOE understands a furred down space to be an area below ceiling 
level that is enclosed and finished (e.g., using drywall and paint). 
First Co. also identified another common installation practice for 
ceiling-mount indoor units used in applications with dropped ceilings 
in which the indoor unit is equipped with an insulated box that is 
suspended such that the bottom of the unit is flush with the ceiling 
and return air comes into the bottom of the unit. First Co. recommended 
modifications to DOE's proposed definition for ceiling-mount blower 
coil system to allow for these other common installation types. (First 
Co., No. 21 at pp. 4-5)
    DOE recognizes that ceiling-mount units are often installed as 
First Co. describes. In this final rule, DOE is modifying the 
definition proposed in the August 2016 test procedure SNOPR to maintain 
the intent of the Term Sheet but also allow for the installations 
described by First Co. DOE is adopting the following modified 
definition for ``ceiling-mount blower coil system'':
    Ceiling-mount blower coil system means a split system for which (a) 
the outdoor unit has a certified cooling capacity less than or equal to 
36,000 Btu/h; (b) the indoor unit(s) is/are shipped with manufacturer-
supplied installation instructions that specify to secure the indoor 
unit only to the ceiling, within a furred-down space, or above a 
dropped ceiling of the conditioned space, with return air directly to 
the bottom of the unit without ductwork, or through the furred-down 
space, or optional insulated return air plenum that is shipped with the 
indoor unit; (c) the installed height of the indoor unit is no more 
than 12 inches (not including condensate drain lines) and the installed 
depth (in the direction of airflow) of the indoor unit is no more than 
30 inches; and (d) supply air is discharged horizontally.
    The CAC/HP ECS Working Group tasked DOE with determining the 
appropriate minimum external static pressure for ceiling-mount and 
wall-mount systems. During the CAC/HP ECS Working Group meetings, 
manufacturers of these systems suggested a minimum external static 
pressure requirement of 0.30 in. wc. (CAC ECS: CAC/HP ECS Working Group 
meeting, No. 88 at p. 31) However, the CAC/HP ECS Working Group did not 
adopt this as a recommendation primarily due to lack of time to 
thoroughly review the subject. In the August 2016 test procedure SNOPR, 
DOE proposed to specify a minimum external static pressure requirement 
of 0.30 in. wc. for ceiling-mount and wall-mount systems, consistent 
with manufacturers' recommendations.
    In response to the August 2016 SNOPR, First Co. disagreed with 
DOE's proposed minimum external static pressure requirements for 
ceiling-mount and wall-mount blower coil systems. First Co. claimed 
that the minimum external static pressure requirement for these 
products should be no greater than 0.20 in. wc. According to First Co., 
ceiling-mount and wall-mount systems typically use limited length or 
short run duct work, which produces lower static pressure. First Co. 
contested that 0.30 in. wc. is unreasonably high for representing such 
ductwork and that the requirement will result in reductions in product 
ratings and negative impacts on small manufacturers and product 
availability. (First Co., No. 21 at pp. 3-4) NEEA, Lennox, AHRI, 
Ingersoll Rand, Goodman, and UTC/Carrier expressed support for DOE's 
proposed minimum external static pressure requirement of 0.30 in. wc. 
for these products. (NEEA, No. 35 at p. 3; Lennox, No. 25 at p. 14; 
AHRI, No. 27 at p. 16; IR, No. 38 at p. 5; Goodman, No. 39 at p. 13; 
UTC/Carrier, No. 36 at p. 9).
    DOE recognizes that ceiling-mount and wall-mount systems use 
shorter duct runs than conventional systems, which will result in lower 
static pressure. For this reason, DOE proposed a lower minimum external 
static pressure requirement for these products relative to its proposed 
minimum external static pressure requirement for conventional systems. 
DOE disagrees with First Co. that 0.30 in. wc. is not representative of 
field-installed ceiling-mount and wall-mount systems because 
manufacturers of these products recommended 0.30 in. wc. during the 
CAC/HP ECS Working Group Negotiations. (Docket EERE-2014-BT-STD-0048, 
CAC/HP ASRAC Working Group Meeting, October 13, 2015, No. 88 at p. 21) 
In addition, publicly-available product literature for these products 
include airflow data tables that include performance at 0.30 in. wc. 
(Wall Mount Blower Coil Literature Example, No. 41 at p. 3) DOE 
understands that higher minimum external static pressure requirements 
will result in reductions to rated performance. These impacts will be 
considered and accounted for in the energy conservation standard levels 
set by the concurrent energy conservation standard rulemaking. 
Therefore, DOE is adopting 0.30 in. wc. as the minimum external static 
pressure requirement for ceiling-mount and wall-mount blower coil 
systems in this final rule.
    Recommendation #2 of the Term Sheet includes a recommended minimum 
external static pressure for ``space-constrained'' products. The Term 
Sheet does not differentiate between space-constrained outdoor units 
paired with conventional indoor units from those paired with non-
conventional indoor units. In the August 2016 SNOPR, DOE proposed that 
when space-constrained outdoor units are paired with conventional 
indoor units, the minimum external static pressure requirement for 
space-constrained systems recommended by the CAC/HP ECS Working Group, 
0.30 in. wc., would not be appropriate. Consequently, DOE proposed to 
apply the minimum external static pressure requirement included for 
space-constrained products in the Term Sheet only to single- package 
space-constrained products or space-constrained outdoor units paired 
with space-constrained indoor units. 81 FR at 58163, 58182 (Aug. 24, 
2016).
    In written comments, AHRI and Nortek expressed concern with DOE's 
proposal to modify the external static pressure requirements when 
space-constrained outdoor units are paired with conventional indoor 
units. AHRI and Nortek stated that there is no definition of a ``space-
constrained indoor unit'' (air handler). AHRI and Nortek added that a 
space-constrained

[[Page 1450]]

condensing unit rated using a conventional air handler at 0.5 in. wc 
would not be able to meet existing efficiency standards. According to 
AHRI and Nortek, size restrictions of space-constrained products 
require rating with an efficient conventional air handler as a matched 
system to meet existing standards. AHRI and Nortek submit that, by 
definition, space-constrained condensing units are all under 30,000 
Btu/h, with limited applications. AHRI and Nortek concluded that the 
minimum external static pressure requirement for space-constrained 
systems recommended by the CAC/HP Working Group, 0.30 in. wc., was not 
only appropriate for these installations; they are required in order 
for manufacturers to offer these niche products, i.e. that DOE should 
not require use of 0.5 in. wc. for space-constrained system 
combinations using conventional air handlers. (AHRI, No. 27 at pp. 16-
17; Nortek, No. 22 at p. 13).
    In response to AHRI's and Nortek's comments, DOE understands that 
split-system space-constrained systems that comprise a space-
constrained outdoor unit and conventional indoor unit are typically 
installed in homes with size restrictions that are different than homes 
in which conventional split-systems (i.e., conventional outdoor and 
indoor unit) are typically installed. Space-constrained systems 
(regardless of whether paired with a conventional or non-conventional 
indoor unit) are more commonly installed in homes in which the system 
is installed in closer proximity to the conditioned space. Ductwork is 
typically shorter and less restrictive as a result. As such, the CAC/HP 
ECS Working Group recommended minimum external static pressure of 0.30 
in. wc. is more representative. DOE is adopting 0.30 in. wc. for all 
space-constrained products in this final rule. DOE is adopting this 
provision because it will result in a test procedure that produces test 
results that measure the energy efficiency, energy use, or estimated 
annual operating cost of space-constrained products during a 
representative average use cycle. DOE is adopting this provision 
irrespective of comments regarding its implications on products' 
ability to meet standards. DOE will account for impacts to rated values 
in the concurrent energy conservation standard rulemaking.
    In the August 2016 SNOPR, DOE proposed to adopt the CAC/HP ECS 
Working Group recommendations for minimum external static pressure 
requirements for low-static and mid-static systems. 81 FR at 58182-
58183 (Aug. 24, 2016).
    As mentioned, many stakeholders agreed with DOE's proposed minimum 
external static pressures and definitions for all product types. (NEEA, 
No. 35 at p. 3; Lennox, No. 25 at p. 14; AHRI, No. 27 at p. 16; IR, No. 
38 at p. 5; Goodman, No. 39 at p. 13; Nortek, No. 22 at p. 12; UTC/
Carrier, No. 36 at p. 9) Unico supported DOE's proposal, but voiced one 
concern. Unico recommended that DOE eliminate the mid-static product 
class, change the range for low static from 0.01 to 0.49 in. wc. so as 
not to overlap with the range for normal ducted systems, and to test 
those products as low-static (unless DOE would plan to establish a 
separate standard for mid-static systems). According to Unico, the mid-
static products would be able to meet the low-static requirements 
without difficulty, so Unico would not separate these products into a 
separate class. Unico recommended that DOE add a requirement to the 
test procedure that both low and mid-static products should be labeled 
as ``low static'' with the maximum static clearly written on the 
product rating label, so that a manufacturer would be able to list the 
mid-static pressure on their literature and labels, while the product 
would still considered a low-static system (Unico, No. 30 at p. 5).
    DOE does not agree with Unico's recommendation. Based on 
discussions during the CAC/HP ASRAC Working Group Negotiations, and as 
reflected in the Term Sheet recommendations, DOE understands that there 
are ducted multi-split and multi-head mini-split systems that are 
designed and installed to produce between 0.20 in. wc. and 0.65 in. wc. 
Testing these systems at 0.10 in. wc., as Unico recommends, would not 
be representative of field performance because they are typically 
installed in more restrictive applications, which results in higher fan 
energy consumption. In addition, testing these ``mid-static'' systems, 
at the same external static pressure as ``low-static,'' would not 
produce results reflective of relative performance. In the field, a 
``mid-static'' system, which is typically installed in more restrictive 
applications, is expected to have higher fan energy consumption than a 
``low-static'' system. Testing both types of systems at the same 
external static pressure would ignore this difference and would not 
reflect the increased fan energy consumption of the ``mid-static'' 
system compared to the ``low-static'' system. DOE is not establishing a 
separate product class or a separate standard for ``mid-static'' 
systems, as Unico infers. DOE is only establishing a differing test 
conditions for ``low-static'' and ``mid-static'' systems to reflect the 
differences in their application and resulting differences in field 
performance.
    The CAC/HP ECS Working Group did not recommend changing the current 
minimum external static pressure required (1.15 in. wc.) for SDHV 
systems with a cooling or heating capacity between 29,000 to 42,500 
Btu/h. However, the CAC/HP ECS Working Group recommended that 1.15 in. 
wc. also be used as the minimum external static pressure requirement 
for SDHV systems of all other capacities. Using a single minimum 
external static pressure value for all capacities of a given CAC/HP 
variety is consistent with the approach recommended by the Working 
Group for all CAC/HP varieties. In the August 2016 SNOPR, DOE proposed 
to adopt the Working Group recommendation for the minimum external 
static pressure requirement for SDHV systems. 81 FR at 58183 (Aug. 24, 
2016).
    DOE did not receive any negative comments regarding its August 2016 
test procedure SNOPR proposed minimum external static pressure 
requirements for SHDV systems, and DOE is adopting these requirements 
in this final rule.
    Table III-3 summarizes the minimum external static pressure 
requirements that DOE is adopting in this final rule.

       Table III-3--Minimum External Static Pressure Requirements
------------------------------------------------------------------------
                                                    Minimum  external
                 CAC/HP variety                   static  pressure  (in.
                                                           wc.)
------------------------------------------------------------------------
Conventional (i.e., all central air              0.50
 conditioners and heat pumps not otherwise
 listed in this table).
Ceiling-mount and Wall-mount...................  0.30
Mobile Home....................................  0.30

[[Page 1451]]

 
Low-Static.....................................  0.10
Mid-Static.....................................  0.30
Small Duct, High Velocity......................  1.15
Space-Constrained (indoor and single-package     0.30
 units only).
------------------------------------------------------------------------

c. Certification Requirements
    In the August 2016 SNOPR, DOE proposed to establish the 
certification requirements for appendix M1 to require manufacturers to 
certify the kind(s) of CAC/HP associated with the minimum external 
static pressure used in testing or rating (i.e., ceiling-mount, wall-
mount, mobile home, low-static, mid-static, small duct high velocity, 
space-constrained, or conventional/not otherwise listed). In the case 
of mix-match ratings for multi-split, multi-head mini-split, and multi-
circuit systems, manufacturers would be allowed to select two kinds. In 
addition, models of outdoor units for which some combinations 
distributed in commerce meet the definition for ceiling-mount and wall-
mount blower coil system, would still be required to have at least one 
coil-only rating (which uses the 441W/1000 scfm default fan power 
value) that is representative of the least efficient coil distributed 
in commerce with the particular model of outdoor unit. Mobile home 
systems would also be required to have at least one coil-only rating 
that is representative of the least efficient coil distributed in 
commerce with the particular model of outdoor unit. Further, DOE 
proposed to specify a default fan power value of 406W/1000 scfm, rather 
than 441W/1000 scfm, for mobile home coil-only systems. Details of this 
proposal are discussed in detail in section III.C.2. 81 FR at 58183 
(Aug. 24, 2016).
    DOE did not receive any comments on the certification requirements 
regarding minimum external static pressure or default fan power. 
Comments on the minimum external static pressure requirements and 
default fan power are included in sections III.C.1 and III.C.2, 
respectively.
d. External Static Pressure Reduction Related to Condensing Furnaces
    In the November 2015 SNOPR, DOE requested comment on its proposal 
to implement a 0.10 in. wc. reduction in the minimum external static 
pressure requirement for air conditioning units tested in blower coil 
(or single-package) configuration in which a condensing furnace is in 
the airflow path during the test. This issue was also discussed as part 
of the CAC/HP ECS Working Group negotiation process. In response to the 
November 2015 SNOPR, stakeholders commented that they did not support 
DOE's proposed reduction in the minimum external static pressure 
requirement because it would result in test results that are less 
representative of field energy use. (CAC TP: ADP, No. 59 at p. 12; 
Lennox, No. 61 at p. 20; NEEA and NPCC, No. 64 at p. 8; California 
IOUs, No. 67 at p. 6; Rheem, No. 69 at p. 17; ACEEE, NRDC, ASAP, No. 72 
at p. 4) Recommendation #2 of the CAC/HP ECS Working Group Term Sheet 
reflects this sentiment, stating that DOE should not adopt its proposed 
reduction in minimum external static pressure required for units paired 
with condensing furnaces. (CAC ECS: CAC/HP ECS Working Group Term 
Sheet, No. 76 at p. 2).
    In the August 2016 SNOPR, in light of public comments and the 
consensus of the CAC/HP ECS Working Group, DOE did not propose to adopt 
a reduced minimum external static pressure requirement for air 
conditioning units tested in blower coil (or single-package) 
configuration in which a condensing furnace is in the airflow path 
during the test. 81 FR at 58184 (Aug. 24, 2016).
    In response to the August 2016 SNOPR, ADP agreed with removing the 
reduced ESP as it is not representative of actual installed 
performance. ADP also commented there were other more suitable means to 
drive the adoption of condensing furnaces. (APD, No. 23 at p. 4) NEEA, 
the Joint Advocates, UTC, Goodman, JCI, and Ingersoll Rand also 
supported this proposal. (NEEA, No. 35 at p. 3; Joint Advocates, No. 33 
at p. 7; UTC, No. 36 at p. 10; Goodman, No. 39 at p. 11; JCI, No. 24 at 
p. 15; Ingersoll Rand, No. 38 at p. 5) Rheem also agreed with removing 
the reduced ESP, stating that its use could cause the representation of 
cooling efficiency to become similar to that with a non-condensing 
furnace, which would not reflect how the system would operate in the 
field. (Rheem, No. 37 at p. 5).
    DOE did not receive any comments in favor of a reduced minimum 
external static pressure for systems tested with a condensing furnace. 
In light of stakeholder comments, DOE did not include a reduced minimum 
external static pressure requirement for these products in this final 
rule.
2. Default Fan Power for Rating Coil-Only Units
    The default fan power value (hereafter referred to as ``the default 
value'') is used to represent fan power input when testing coil-only 
air conditioners, which do not include their own indoor fans.\15\ In 
the current test procedure, the default value is 365 Watts (W) per 
1,000 cubic feet per minute of standard air (scfm) and there is an 
associated adjustment to measured capacity to account for the fan heat 
equal to 1,250 British Thermal Units per hour (Btu/h) per 1,000 scfm 
(10 CFR part 430, subpart B, appendix M, section 3.3.d). The default 
value was discussed in the June 2010 NOPR, in which DOE did not propose 
to revise it due to uncertainty on whether higher default values would 
better represent field installations. 75 FR 31227 (June 2, 2010). In 
the November 2015 SNOPR, DOE proposed to update the default value to be 
more representative of field conditions (i.e., consistent with indoor 
fan power consumption at the minimum required external static pressures 
proposed in the November 2015 SNOPR). In the November 2015 SNOPR, DOE 
used indoor fan electrical power consumption data from product 
literature, testing, and exchanges with manufacturers collected for the 
furnace fan rulemaking (79 FR 506, January 3, 2014) to determine an 
appropriate default value for coil-only products.\16\ (80 FR 69318) DOE 
calculated the adjusted default fan power to be 441 W/1000 scfm. In the 
November 2015

[[Page 1452]]

SNOPR, DOE proposed to use this value in appendix M1, while keeping the 
current default fan power of 365 W/1000 scfm in appendix M.
---------------------------------------------------------------------------

    \15\ See 10 CFR part 430, subpart B, appendix M, section 3.3.d.
    \16\ For a complete explanation of DOE's methodology, see 80 FR 
at 69319-69320 (Nov. 9, 2015).
---------------------------------------------------------------------------

    In response to the November 2015 SNOPR, many stakeholders supported 
raising the coil-only test default fan power to 441 W/1000 scfm to 
allow for more representative ratings of units. (CAC TP: NEEA and NPCC, 
No. 64 at p. 8; ACEEE, NRDC, and ASAP, No. 72 at p. 4; California IOUs, 
No. 67 at p. 2)
    The CAC/HP ECS Working Group also discussed the default value as 
part of the negotiation process. Ultimately, the Working Group came to 
a consensus on a recommendation for the default value. Recommendation 
#3 of the CAC/HP ECS Working Group Term Sheet states that the default 
fan power for rating the performance of all coil-only systems other 
than manufactured housing products be 441W/1000 scfm. (CAC ECS: ASRAC 
Working Group Term Sheet, No. 76 at p. 3)
    Consistent with the CAC/HP ECS Working Group Term Sheet, DOE 
maintained its previous proposal to use a default value of 441 W/1000 
scfm for split-system air conditioner, coil-only tests in the August 
2016 SNOPR. DOE also proposed to adjust measured capacity to account 
for the fan heat by 1,505 Btu/h per 1,000 scfm, consistent with 441W/
1000 scfm. 81 FR at 58184 (Aug. 24, 2016). DOE proposed to use these 
values in appendix M1 of 10 CFR part 430 subpart B in place of the 
default fan power of 365 W/1000 scfm that had been used previously in 
appendix M.
    Recommendation #3 of the CAC/HP ECS Working Group Term Sheet also 
stated that DOE should calculate an alternative default fan power for 
rating mobile home air conditioner coil-only units based on the minimum 
external static pressure requirement for blower coil mobile home units 
(0.30 in. wc.) suggested in recommendation #2 of the Term Sheet. (CAC 
TP: ASRAC Working Group Term Sheet, No. 76 at p. 3) As discussed in 
section III.C.1, the CAC/HP ECS Working Group included this 
recommendation because HUD requires less restrictive ductwork for 
mobile homes than for other types of housing, which reduces electrical 
energy consumption of the indoor fan. The default value used to rate 
coil-only mobile home systems should reflect this difference in field 
energy consumption to improve the field representativeness of the test 
procedure.
    In the August 2016 test procedure SNOPR, DOE used the same 
aforementioned furnace fan power consumption data and methodology to 
calculate the appropriate default value for mobile home fan power 
consumption, which DOE found to be 406 W/1000 scfm. DOE proposed to use 
406 W/1000 scfm and adjust cooling capacity by 1,385 Btu/h per 1,000 
scfm for mobile home coil-only tests in the August 2016 test procedure 
SNOPR. 81 FR at 58163, 58183 (Aug. 24, 2016).
    In response to the August 2016 SNOPR, AHRI, Nortek, Lennox, 
Ingersoll Rand, JCI, ACEEE, NRDC, ASAP, and Rheem supported DOE's 
proposal to use a default value of 441 W/1000 scfm for split-system air 
conditioner, coil-only tests. These stakeholders also supported a 
unique default fan power of 406 W/1000 scfm for rating mobile home 
coil-only units. (AHRI, No. 27 at p. 17; Nortek, No. 22 at p. 13; 
Lennox, No. 25 at p. 8; Ingersoll Rand, No. 38 at p. 5; JCI, No. 24 at 
p. 16; ACEEE, NRDC, and ASAP, No. 33 at p7; Rheem, No. 37 at p. 3) 
Carrier/UTC also expressed support for a default fan power value of 441 
W/1000 scfm for split-system air conditioner, coil-only tests. 
(Carrier/UTC, No. 36 at p. 10) ADP and Lennox also expressed support 
for 406 W/1000CFM as a default fan power value for coil-only mobile 
home applications. (ADP, No., 23 at p.5, Lennox, No. 25 at p. 8) DOE 
did not receive any negative comments regarding the use of 441 W/1000 
scfm or 406 W/1000 scfm as the default fan power values for 
conventional split-system or mobile home coil-only tests, respectively. 
DOE also did not receive any additional data to validate these values.
    In light of stakeholder support and no adverse comments, DOE is 
adopting a default fan power value of 441 W/1000 scfm and capacity 
adjustment of 1,505 Btu/h/1000 scfm for non-mobile home coil-only 
systems and a default fan power value of 406 W/1000 scfm and capacity 
adjustment of 1,385 Btu/h/1000 scfm for mobile home coil-only systems.
    In the August 2016 test procedure SNOPR, DOE proposed a definition 
for a mobile home coil-only system to appropriately apply the proposed 
default value for these kinds of CAC/HP. DOE proposed the following:
     Mobile home coil-only system means a coil-only split 
system that includes an outdoor unit and coil-only indoor unit that 
meet the following criteria: (1) The outdoor unit is shipped with 
manufacturer-supplied installation instructions that specify 
installation only for mobile homes that comply with HUD Manufactured 
Home Construction Safety Standard 24 CFR part 3280, (2) the coil-only 
indoor unit is shipped with manufacturer-supplied installation 
instructions that specify installation only in a mobile home furnace, 
modular blower, or designated air mover that complies with HUD 
Manufactured Home Construction Safety Standard 24 CFR part 3280, and 
(3) the coil-only indoor unit and outdoor unit each has a label in at 
least \1/4\ inch font that reads, ``For installation only in HUD 
manufactured home per Construction Safety Standard 24 CFR part 3280.'' 
81 FR at 58163, 58185 (Aug. 24, 2016).
    In written comments, Rheem, JCI, ACEEE, NRDC, and ASAP expressed 
support for DOE's proposed definition for mobile home coil-only system. 
(Rheem, No. 37 at p.5; JCI, No. 24 at p.16, ACEEE, NRDC, and ASAP, No. 
33 at p.7)
    Some stakeholders offered suggested improvements to the definition 
to better differentiate mobile home coil-only systems from other types 
of systems. ADP explained that indoor units are often installed in 
attics, basements, closets and other areas of limited access, so most 
consumers would not see a label, limiting the usefulness of a label. 
(ADP, No., 23 at p.6) Lennox and ADP recommended that DOE add the 
following physical indoor coil characteristics to the definition of 
mobile home coil-only system in addition to labeling requirements to 
limit the definition to products exclusively manufactured for mobile 
homes:

(1) Downturned refrigerant connections
(2) refrigerant connections on left hand side of coil (when viewed from 
the front)
(3) down-flow capable
(4) maximum size of 20'' wide, 32'' high and 21'' deep (Lennox, No. 25 
at p. 8; ADP, No., 23 at p.6)

    ADP added that these features are shared by products marketed as 
mobile home coils and collectively are not present in coils marketed 
for other applications. Mortex commented that mobile home furnaces have 
a unique footprint and are only compatible with indoor coils that have 
a drain pan footprint of 18.5'' wide by 21'' long. Mortex suggests that 
the definition for mobile home coil-only should include these dimension 
restrictions for indoor coils. (Mortex, No. 26 at p. 3)
    DOE appreciates the suggestions from ADP, Lennox, and Mortex. DOE 
agrees that a definition that includes descriptions of physical 
characteristics unique to indoor and outdoor units and combinations 
that are installed in mobile homes will better distinguish mobile home 
coil-only systems from other systems. DOE reviewed public product 
literature for mobile home indoor coils to evaluate the additional 
criteria suggested by stakeholders.

[[Page 1453]]

DOE's search confirmed many of the suggestions, but not all. DOE could 
not confirm with confidence that all mobile home indoor coils include 
downturned refrigerant connections on the left hand side when viewed 
from the front. DOE also found mobile home indoor units that slightly 
exceeded the height limit that ADP and Lennox recommend. For these 
reasons, DOE is modifying its proposed definition to include some, but 
not all, of the physical characteristics that interested parties 
recommend. In this final rule, DOE is adopting the following definition 
for mobile home coil-only system:
    Mobile home coil-only system means a coil-only split system that 
includes an outdoor unit and coil-only indoor unit that meet the 
following criteria: (1) The outdoor unit is shipped with manufacturer-
supplied installation instructions that specify installation only for 
mobile homes that comply with HUD Manufactured Home Construction Safety 
Standard 24 CFR part 3280, (2) the coil-only indoor unit is shipped 
with manufacturer-supplied installation instructions that specify 
installation only in or with a mobile home furnace, modular blower, or 
designated air mover that complies with HUD Manufactured Home 
Construction Safety Standard 24 CFR part 3280, and has dimensions no 
greater than 20'' wide, 34'' high and 21'' deep, and (3) the coil-only 
indoor unit and outdoor unit each has a label in at least \1/4\ inch 
font that reads ``For installation only in HUD manufactured home per 
Construction Safety Standard 24 CFR part 3280.''
    As discussed in detail in section III.C.1.b, in response to 
stakeholder comment, DOE is adopting a lower minimum external static 
pressure requirement for space-constrained products to better reflect 
their field-installed conditions. Similar to mobile home coil-only 
units, space-constrained coil-only tests should use a default fan power 
value and capacity adjustment representative of operation at the 
minimum external static pressure. Recommendation #2 of the Term Sheet 
includes 0.30 in. wc. as the suggested minimum external static pressure 
for both mobile home and space-constrained products. As discussed 
earlier in this section, DOE has determined, with stakeholder support, 
that a default fan power value of 406 W/1000 scfm and capacity 
adjustment of 1,385 Btu/h/1000 scfm are consistent with operation at 
0.30 in. wc. For this reason, DOE is adopting a default fan power value 
of 406 W/1000 scfm and capacity adjustment of 1,385 Btu/h/1000 scfm for 
space-constrained products in this final rule.
3. Revised Heating Load Line Equation
a. Revision of the Heating Load Line Analysis and Proposals
    DOE initially proposed revisions to the heating load line equation 
used in the calculation of heating season performance factor (HSPF) in 
the November 2015 SNOPR. 80 FR at 69320-69322 (Nov. 9, 2015) The 
proposals were based on a 2015 Oak Ridge National Laboratory (ORNL) 
study \17\ that examined the heating load line equation for cities 
representing the six climate regions of the HSPF test procedure in 
appendix M. DOE received comments on its heating load line equation 
proposals both in written form in response to the November 2015 SNOPR 
and verbally during the CAC/HP ECS Working Group meetings. DOE 
considered the comments received, worked with ORNL on re-examination of 
certain aspects of the analysis described in the 2015 study, and 
revised its proposals for revision of the heating load line equation. 
The revised proposal presented in the August 2016 SNOPR included the 
following test procedure amendments.
---------------------------------------------------------------------------

    \17\ ORNL, Rice, C. Keith, Bo Shen, and Som S. Shrestha, 2015. 
An Analysis of Representative Heating Load Lines for Residential 
HSPF Ratings, ORNL/TM-2015/281, July. (Docket No. EERE-2009-BT-TP-
0004-0046).
---------------------------------------------------------------------------

     The zero-load temperature would vary by climate region 
according to the values provided in Table III-4, but remain at 55 
[deg]F (as proposed in the November 2015 SNOPR) for Region IV;
     The heating load line equation slope factor for single- 
and two-stage heat pumps would vary by climate region, as shown in 
Table III-4, and be 1.15 for Region IV; and
     For variable-speed heat pumps, the heating load line 
equation slope factor would be 7 percent less than for single- and two-
stage heat pumps. It would vary by climate region, as shown in Table 
III-4, and be 1.07 for Region IV; 81 FR at 58189 (Aug. 24, 2016)
    DOE also revised the heating load hours based on the new zero-load 
temperatures of each climate region. The revised heating load hours are 
also given in Table III-4.

                Table III-4--Climate Region Information Proposed in the August 2016 SNOPR Notice
----------------------------------------------------------------------------------------------------------------
                                                                    Region Number
                                   -----------------------------------------------------------------------------
                                         I            II          III           IV           V           VI *
----------------------------------------------------------------------------------------------------------------
Heating Load Hours................          493          857         1247         1701         2202         1842
Zero-Load Temperature, Tzl, [deg]F           58           57           56           55           55           57
Heating Load Line Equation Slope           1.10         1.06         1.30         1.15         1.16         1.11
 Factor, C........................
Variable-speed Slope Factor, CVS..         1.03         0.99         1.21         1.07         1.08         1.03
----------------------------------------------------------------------------------------------------------------
* Pacific Coast Region.
Note: Some of the values in this table for Region III differ from those presented in the SNOPR. See discussion
  of these corrections below.

    Following from this proposed heating load line equation change, DOE 
also proposed in the August 2016 SNOPR to require cyclic testing for 
variable-speed heat pumps be run at 47 [deg]F, rather than using the 62 
[deg]F ambient temperature that is required by the current test 
procedure (see appendix M, section 3.6.4 Table 11). The test would 
still be conducted using minimum compressor speed. The modified heating 
load line cyclic test at 47 [deg]F would be more representative of the 
conditions for which cycling operation is considered in the HSPF 
calculation. 81 FR at 58190 (Aug. 24, 2016)
    In addition, for variable-speed heat pumps, the SEER would be 
calculated using a building load that is adjusted downwards by 7 
percent, consistent with the heating load adjustment.
Heating Load Line Zero-Load Temperature and Slope Factor
    A number of commenters disagreed with the zero-load temperature 
and/or the slope factor proposed for the heating load line equation.
    EEI commented that the zero-load temperatures appeared to be too 
low in light of the predominance of older houses in the building stock, 
and that the approach may be missing many

[[Page 1454]]

heating load hours between 55 [deg]F and 65 [deg]F outdoor 
temperatures. (EEI, Public Meeting Transcript, No. 20 and pp. 82-83) In 
written comments, EEI reiterated objection to a 55 [deg]F zero-load 
temperature, asserting that house temperature would fall to 55 [deg]F 
if the heating system provided no heat at warmer temperatures. They 
stated most houses are not insulated as well as newer houses, and 
assuming zero heating system operation between 55 [deg]F and the indoor 
thermostat settings (e.g., 68 [deg]F) is not realistic and results in 
lowering the estimated seasonal efficiency of heat pumps. EEI suggested 
using a zero-load temperature of 65 [deg]F. EEI suggested using a slope 
of 0.77 or 1.02. (EEI, No. 34 at pp. 2-6)
    In its comments, AHRI did not agree with the zero load point of 55 
[deg]F. AHRI commented that DOE's proposal was solely based on computer 
modeling and that AHRI members had submitted real world data from 
across the entire country during the negotiations to support AHRI's 
position. AHRI recommended keeping the existing zero-load temperature 
as 65 [deg]F, and a single heating load line for all products with a 
1.02 slope. (AHRI, No. 27 at p. 18) Mitsubishi, Carrier, Lennox, 
Nortek, Ingersoll Rand, and Goodman all submitted comments agreeing 
with AHRI's recommendation to use a 65 [deg]F zero-load temperature and 
a 1.02 slope factor. (Mitsubishi, No. 29 at pp. 3-4; Carrier, No. 36 at 
p. 10; Lennox, No. 25 at pp. 9-10; Nortek, No. 22 at p. 14; Ingersoll 
Rand, No. 38 at p. 5; Goodman, No. 39 at p. 9-10)
    JCI commented that the ORNL analysis was flawed in that it did not 
measure the heating load in homes in which human occupants were 
present. JCI expressed belief that a good survey would find heating 
load occurring even into the 70 [deg]F-75 [deg]F range in certain 
regions of the country for certain demographics, and recommended DOE 
use the 65 [deg]F value for the zero-load temperature.
    Bruce Harley Energy Consulting (BHEC) provided field monitoring 
data and analysis of heating loads conducted at the request of PG&E. 
The work addressed heating load data of seven homes covering regions I/
II,\18\ IV, and V that were monitored to measure heating system 
operation. The data sets and analysis for these houses were not 
explained extensively in the BHEC comment, but DOE understands that 
average heating loads were determined by 5 [deg]F-wide temperature bins 
for hours representing at least a full heating season for each 
location. Linear curve fits to the binned loads as a function of 
temperature were determined. The zero-load temperatures for the linear 
fits lie within a range between 57 [deg]F and 61 [deg]F. Based on this 
study, BHEC suggested DOE use a value of 60 [deg]F for the zero-load 
temperature for all climate regions. BHEC also pointed out that these 
homes are likely to be somewhat less efficient than the 2006 IECC. 
(BHEC, No. 28 at pp. 2-3)
---------------------------------------------------------------------------

    \18\ The comment indicates that three of the monitored homes are 
located in Stockton, CA and are in Region ``I/II''. Based on 
comparison of the location of Stockton with the climate zone map 
(Figure 1 in Appendix M), it is not clear that ``I/II'' clearly 
represents Stockton's climate zone--it would appear to be more 
likely in Region III. In contrast, the other locations mentioned in 
the comment are much more clearly in their listed zones, e.g. V for 
Southern Vermont, and IV for New York/New Jersey.
---------------------------------------------------------------------------

    BHEC's initial comparison of the regional heating load lines with 
the load lines determined for the seven monitored locations led to the 
conclusion that the heating load line equation in the August 2016 SNOPR 
incorrectly included the term TOD (the regional outdoor 
design temperature) in the denominator. The comment provided analysis 
showing that the value TOD should be replaced with 5 [deg]F, 
which is the outdoor design temperature for Region IV. (BHEC, No. 28 at 
pp. 3-6) With this change, and use of 60 [deg]F as the zero-load 
temperature, the comment showed that the field data provided good 
agreement with the calculated heating load lines using the 1.15 slope 
factor proposed in the August 2016 SNOPR for all but one of the seven 
monitored locations. This location, ``Site W'', has an unusually high 
heating load, as indicated by the comment. BHEC concluded that DOE 
should consider adopting a heating load line with a 60 [deg]F zero-load 
temperature and a 1.15 slope factor. (BHEC, No. 28 at pp. 6-8)
    PG&E commented during the public meeting that the August 2016 SNOPR 
proposals were not consistent with recent field data not available 
during the CAC/HP ECS negotiations, and that more details would be 
provided later. (PG&E, Public Meeting Transcript, No. 20 at p. 84) 
These additional details presumably are provided by the BHEC comment. 
The CA-IOUs (which includes PG&E) reiterated some of the discussion of 
the BHEC comment and supported the 60 [deg]F zero-load temperature and 
the 1.15 slope factor, although indicating that the selection of zero-
load temperature has less impact on measured efficiency. (CA IOU, No. 
32 at pp. 1-4)
    NEEA supported BHEC's comments on zero-load temperature and slope 
factor. (NEEA, No. 35 at p. 3)
    ACEEE, ASAP, and NRDC supported the heating load line equation 
proposal of the August 2016 SNOPR but suggested that a more thorough 
review and revision of the test method for determining heat pump 
efficiency should be conducted in future. (ACEEE, NRDC, and ASAP, No. 
33 at pp. 2, 7-8)
    DOE agrees with BHEC's comment regarding appearance of 
TOD in the denominator of the heating load line equation. 
This is a mistake that initially appeared in the November 2015 SNOPR. 
The correct form of the equation, shown in the initial ORNL Report, 
indicates that the TOD should be replaced with 5 [deg]F 
(Docket No. EERE-2009-BT-TP-0004, An Analysis of Representative Heating 
Load Lines for Residential HSPF Ratings, No. 46 at p. B-1).
    Regarding several comments pointing to operation of heating systems 
in temperatures well above 55 [deg]F, DOE does not dispute that this 
occurs. The ORNL analysis, in fact, shows that heating loads exist at 
higher temperatures, as illustrated in Figure 2 of the initial report 
(Docket No. EERE-2009-BT-TP-0004, An Analysis of Representative Heating 
Load Lines for Residential HSPF Ratings, No. 46 at p. 5) The zero-load 
temperature is not intended to be the highest temperature at which the 
heating system would operate. Instead, it is the zero-load intercept of 
the best-fit line representing the average loads calculated for each 
bin. The field data that were provided during the CAC/HP ECS 
negotiations, cited in the AHRI comment and also provided in the 
Ingersoll Rand comment (Ingersoll Rand, No. 38 at p. 6), represent many 
locations and likely represent a wide range of house characteristics 
and occupancy patterns. DOE does not believe that this type of 
aggregation of the data of all of the monitored locations is very 
useful to provide an understanding of building heating loads. For 
example, much of the operation of the heating systems above 55 [deg]F 
outdoor temperature could be associated with recovery from night 
setback. Also, it is not known how the supplemental electric resistance 
heat compares with the heat pump capacity, or whether any of the 
locations have supplemental heat other than the electric resistance 
heat built into the monitored heat pumps--to the extent that such 
alternative supplemental heating (e.g. supplied by a separate space 
heater, furnace, or wood stove) occurs at different temperatures than 
heating provided by the heat pump--would affect the results by 
flattening the apparent load line slope. DOE initially requested 
additional details of this

[[Page 1455]]

study to allow more careful analysis, but such information was not 
readily available. DOE points out similar issues associated with the 
aggregation of the field data provided by Lennox. (Lennox, No. 25 at p. 
9) In contrast, the data provided by BHEC provides a clearer indication 
of how the load varies with ambient temperature for specific locations, 
because the data were provided separately for each location and the 
heating loads were more directly measured than for the data sets 
provided by Ingersoll Rand and Lennox.
    DOE reviewed the work by BHEC, and believe that, while these data 
suggest use of a zero-load temperature higher than 55 [deg]F, they do 
not show that DOE's 55 [deg]F proposal is inappropriate. First, the 
best-fit zero-load temperatures of the monitored locations ranges from 
57 [deg]F to 61 [deg]F. However, the 61 [deg]F value is associated with 
Site W, which has unusually high loads, suggesting that this location 
is an outlier not consistent with most houses. Second, as suggested by 
the comment, these homes are likely less efficient than the 2006 IECC 
housing characteristics used in the ORNL analysis. During the CAC/HP 
ECS negotiations, Working Group members commented that, in developing 
test procedures, DOE should be looking further towards the future than 
represented by IECC 2006 (see, e.g., Docket EERE-2014-BT-STD-0048, 
2015-09-28 Working Group Meeting Transcript; Ingersoll Rand, No. 86 at 
p. 187; Carrier, No. 85 at p. 112) Hence, DOE believes consideration of 
house models representative of earlier building codes is not 
appropriate and maintains its selection of the IECC 2006 building 
models. DOE notes that there is variation in the existing housing stock 
and that some houses may have higher zero load slopes than others. 
Also, when considering all of the locations of the BHEC comment other 
than Site W, the heating load calculated using the 60 [deg]F zero 
temperature is slightly higher than the field-correlated line for 5 
locations. For these locations, reducing the zero-load temperature to 
60 [deg]F would slightly improve the fit of the calculated heating load 
line to the field data. DOE also considered the impact of a 60 [deg]F 
zero-load temperature as opposed to the proposed 55 [deg]F zero-load 
temperature on the differentiation between variable-speed and two-stage 
products. Using data provided by AHRI during the CAC/HP Working Group 
meetings, DOE determined that use of 60 [deg]F would make little change 
to the differences in HSPF values calculated for heat pumps with 
different characteristics. The HSPF is roughly 2.4 percent higher when 
using the 60 [deg]F zero-load temperature, and there are no significant 
difference in trends for products with different characteristics. For 
all these reasons, DOE has decided not to revise the heating load line 
using a 60 [deg]F zero-load temperature.
    In response to JCI's comment suggesting that the heating loads of 
the ORNL study did not include the impacts of human occupants, this is 
not true--the load analysis did include load contributions for human 
occupants. In response to EEI's comment that the house temperature 
would fall to 55 [deg]F if the heating system did not operate at warmer 
temperature, DOE reiterates that the 55 [deg]F zero-load temperature 
does not imply that there is no heating system operation at warmer 
temperatures and that the EEI statement ignores the impacts of internal 
heat loads and solar gain that raise the internal temperature above the 
exterior temperature even when there is no heating system operation.
Heat Pump and Furnace Load Lines
    Ingersoll Rand (p. 6) and EEI (p. 4) commented that the heating 
load line equation for heat pumps should not be different than the 
equation used for furnaces in order to maintain neutrality between 
different heating products in performance information provided to 
consumers. In response, DOE first notes that neither the capacity nor 
the steady-state efficiency for furnaces varies significantly for 
different outdoor air temperatures (see, e.g., Investigation of High 
Efficiency Furnace SSE Measurements versus AFUE, No. 42 at p. 1), which 
is not true for capacity and COP of heat pumps. Consequently, the load 
line does not affect the furnace efficiency metric, AFUE; in other 
words, the AFUE would not be significantly different if calculated for 
any of the alternative load lines proposed in the CAC/HP rulemaking 
notices and discussed in stakeholder comments. In contrast, the 
capacity of a heat pump varies greatly with ambient temperature. For 
example, the heating capacity at 7 [deg]F for a single speed heat pump 
is about 50% of its capacity at 47 [deg]F. (Docket No. EERE-2009-BT-TP-
0004, An Analysis of Representative Heating Load Lines for Residential 
HSPF Ratings, No. 46 at p. 21) The much greater sensitivity to outdoor 
temperature of a heat pump suggests strongly that use of representative 
load profiles for calculating seasonal efficiency is much more 
important for them than for furnaces. DOE has based its proposal and 
final rule on a recent comprehensive assessment of heating loads, i.e. 
the ORNL analysis. (Id) The furnace test procedure has not recently 
been reviewed from the perspective of a similar assessment of heating 
loads. DOE acknowledges that the proposed change to the heating load 
line for heat pumps does change the seasonal heating load that is the 
basis of the annual operating cost calculation. However, due to the 
greater importance of using a representative load line for heat pumps, 
DOE believes that modification of the furnace test procedure to align 
with the heat pump test procedure is the appropriate resolution. DOE 
may consider in a future rulemaking whether the seasonal heating load 
for the furnace test procedure should be adjusted to match that of the 
heat pump test procedure.
Variable-Speed Slope Factor
    Numerous comments addressed the different slope factor proposed for 
variable-speed products. JCI disagreed with DOE's proposal to modify 
the heating load line slope such that it varies with technology type. 
JCI stated they would be willing to adopt a 1.02 slope for all product 
types as proposed by industry in the CAC/HP ECS negotiations. (JCI, No. 
24 at p. 16)
    AHRI asserted that a single heating load line equation slope factor 
is appropriate for all products, because the building load is 
independent of the installed system. (AHRI, No. 27 at pp. 17-18) 
Several other commenters made identical arguments. (Goodman, No. 39 at 
p. 9; Carrier/UTC, No. 36 at p. 10; Lennox, No. 25 at p. 9; Ingersoll-
Rand, No. 38 at p. 6; Nortek, No. 22 at p. 12) Rheem commented that 
different slope factors should not be used for single and two-stage 
products, further commenting that building load is not determined by 
the installed HVAC equipment. (Rheem, No. 37 at p. 5) Although DOE has 
not proposed different slope factors for single and two-stage 
equipment, DOE understands that the same argument might apply to 
variable-speed products, for which DOE did propose a different slope 
factor.
    Emerson commented that DOE did not support the different oversizing 
factor for variable-speed products with any field installation data and 
noted that the May 2016 workshop on residential CAC/HP installation 
highlighted field installation inconsistencies including improper 
sizing and lack of data. Emerson stated that a misrepresentation of 
HSPF in ``variable capacity'' systems should be corrected by modifying 
the HSPF calculation, for example, by changing the run time. (Emerson, 
No. 31 at p. 2) However, Emerson also stated that variable speed allows 
oversizing in

[[Page 1456]]

installation and suggested that the variable-speed slope factor also be 
allowed for use with other technologies that modulate capacity, 
including two-stage, tandem, vapor injection, and digital. (Emerson, 
No. 31 at p. 2)
    BHEC supported a lower slope factor for variable-speed products 
than for single-speed, indicating further that the proposal to use the 
ratio of allowed cooling oversize factors in ACCA Manual S for these 
types of equipment (leading to a proposed slope factor of 1.07 for 
Region IV) is reasonable, and in the current test procedure is likely 
to be a conservative adjustment.
    The CA IOUs, NEEA, and ACEEE, NRDC, and ASAP supported the lower 
slope factor for variable-speed products. (CA IOU, No. 32 at p. 4; 
NEEA, No. 35 at p. 3; ACEEE, NRDC, and ASAP, No. 33 at pp. 7-8)
    In response to comments that the building load does not change with 
selection of heat pump technology, DOE notes that the proposal does not 
suggest any difference in building load when using different 
technology. The slope factor represents the ratio of building load to 
heat pump capacity. DOE acknowledges that variable-speed products are a 
bit more oversized in comparison to the building heating load than are 
single-speed and two-stage products. Keeping the building load constant 
and increasing the variable-speed heat pump capacity reduces the 
building load/capacity ratio; hence DOE selected a lower slope factor. 
Given that publicly available data regarding sizing trends is not 
available, and in response to comments pointing out the lack of data to 
support the lower slope factor for variable-speed products, DOE 
understands that ACCA Manual S is the best available indication of what 
sizing guidelines contractors and others may be using to select heat 
pumps, due to widespread citation of the ACCA manuals for use in 
calculating loads and sizing HVAC systems, including required use of 
Manual S for sizing of systems in ENERGY STAR certified homes. (``Why 
ACCA Manual S Means Superior Equipment Sizing'', No. 40; ``HVAC Design 
Report, ENERGY STAR Certified Homes'', No 43; ``What Exactly is Manual 
S in HVAC Design and Why Is It Important?'', No. 44; ``Residential 
Mechanical Equipment Loads and Sizing'', No. 45)
    In response to Emerson's comment that potential HSPF 
misrepresentation for variable-speed products should be addressed by 
adjusting run time, it is not clear what Emerson's suggested approach 
is. DOE notes that the lower slope factor for variable-speed products 
leads directly to calculation of lower percentage run time for 
variable-speed products in the HSPF calculation when meeting loads 
lower than the minimum-speed capacity. If Emerson's comment was 
intended to address the cycle times used for variable-speed products 
during the cyclic test, DOE notes that the cycle times for variable-
speed products are longer for variable-speed than for single-speed or 
two-stage products (see, e.g., appendix M, section 3.5.b).
    In response to Emerson's comment that the test procedure should 
allow variable-capacity technologies other than variable speed to use 
the lower slope factor, DOE declines to adopt that approach in this 
final rule because there were no data either provided by Emerson, or 
found by DOE that show how such systems would be sized and/or 
differences in how such systems would operate. For example, two-stage 
products currently on the market do not allow as wide a range of 
capacity modulation as do variable-speed products, so it is not clear 
that similar oversizing is justified for them. In fact, ACCA manual S 
recommends only slightly more oversizing for two-stage products than 
for single-stage. The modulation range of vapor-injection compressors 
is also not as wide as for variable-speed. Finally, DOE is not aware of 
any CAC/HP products on the market that use digital technology, so it is 
not clear how the modulation range of future products using this 
technology will compare, and it is also not clear whether alternative 
sizing guidelines will be extended to them. DOE is not against 
consideration of use of the lower slope factor for other variable-
capacity technologies, but prefers to consider such a step when more is 
known about the products using these technologies.
    Therefore, DOE is adopting the appendix M1 test procedure with the 
heating load line equation slope factors (1.15 for single- and two-
stage heat pumps and 1.07 for variable-speed heat pumps) and zero-load 
temperature (55 [deg]F) proposed in the August 2016 SNOPR.
Corrections
    In the August 2016 SNOPR, DOE inadvertently included the incorrect 
values for the representative heating load hours for each generalized 
climatic region in Table 20 of appendix M1. 81 FR at 58268 (Aug. 24, 
2016) The preamble also provided incorrect values for heating load 
hours, the slope factor, and the variable-speed slope factor for Region 
III. 81 FR at 58189-90. The corrected values were determined as 
described and reported in the ORNL report addendum. (CAC TP: ORNL 
Report Addendum, No. 2 at p. 8) Therefore in this final rule, DOE is 
adopting the corrected values in the test procedure, including the 
correct heating load hours for all of the climatic regions in Table 20, 
which in this notice has become Table 21.
    DOE also notes that, in the August 2016 SNOPR, the heating load 
hours depicted in Figure 1 are not consistent with the new heating load 
line analysis. 81 FR at 58267 (Aug. 24, 2016) However, the figure is 
still helpful for depicting the climate zones. Therefore, in this final 
rule, DOE is renaming Figure 1 to indicate that the figure depicts 
climate zones rather than heating load hours. In addition, Figure 2, 
which depicts cooling load hours, is not referenced by any part of the 
test procedure as modified by the June 2016 final rule and the August 
2016 SNOPR proposals. 81 FR at 37119 (June 8, 2016) and 81 FR at 58267 
Hence, DOE is removing this figure to reduce potential confusion 
regarding its applicability to the test procedure and calculations.
Clarification Regarding Negative Heating Loads
    DOE's proposed changes to the test procedure did not include 
removing fractional bin hour data for the temperature bins with 
temperature higher or equal to the new zero-load temperatures--this 
included data in Table 19 (number as proposed in the August 2016 SNOPR) 
for the 62 [deg]F bin for Region I and both the 57 [deg]F and 62 [deg]F 
bins for all other regions. 81 FR at 58254-55 (Aug. 24, 2016)
    DOE notes that for these bins with temperatures higher than the 
zero-load temperatures, a negative heating load would be calculated 
according to equation 4.2-1 as proposed. Unico raised this issue in 
comments submitted in response to the notice of data availability 
(NODA) associated with the CAC/TP energy conservation standard 
rulemaking which was published October 27, 2016 (see 81 FR 74727). 
(Docket Number EERE-2014-BT-STD-0048, Unico, No. 95 at p. 1) However, 
these negative-load contributions were not intended to be included in 
HSPF calculation, because they would incorrectly reduce the calculated 
total seasonal heating load and heating season energy use. In order to 
exclude the negative-load contributions in the HSPF calculation, DOE 
has set the fractional bin hours to zero for the 62[emsp14][deg]F bin 
for Region I and both the 57 [deg]F and 62 [deg]F bins for all other 
regions.
b. Impact of DOE Proposal on Current HSPF Ratings and Model 
Differentiation
    DOE provided in the August 2016 SNOPR a summary of the impacts of 
the

[[Page 1457]]

revised heating load line equation proposal on HSPF ratings based on 
test results provided by AHRI for 2, 3, and 5-ton two-stage and 
variable-speed heat pumps. 81 FR at 58190 (Aug. 24, 2016) These impacts 
are reproduced in Table III-5.

     Table III-5--Effect of Region IV Slope Factors on HSPF of Two-Stage (TS) and Variable-Speed (VS) Models
----------------------------------------------------------------------------------------------------------------
                                                              Region IV slope factors
                                 -------------------------------------------------------------------------------
                                                                                                    August 2016
                                   Current: 0.77       1.02            1.15            1.30           SNOPR *
----------------------------------------------------------------------------------------------------------------
Avg. TS HSPF....................            9.49            8.47            8.17            7.80            8.17
Avg. VS HSPF....................           10.93            9.44            8.95            8.44            9.26
Avg. HSPF Differential..........            1.44            0.97            0.79            0.64            1.09
----------------------------------------------------------------------------------------------------------------
* Slope factor for two-stage equipment: 1.15. Slope factor for variable-speed equipment: 1.07.

    EEI commented in the public meeting that the change in HSPF 
associated with the test procedure proposal was so great that there 
should be consideration of changing the name of the heating mode 
efficiency metric. (EEI, Public Meeting Transcript, No. 20 at p. 86) 
PG&E seconded this point. (PG&E, Public Meeting Transcript, No. 20 at 
p. 87, 88) Other stakeholders mentioned that the working group in the 
CAC/HP negotiations had settled on calling the new efficiency metric 
HSPF2 and voiced support for this term--Goodman also indicated that it 
would be beneficial to use both ``HSPF'' and ``HSPF2'' for a period of 
time before the new test procedure becomes mandatory, to help consumers 
understand the differences between the old and new ratings. (Goodman, 
Rheem, Public Meeting Transcript, No. 20 at p. 87-88)
    Consistent with the comments, and as discussed in section III.A.1, 
DOE is renaming the heating mode efficiency metric ``HSPF2.''
    EEI also commented that the new slope has a significant impact on 
estimated energy usage. EEI commented many two-speed units would not 
qualify for Energy Star or even meet the minimum DOE HSPF with the new 
slope. EEI contended that the revision could take many high efficiency 
units off of the market. (EEI, No. 34 at p. 4) DOE notes that these 
comments do not take into consideration the changes in the standard 
levels that would be made to account for the measurement changes. In 
response, DOE expects that the Energy Star program will set new levels 
for ``HSPF2'' consistent with the measurement change associated with 
the test procedure change, as DOE has proposed to do with the new HSPF 
standard levels selected based on the current test procedure by the 
CAC/HP ECS Working Group.
    No stakeholders stated that the heating load line slope factors 
proposed in the August 2016 SNOPR result in overly diminished 
differentiation of variable-speed heat pumps as compared with two-stage 
heat pumps. Therefore, concerns regarding insufficient product 
differentiation that had been raised regarding the slope factors 
proposed in the November 2015 SNOPR appear to be removed, thus 
strengthening the arguments for heating load line slope factors 
proposed in the August 2016 SNOPR, which are adopted in this final 
rule. Thus, DOE is adopting the new heating load line slope factors for 
variable speed heat pumps in this final rule.
c. Translation of CAC/HP ECS Working Group Recommended HSPF Levels 
Using Proposed Heating Load Line Equation Changes
    Recommendation #9 of the CAC/HP ECS Working Group Term Sheet 
included two sets of recommended national HSPF standard levels. The 
Working Group based these levels on heating load line equation slope 
factors of 1.02 and 1.30 to reflect the two factors primarily discussed 
during the negotiations. The Working Group designated these levels as 
``HSPF2'' to indicate that they are not equivalent to current HSPF 
ratings. Table III-6 includes the Working Group's recommended HSPF 
levels:

 Table III-6--CAC/HP ECS Working Group Recommended HSPF Levels Based on
             Previously Proposed Heating Load Line Equations
------------------------------------------------------------------------
              Product class                 HSPF2-1.02      HSPF2-1.30
------------------------------------------------------------------------
Split-System Heat Pumps.................             7.8             7.1
Single-Package Heat Pumps...............             7.1             6.5
------------------------------------------------------------------------

    Because the August 2016 SNOPR proposed a heating load line equation 
with a slope factor of 1.15 for baseline systems, DOE calculated the 
expected HSPF2 standard levels for this intermediate slope factor--
these values are presented in Table III-7.

 Table III-7--CAC/HP ECS Working Group Recommended HSPF Levels Based on
      Heating Load Line Equation Proposed in the August 2016 SNOPR
------------------------------------------------------------------------
                      Product class                         HSPF2-1.15
------------------------------------------------------------------------
Split-System Heat Pumps.................................             7.5
Single-Package Heat Pumps...............................             6.8
------------------------------------------------------------------------

    DOE requested comment on the adjusted values of minimum HSPF2. 
During the public meeting, Goodman expressed provisional support of the 
values but indicated that some analysis would be conducted to confirm. 
(Goodman, Public Meeting Transcript, No. 20 at pp. 89-90) However, 
several commenters indicated in written comments that the 6.8 HSPF2 
value for single-package heat pumps was too high.
    AHRI expressed concern with the HSPF2 value determined for single-
package heat pumps, indicating that of

[[Page 1458]]

six such products with current-test HSPF of 8.0 and slightly higher 
that were evaluated, the results for five indicate that the crosswalk 
from HSPF of 8.0 to HSPF2 of 6.8 is not accurate using the 1.15 slope 
factor. AHRI indicated that it was in the process of collecting 
additional data and will provide a suggestion for an appropriate 
crosswalk for this class within 30-days of the comment submittal 
deadline. (AHRI, No. 27 at p. 18) Nortek submitted a nearly identical 
comment, but claimed that three of the six evaluated units would not be 
compliant with the 6.8 HSPF2 level, and indicated that more data would 
be collected and provided within 30 days. (Nortek, No. 22 at p. 15)
    Goodman performed simulation analysis, from which it concluded that 
the proposed HSPF2 values for split system heat pumps is realistic, but 
that the crosswalk value for single package heat pumps is higher than 
it should be. Goodman requested a crosswalk HSPF2 value of 6.6 or 6.7 
but indicated they would be providing more information. (Goodman, No. 
39 at p. 10)
    Rheem commented that, based on initial analysis of the HSPF to 
HSPF2 crosswalk, some of their products would become obsolete if the 
cross-walk is adopted--however, they did not clarify which type of 
product. Rheem commented that it was working with AHRI to determine 
appropriate cross-walk metrics, which would be reported to DOE. (Rheem 
No. 37 at p.7)
    Ingersoll Rand also expressed concerns about the HSPF to HSPF2 
crosswalk, and indicated they would be providing data to AHRI. 
(Ingersoll RandNo. 38 at p. 7)
    JCI commented that residential single-package units will be more 
severely affected than the crosswalk currently reflected and requested 
more time for the industry to evaluate and confirm the HSPF to HSPF2 
crosswalk. (JCI, No. 24 at p. 17)
    ACEEE, NRDC, and ASAP supported the values assigned, commenting 
that without better information, the linear interpolation is an 
appropriate way to determine the adjusted minimum HSPF2 values for the 
heating load line equation slope factor proposed in the August 2015 
SNOPR. (ACEEE, NRDC, and ASAP, No. 33 at p.2) Carrier/UTC supported the 
adjusted values of minimum HSPF2 as they are consistent with the CAC/HP 
ECS Working Group term sheet recommendation. (Carrier/UTC, No. 36 at p. 
11)
    Lennox supported the 7.5 HSPF2 value determined by DOE for split 
systems but did not support the 6.8 HSPF2 value for single package 
products. Lennox commented that an HSPF2 level of 6.5 would be 
appropriate for single package heat pumps under the M1 Appendix test 
procedure proposed in the August 2015 SNOPR. Lennox indicated that it 
was working to expand the sample of the data used in this determination 
to provide DOE evidence that supports this recommendation. Lennox 
expected this data collection to be complete within 30 days of the end 
of the comment period. (Lennox, No. 25 at p. 10)
    Unico requested that the DOE defer action until AHRI presents 
additional data, since the crosswalk is a complex issue and requires 
additional time to determine the effect that the proposed adjustments 
will have on HSPF. (Unico, No. 30 at p.6)
    DOE will consider these recommendations and any additional data 
provided in a timely fashion when it considers the final HSPF2 values 
to be set for single-package heat pumps in the energy conservation 
standard rulemaking.
d. Consideration of Inaccuracies Associated With Minimum-Speed 
Extrapolation for Variable-Speed Heat Pumps
    DOE discussed in the November 2015 SNOPR potential inaccuracies 
associated with the use of test data conducted at minimum speed in 
47[emsp14][deg]F and 62[emsp14][deg]F ambient temperature to estimate 
heat pump performance below 47[emsp14][deg]F. 80 FR at 69322-23 (Nov. 
9, 2015). Specifically, for heat pumps that increase compressor speed 
as ambient temperature drops below 47[emsp14][deg]F, the extrapolation 
of performance based on the 47[emsp14][deg]F and 62[emsp14][deg]F 
minimum-speed tests over-estimates efficiency. However, for the 1.3 
slope factor proposed in the November 2015 SNOPR, DOE found that the 
impact on HSPF for the available heat pump data was too small to 
justify modifying the test procedure. The higher slope factor reduced 
the impact of the issue because the higher heating load reduced the 
weighting of the HSPF on minimum-speed performance. DOE did not propose 
a resolution but indicated that it might reconsider this possibility if 
a lower heating load line equation slope factor were adopted. Id. In 
the August 2016 SNOPR, DOE proposed to reduce the heating load line 
equation slope factor to 1.07 for variable-speed heat pumps. DOE's 
analysis suggested that, with the lower slope factor, the HSPF may be 
overestimated by as much as 16 percent as a result of the inaccuracy 
associated with the minimum-speed extrapolation. Hence, DOE also 
proposed revision to the estimation of minimum-speed performance to 
reduce the impact of the error. Specifically, for heat pumps that vary 
the minimum speed when operating in outdoor temperatures that are in a 
range for which the minimum-speed performance factors into the HSPF 
calculation, DOE proposed the following.
     Adoption of a definition, ``minimum-speed-limiting 
variable-speed heat pump,'' to refer to such heat pumps.
     Minimum-speed performance between 35[emsp14][deg]F and 
47[emsp14][deg]F would be estimated using the intermediate-speed 
frosting-operation test at 35[emsp14][deg]F and the minimum-speed test 
at 47[emsp14][deg]F, and minimum-speed performance below 
35[emsp14][deg]F would be equal to intermediate-speed performance.
     Including in certification reports for such variable-speed 
heat pumps whether this alternative approach was used to determine the 
rating.
81 FR at 58191 (Aug. 24, 2016)
    Rheem, Unico, Nortek, Mitsubishi, AHRI, Ingersoll Rand, ACEEE, 
NRDC, and ASAP, and Lennox supported DOE's proposal to use alternative 
HSFP rating approach as part of M1. (Rheem, No. 37 at p. 6; Unico, No. 
30 at p. 7; Nortek, No. 22 at p. 16; Mitsubishi, No. 29 at p.4; AHRI, 
No. 27 at p.19; Ingersoll Rand, No. 38 at p. 7; ACEEE, NRDC, and ASAP, 
No. 33 at p. 8; Lennox, No. 25 at p. 15) Carrier/UTC supported the 
methodology to account for variable-speed heat pumps that limit the low 
stage speed at lower ambient conditions by not requiring additional 
testing. (Carrier/UTC, No. 36 at p. 12) JCI essentially agreed with the 
proposal, commenting that additional tests would offer minimal 
improvement in HSPF accuracy, and are not worth the additional test 
burden. JCI also commented that if DOE adopts this change, it should be 
in appendix M1 and not in appendix M. (JCI, No. 24 at p. 17)
    Carrier also commented that DOE should invest in creating an 
alternative load based (or some other) test method that simplifies the 
test procedure and accounts for all of the benefits of variable-speed 
technology, allowing a true comparison to other technologies. (Carrier/
UTC, No. 36 at p. 12)
    Goodman did not specifically comment on the proposed test procedure 
change for variable-speed products, but instead suggested a 
significantly revised test procedure for these products that would 
include two tests each at two different outdoor temperatures for each 
of the relevant compressor speeds (low, intermediate, high, and boost), 
where boost speed would be optional for testing and would

[[Page 1459]]

be used for very low temperatures, e.g. 17 [deg]F and below. In 
Goodman's scheme, the manufacturer would determine at which speed the 
heat pump would be operating for each temperature bin, and would 
certify (a) the temperature bin at which the variable-speed heat pump 
begins to increase above minimum speed, (b) the temperature bin at 
which full speed is achieved, and (c) in which temperature bin the 
boost speed is achieved. (Goodman, No. 39 at p. 11)
    In response to Carrier and Goodman, DOE would support development 
by the industry and interested stakeholders of a blank-slate revision 
of the test procedure for variable-speed products with consideration of 
load-based methods as suggested by Carrier, but since these alternative 
methods are not fully defined, and certainly have not be made available 
for public comment, DOE cannot finalize any such test procedure with 
this final rule.
    In this final rule, DOE adopts the proposal for the alternative 
method for variable-speed heat pumps that raise the compressor speed 
above the minimum speed at ambient temperatures below 47 [deg]F. In 
response to JCI, this alternative method was proposed only for appendix 
M1 and is adopted in this final rule only for appendix M1.
4. Revised Heating Mode Test Procedure for Units Equipped With 
Variable-Speed Compressors
    In the November 2015 SNOPR, DOE revisited the heating season 
ratings procedure for variable-speed heat pumps found in section 4.2.4 
of appendix M of 10 CFR part 430 subpart B. DOE proposed as part of 
appendix M1 an optional approach for testing variable-speed heat pumps 
that included a test conducted at 2 [deg]F outdoor temperature (or at 
the low cutoff temperature, whichever is higher). The proposal would 
have allowed manufacturers to choose to conduct one additional steady-
state test, at maximum compressor speed and at a low temperature of 2 
[deg]F or at a low cutoff temperature, whichever is higher. 80 FR at 
69322-23 (Nov. 9, 2015).
    DOE received comments on this proposal, both in written form in 
response to the November 2015 SNOPR, and in the CAC/HP ECS 
negotiations. Working group members ultimately agreed that the optional 
test should be conducted at 5 [deg]F rather than 2 [deg]F--this is 
Recommendation #5 in the Term Sheet. (CAC ECS: ASRAC Term Sheet, No. 76 
at p. 3)
    The revised variable-speed heat pump test procedure proposed in the 
August 2016 SNOPR included the following changes in appendix M1.
     If the optional 5 [deg]F full-speed test (to be designated 
H42) is conducted, full-speed performance for ambient 
temperatures between 5 [deg]F and 17 [deg]F would be calculated using 
interpolation between full-speed test measurements conducted at these 
two temperatures, rather than the current approach, which uses 
extrapolation of performance measured at 17 [deg]F and 47 [deg]F 
ambient temperatures. For all heat pumps for which the 5 [deg]F full-
speed test is not conducted, the extrapolation approach would still be 
used to represent performance for all ambient temperatures below 17 
[deg]F.
     A target wet bulb temperature of 3.5 [deg]F for the 
optional 5 [deg]F test.
     If the optional 5 [deg]F full-speed test is conducted, 
performance for ambient temperatures below 5 [deg]F would be calculated 
using the same slopes (capacity vs. temperature and power input vs. 
temperature) as determined for the heat pump between 17 [deg]F and 47 
[deg]F. Specifically, the extrapolation would be based on the 17 
[deg]F-to-47 [deg]F slope rather than the 5 [deg]F-to-17 [deg]F slope. 
If the 47 [deg]F full-speed test is conducted at a different speed than 
the 17 [deg]F full-speed test, the extrapolation would be based on the 
standardized slope discussed in section III.B.7.
     Manufacturers would have to indicate in certification 
reports whether the 5 [deg]F full-speed test was conducted.
     As proposed for appendix M and discussed in section 
III.B.7, a 47 [deg]F full-speed test, designated the H1N 
test, would be used to represent the heating capacity. However, for 
appendix M1, this test would be conducted at the maximum speed at which 
the system controls would operate the compressor in normal operation in 
a 47 [deg]F ambient temperature.
     If the heat pump limits the use of the minimum speed 
(measured in terms of RPM or power input frequency) of the heat pump 
when operating at ambient temperatures below 47 [deg]F (i.e. does not 
allow use of speeds as low as the minimum speed used at 47 [deg]F for 
any temperature below 47 [deg]F), a modified calculation would be used 
to determine minimum-speed performance below 47 [deg]F (this proposal 
is discussed in section III.C.3.d).

81 FR at 58192-93 (Aug. 24, 2016).
    DOE also requested comment regarding whether the 2 [deg]F test for 
triple-capacity northern heat pumps should be changed to a 5 [deg]F 
test. 81 FR at 58193. (Aug. 24, 2016).
    Carrier/UTC, Lennox, the Joint Advocates, JCI, Ingersoll Rand, 
Goodman, Nortek, Unico, NEEA, Rheem, CA IOU, AHRI, and Mitsubishi 
agreed with DOE's proposal to adopt a very low temperature test for 
heat pumps, at the 5 [deg]F temperature agreed to by the CAC/HP ECS 
Working Group, rather than the 2 [deg]F initially proposed. (Carrier/
UTC, No. 36 at p. 12; Lennox, No. 25 at p. 15; ACEEE, NRDC, and ASAP, 
No. 33 at p. 8, JCI, No. 24 at p. 17; Ingersoll Rand, No. 38 at p. 7, 
Goodman, No. 39 at p. 11; Nortek, No. 22 at p. 16; Unico, No. 30 at p. 
7; NEEA, No. 35 at p. 3; Rheem, No. 37 at p. 6; CA IOU, No. 32 at p.4; 
AHRI, No. 27 at p.19; Mitsubishi, No. 29 at p.4) Rheem and the Joint 
Advocates commented that if the 5 [deg]F full-speed test is conducted, 
the full-speed performance should be calculated using interpolation, 
rather than extrapolation. (Rheem, No. 37 at p. 6; ACEEE, NRDC, and 
ASAP, No. 33 at p. 8)
    Goodman further suggested that an optional 5 [deg]F test also be 
allowed for two[hyphen]stage and single[hyphen]speed heat pumps. In 
addition, Goodman recommended that for all of these products for which 
the optional 5 [deg]F test is conducted, performance for all ambient 
conditions below 17 [deg]F be based on the 5 [deg]F and 17 [deg]F 
tests, using linear interpolation between these temperatures and linear 
extrapolation below 5 [deg]F, explaining that the potential inaccuracy 
of the extrapolation below 5 [deg]F is not so important because less 
than 1% of heating performance for the HSPF in Region IV occurs at 
temperatures less than 5 [deg]F. Goodman clarified that its support for 
this approach, including extension to single-speed and two-stage 
products, is contingent on the 5 [deg]F test being optional. (Goodman, 
No. 39 at pp. 5-6)
    Unico suggested that DOE consider establishing a cold climate heat 
pump product class with different test methods both for heating and 
cooling performance and different energy conservation standards for 
both operating modes in order to incentivize development of such 
products, claiming that they do not rate well using the current HSPF 
and SEER metrics because they are optimized for heating in lower 
ambient temperatures. (Unico, No. 30 at p. 7)
    In response to stakeholders' comments, DOE has adopted the optional 
5 [deg]F test for variable-speed heat pumps. DOE notes that the Joint 
Advocate's suggestion to require use of interpolation, rather than 
extrapolation based on tests conducted in 47 [deg]F and 17 [deg]F 
temperatures, when the 5 [deg]F test is conducted, is fully consistent 
with the proposal and is how the test procedure is adopted in this 
rule.
    In response to Goodman's comments, DOE has extended 5 [deg]F 
testing as an

[[Page 1460]]

optional test to HSPF rating for single-speed and two-stage heat pumps. 
For single-speed, two-stage, and variable-speed heat pumps that are 
tested using the optional 5 [deg]F full-speed test (to be designated 
H42), full-speed performance for ambient temperatures 
between 5 [deg]F and 17 [deg]F will be calculated using interpolation 
based on full-speed test measurements conducted at these two 
temperatures, rather than the current approach, which uses 
extrapolation of performance measured at 17 [deg]F and 47 [deg]F 
ambient temperatures. Full speed-performance for temperatures lower 
than 5 [deg]F will be calculated for single-speed and two-stage heat 
pumps using extrapolation based on the tests conducted at 5 [deg]F and 
17 [deg]F, rather than using the 17 [deg]F-to-47 [deg]F slope that was 
proposed and is adopted for variable-speed heat pumps. DOE considers 
extrapolation below 5 [deg]F for these products to be acceptable 
because the 5 [deg]F and 17 [deg]F tests will be conducted at the same 
compressor speed. For all heat pumps for which the 5 [deg]F full-speed 
test is not conducted, the extrapolation approach using test results 
for 17 [deg]F and 47 [deg]F temperatures (or the standardized slope 
factors for variable-speed heat pumps which do not use the same speed 
for these tests) would be used to represent performance for all ambient 
temperatures below 17 [deg]F.
    DOE considered Unico's suggestion to create a separate product 
class with a different test standard and test procedure for products 
designed for cold climate. However, because other stakeholders have not 
had the opportunity to comment, DOE cannot adopt that suggestion in 
this final rule.
    In response to DOE's proposal of a target wet bulb temperature of 
3.5 [deg]F for the optional 5 [deg]F test, ACEEE, NRDC, and ASAP agreed 
with the proposed 3.5 [deg]F target wet bulb temperature. (ACEEE, NRDC, 
and ASAP, No. 33 at p. 8) Carrier/UTC, Lennox, JCI, Ingersoll Rand, 
Goodman, Nortek, NEEA, Rheem, the CA IOUs, AHRI, and Mitsubishi all 
recommended that the target wet bulb temperature for the 5 [deg]F test 
should be 3 [deg]F or less, rather than the proposed 3.5 [deg]F target. 
The commenters indicated that holding tight tolerances on the wet bulb 
temperature at such low temperatures is very challenging, but that the 
frost loading for this temperature is so low that the variation in 
moisture up to the 3 [deg]F wet bulb temperature level would not affect 
the test significantly. Unico made a similar recommendation, but 
suggested a maximum of 4 [deg]F wet bulb temperature. (Carrier/UTC, No. 
36 at p. 12; Lennox, No. 25 at p. 15; JCI, No. 24 at p. 17; Ingersoll 
Rand, No. 38 at p. 7, Goodman, No. 39 at p. 11; Nortek, No. 22 at p. 
16; Unico, No. 30 at p. 7; NEEA, No. 35 at p. 3; Rheem, No. 37 at p. 6; 
CA IOU, No. 32 at p.4; AHRI, No. 27 at p.19; Mitsubishi, No. 29 at 
p.4). DOE agrees that the amount of moisture in 5 [deg]F air would be 
sufficiently low that imposing a maximum wet bulb temperature of 3 
[deg]F would be adequate to ensure test repeatability; hence, DOE 
adopts the suggestion to set a maximum level of 3 [deg]F in this final 
rule.
    JCI, Goodman, Unico, UTC, AHRI, ACEEE, NRDC, and ASAP supported 
testing triple-capacity northern heat pumps at 5 [deg]F to be 
consistent with other heat pumps. In addition, AHRI suggests that DOE 
modify the test procedure for triple-capacity northern heat pumps, and 
allow variable speed heat pumps to be tested like the triple-capacity 
northern heat pumps in heating mode. Unico also suggested that triple-
capacity systems should also be tested at 17 [deg]F at the third 
(boost) capacity to allow for extrapolation (H33), thus adding a 
capacity curve at the third capacity. (JCI, No.24, at p 17; Goodman, 
No. 39, at p 14; Unico, No. 30 at p 7; Carrier/UTC No. 36 at p. 12; 
AHRI, No. 27 at p. 19; ACEEE, NRDC, and ASAP, No. 33 at p. 8)
    In response to those comments, DOE adopts testing of triple-
capacity northern heat pumps at 5 [deg]F in both appendix M and 
appendix M1. DOE considered AHRI's suggestion of modifying the testing 
of triple-capacity northern heat pumps and allowing testing variable-
speed heat pumps using the procedure, and decided not to make the 
changes in this final rule. More discussion regarding this issue is in 
section III.B.7. In response to Unico's suggestion on adding a 17 
[deg]F test at the 3rd capacity to allow for extrapolation (H33), DOE 
notes that the current triple-capacity test procedure already requires 
the requested test.
    As discussed in section III.B.7, many stakeholders responded to 
DOE's proposal of modification to the test procedure for variable-speed 
heat pumps in appendix M, recommending that the proposed changes, if 
adopted, should be part of appendix M1 rather than appendix M. In 
response to these comments, DOE has removed from appendix M the 
requirement that the H32 test be conducted at the highest 
speed that would normally be used in 17 [deg]F ambient conditions--this 
change is adopted, however, in appendix M1.

D. Effective Dates and Representations

1. Effective Dates
    DOE finalized some appendix M requirements in the June 2016 Final 
Rule, and representations must be made in accordance with appendix M, 
as adopted in that Final Rule, starting 180 days after it was published 
(December 6, 2016). DOE proposed additional changes to appendix M in 
the August 2016 SNOPR, some of which are adopted in this final rule, 
and representations must be made in accordance with this revised 
version of appendix M 180 days after this final rule is published. 
Representations must be made in accordance with the adopted appendix M1 
when compliance with amended energy conservation standards is required.
    Carrier and Mortex requested that the effective date of appendix M, 
including the changes published in the June 2016 final rule, be made 
180 days from when this rule is finalized. (Carrier/UTC, No. 36 at p. 
2; Mortex Products, Inc, No. 26 at p. 2) Ingersoll Rand recommended 
that all changes to M be made effective at the same time. (Ingersoll 
Rand, No. 38 at p. 3)
    Mortex commented that if that is not possible, then the appendix M 
changes in the August 2016 SNOPR should be moved to appendix M1. 
(Mortex Products, Inc, No. 26 at p. 2) AHRI commented similarly. (AHRI, 
No. 27 at p. 8) JCI also recommended that all of the proposed test 
procedure changes in the August 2016 SNOPR in appendix M and all 
updated sections of 10 CFR 429 become effective at the same time that 
appendix M1 and the corresponding standard revision become effective. 
(JCI, No. 24 at p. 18) Goodman requested for multiple changes to 
variable-speed heat pumps be moved from appendix M to appendix M1 and 
requested that for those changes not moved to appendix M1, DOE exercise 
its authority under 42 U.S.C. 6293(c)(3) to extend the effective date 
another 180 days, for a total of 360 days in order to permit 
manufacturers a more appropriate time period to address the required 
changes. (Goodman, No. 39 at p. 12)
    DOE notes that appendix M, as adopted in the June 2016 Final Rule, 
is already effective, and that the date by which representations must 
be in accordance with appendix M, as so adopted, is mandated by 
statute. (42 U.S.C. 6293(c)(2)) DOE maintains that appendix M revisions 
adopted in the final rule do not require re-testing as compared with 
appendix M as adopted in the June 2016 Final Rule (i.e., DOE does not 
expect the revisions to change the ratings). In certain cases where 
commenters expressed specific concern, such as for the time delay 
requirement for off mode power consumption, DOE has moved items to 
appendix M1. As noted by Goodman, 42 U.S.C. 6293(c)(3)

[[Page 1461]]

does allow individual manufacturers to request an additional 180 days 
for representations. This request cannot be made through a rulemaking 
public comment submission and must be done through petition separately. 
(42 U.S.C. 6293(c)(3))
2. Comment Period Length
    JCI commented that Under Section 323(b)(2) of EPCA, the public's 
opportunity to comment ``shall be not less than 60 days and may be 
extended for good cause shown to not more than 270 days.'' 42 U.S.C. 
6293(b)(2) JCI commented that given the nature of the proposals in the 
August 2016 SNOPR, DOE is required to provide a minimum 60-day comment 
period. JCI commented that test procedure revisions are frequently 
complex and technical, and Section 323(b)(2) can only reasonably be 
read to provide a new comment period to ensure that the public has an 
adequate opportunity for public comment on each discrete test procedure 
proposal.
    In response, DOE notes that this was the fifth round of comments on 
this particular test procedure rulemaking. Further, DOE made available 
the pre-publication notice to stakeholders 3 weeks in advance of the 
actual Federal Register publication, effectively allowing for almost a 
two-month review period. Third, DOE received comments on both sides of 
the issue both requesting an extension and urging the Secretary to 
finalize the test procedure as expeditiously as possible. Lastly, there 
is a statutory maximum comment period for which DOE must be mindful, 
which DOE was close to reaching. Consequently, DOE did not extend the 
comment period for the CAC/HP TP SNOPR.
3. Representations From Appendix M1 Before Compliance Date
    Lennox recommended that representations in accordance with appendix 
M1 be permitted 12 months prior to the compliance date of the 2023 
amended energy conservation standards. They stated that while there 
must be a clear differentiation between the current appendix M and new 
appendix M1 efficiency descriptors associated with the amended 
standards, permitting representations 12 months prior to adoption helps 
avoid market disruption on the compliance date. They added that one 
year allows contractors, distributors and manufacturers adequate time 
to plan and educate the supply chain in advance of the standard change. 
(Lennox, No. 25 at p. 2-3) ADP made a similar suggestion, except 
without setting a time limit on when the representations in accordance 
with appendix M1 could begin. (ADP, No. 23 at p. 3) Carrier strongly 
suggested that manufacturers not have any repercussion or penalties 
from DOE for choosing to comply early with appendix M1. (Carrier/UTC, 
No. 36 at p. 4)
    DOE has guidance in place that allow manufacturers to use the 
appendix M1 test procedure early as long as they are following the 
guidelines outlined therein. More information regarding early 
compliance can be found at: https://www1.eere.energy.gov/buildings/appliance_standards/pdfs/tp_earlyuse_faq_2014-8-25.pdf.

E. Comments Regarding the June 2016 Final Rule

1. Determination of Represented Values for Single-Split Systems
    In the June 2016 final rule DOE adopted provisions for determining 
the represented values of single-split system air conditioners based on 
recommendations from the CAC/HP ECS Working Group. The recommendations 
from the CAC/HP ECS Working Group (Recommendation #7 of the Term Sheet, 
see CAC ECS, No. 76 at p. 4) read as follows:
     Every combination distributed in commerce must be rated.
    [cir] Every single-stage and two-stage condensing unit distributed 
in commerce (other than a condensing unit for a 1-to-1 mini split) must 
have at least 1 coil-only rating that is representative of the least 
efficient coil distributed in commerce with a particular condensing 
unit.
     Every condensing unit distributed in commerce must have at 
least 1 tested combination.
    [cir] For single-stage and two-stage condensing units (other than 
condensing units for a 1-to-1 mini split), this must be a coil-only 
combination.
     All other combinations distributed in commerce for a given 
condensing unit may be rated based on the application of an AEDM or 
testing in accordance with the applicable sampling plan.

81 FR at 37002-03 (June 8, 2016)
    In the June 2016 final rule, DOE adopted the first and third 
recommendations. DOE did not relax the HSVC requirement for tested 
combinations as intended as part of the second recommendation, but did 
explicitly codify the requirement to test a coil-only combinations for 
single-stage and two-stage condensing units (including SDHV and space-
constrained systems).
    AHRI commented that the CAC/HP ECS ASRAC Working Group's 
recommendations were made in the context of appendix M1, including the 
proposed requirement for two-stage condensing units (other than 
condensing units for a 1-to-1 mini split) to be a coil-only combination 
and have at least one tested combination. AHRI commented that 
implementing this requirement before the effective date of the 2023 
standard would be contradictory to the Working Group's recommendation 
and that would be an excessive burden on manufacturers to retest 
products, specifically two-stage air conditioners, in a short period of 
time. AHRI requested that DOE modify the test procedure so this 
requirement would be implemented January 1, 2023. Nortek, Carrier/UTC, 
Lennox, and Ingersoll Rand commented similarly. (AHRI, No. 27, p. 2; 
Nortek, No. 22 at p. 2-3; Carrier/UTC, No. 36 at p. 2-3; Lennox, No. 25 
at p. 3; Ingersoll Rand, No. 38 at p. 1-2)
    Additionally, Nortek commented that the requirement that two-speed 
products be tested with a coil-only combination has the potential to 
change ratings derived previously using a blower coil or the ARM. 
Nortek commented that this was part of the consensus agreement of the 
negotiated rulemaking for the appendix M1 test procedure, and that 
implementing this in the appendix M test procedure may provide 
unintended consequences, namely that some high efficiency products may 
be removed from the market as a result of regional standards. Nortek 
suggested it would be best to implement this change in tested 
combination requirements with the appendix M1 test procedure. (Nortek, 
No. 22 at p. 19-20)
    Nortek commented that it did not agree with DOE requiring a coil-
only match for two-stage equipment, which they believed should be 
optional. Nortek commented that to provide the rated efficiency, 
multiple capacity systems require a matched indoor blower system to 
provide the correct air-flows at the different stages, and that a 
blower-coil match is appropriate for these systems. Nortek commented 
that they do not wish to market a match they believe is inconsistent 
with providing the rated efficiency. Nortek strongly encouraged DOE to 
reconsider requiring manufacturers to rate a hypothetical two-stage 
match that the manufacturer does not intend to market, and that it 
believes that unintended consequences will occur if they are forced to 
do so. (Nortek, No. 22 at p. 19-20)
    First Co. commented that space-constrained thru-the-wall units are 
sold

[[Page 1462]]

and designed for installation with indoor air handlers fitted with ECM 
motors, meeting the applicable 12 SEER standard when matched with 
blower coil units. If the ``coil only'' testing requirement is 
enforced, most of these units will be unable to meet the 12 SEER 
standard because the default value for wattage in ``coil only'' testing 
exceeds the actual wattage of the high efficiency motors used in the 
blower coils with First Co. products. First Co. commented that their 
understanding is that the Working Group did not include a member that 
manufactures space-constrained units, but includes members that may 
benefit from the elimination of these products. (First Co, No. 21 at p. 
2-3)
    Lennox recommended that DOE further define the requirements for 
single and two-stage AC systems to test the ``least efficient'' 
combination and recommended that the ``least efficient'' combination be 
defined as the up-flow coil match with the lowest NGIFS. Lennox 
commented that it is common practice for manufacturers to rate several 
coils of various geometries at the base (i.e., the least efficient 
level) for that product with the up-flow configuration being the most 
common, and that requiring a test of the lowest NGIFS up-flow coil 
clarifies which coil is required as the basis for testing. (Lennox, No. 
25 at p. 3)
    All of these comments address language adopted in the June 2016 
Final Rule and for which no proposals were made in the August 2016 
SNOPR. DOE notes that numerous coil-only two-stage combinations have 
been listed in DOE's CCMS and AHRI's database for years. For example, 
DOE identified 2,400 such combinations of two-stage split system air 
conditioners in a version of the database dating to late 2014. DOE also 
notes that the test procedure has specific provisions for setting air 
volume rate when testing such units (i.e. section 3.1.4.2.c of Appendix 
M), which correspond to how these units are typically installed in the 
field. These observations counter claims that multiple capacity systems 
require a matched indoor blower system and render this assertion false.
    In response to First Co.'s comment regarding the required coil-only 
test for testing of space constrained products, DOE asserts that an 
exclusion for coil-only testing of space-constrained products was never 
established. DOE notes that prior to the effective date of the June 
2016 final rule, paragraph (a)(2)(ii) of 10 CFR 429.16 still included 
text that stated that an exclusion for the coil-only test requirement 
applied for through-the-wall units that were sold and installed with 
blower coil indoor units. On January 23, 2010, all of the products 
meeting the definition for the product class of through-the-wall class 
of split system air conditioners were reclassified as part of the space 
constrained product class, for which a 12-SEER standard was set for 
cooling mode and a 7.4 HSPF standard was set for heat pump heating mode 
in a final rule published August 17, 2004. 69 FR 50997, 51001. 
Subsequently, the American Energy Manufacturing Technical Corrections 
Act (AEMTCA), which was signed into law on December 8, 2012, 
reintroduced definitions of through-the-wall air conditioners and 
through-the-wall heat pumps, which DOE subsequently codified into its 
regulations in a final rule published April 11, 2014. As part of that 
final rule, DOE made clear that products that meet the definition of 
through-the-wall air conditioners and heat pumps would be considered 
part of the space constrained air conditioner product class for 
regulatory purposes, regardless of whether they also met the definition 
of through-the-wall air conditioner. 79 FR 20091. Thus in DOE's view, 
First Company's assertion that the coil-only testing requirement did 
not apply to its through-the-wall products is invalid. Notwithstanding 
the requirement of all space constrained split system air conditioners 
that are single stage must be tested as coil-only, First Company 
explains in their own comment that their space-constrained through-the-
wall condensing units are sold and designed for installation with 
indoor air handlers fitted with ECM motors. However, DOE notes the 
exclusion previously in 10 CFR 429.16(a)(2)(ii) for units that were 
sold and installed with blower coil indoor units would not have 
encompassed the circumstances that First Company describes. Thus, First 
Company would have always been subject to the coil-only requirement. 
While the language being adopted in this final rule removes the 
exclusion for through-the-wall units that were sold and installed with 
blower coil units from the coil-only testing requirement, this should 
have no effect on First Company's ratings if rated in accordance with 
current regulations. If a manufacturer believes that coil-only testing 
of a product is not appropriate because the basic model is only sold 
and installed exclusively with blower coil indoor units, the 
manufacturer may petition DOE for a test procedure waiver showing that 
installation is exclusively blower coil and requesting a blower coil 
test. To date, DOE has not received any petitions of this kind.
2. Alternative Efficiency Determination Methods
    In the June 2016 Final Rule, DOE adopted alternative efficiency 
determination method (AEDM) requirements for central air conditioner 
and heat pumps in place of the previously used alternative rating 
methods (ARMs). 81 FR at 37054 (June 8, 2016). DOE did not allow the 
use of AEDMs for multi-split systems. 81 FR at 37052.
    First Co. commented that ICMs, including First Co., have used DOE 
approved Alternative Rating Methods (ARMs) for many years, and 
converting from using an ARM to an ADEM requires extensive engineering 
time and laboratory testing. First Co. contends that DOE's claim that 
it is not requiring ICMs to conduct additional testing for AEDM 
validation fails to recognize that additional testing beyond 
certification testing is necessary for ICMs to develop a new AEDM. 
First Co. commented that compliance by the deadline will be nearly 
impossible for ICMs that lack their own testing facility and that the 
extensive time and engineering that ICMs must devote to the meet the 
new regulations deprives them of the opportunity to innovate or improve 
existing product lines. (First Co, No. 21 at p. 1)
    AHRI commented that the ``tested combination'' requirements for 
multi-split systems require manufacturers to test at least two samples 
of a ``tested combination'' for non-ducted indoor units and at least 
another two samples of a ``tested combination'' for ducted indoor 
units. AHRI commented that as an AEDM cannot be used to rate a Basic 
Model, this causes more burden on the multi-split manufacturer than the 
non-multi-split manufacturer, and is not in line with the fact that 
other products can have two samples of a single tested combination 
tested with unlimited number of non-tested combinations rated by AEDM. 
AHRI commented that performing all required tests in six months is not 
achievable by some manufacturers. AHRI requested that DOE reconsider 
the option to apply the AEDM for multi-splits <65,000 Btu/h in the same 
manner as applied for VRFs >=65,000 Btu/h. (AHRI, No. 27 at p. 20)
    All of these comments address language adopted in the June 2016 
Final Rule and for which no proposals were made in the August 2016 
SNOPR. As a result, DOE is declining to modify these requirements in 
this final rule.

[[Page 1463]]

3. NGIFS Limit for Outdoor Unit With No Match
    In the June 2016 Final Rule, DOE adopted the required NGIFS for an 
indoor unit tested with an outdoor unit with no match to be 1.0. 81 FR 
at 37009-10 (June 8, 2016)
    Nortek and AHRI commented that the NGIFS limitation of 1.0 as 
finalized in the June 2016 Final Rule is only applicable to coils with 
\3/8\-inch diameter tubes and is not applicable to either microchannel, 
\5/16\'', or 7mm diameter tubes, or any other diameter tubes. (Nortek, 
No. 22 at p. 5-6; AHRI, No. 27 at p. 6)
    DOE responds that the vast majority of indoor units that are field-
matched with no-match outdoor units have \3/8\-in OD tubing, which was 
used almost exclusively for CAC/HP evaporators before 2010. Further, as 
stated previously, this requirement was not part of the August 2016 
SNOPR, and as such, DOE cannot modify this requirement in this final 
rule. Section III.A.5.f addresses concerns about the applicability of 
the requirements (such as for tube styles) of indoor units to be tested 
with no-match outdoor units.
4. Definitions
    In the June 2016 Final Rule, DOE adopted definitions for multi-
split system. 81 FR at 37059 (June 8, 2016).
    Mitsubishi, AHRI and Nortek commented that DOE had previously 
agreed to remove coil-only from the multi-split definition. 
(Mitsubishi, No. 29 at p. 5; AHRI, No. 27 at p. 22; Nortek, No. 22 at 
p. 19) Mortex commented that there will be applications for coil-only 
indoor units and thus there is no reason to remove coil-only from the 
proposed definition. (EERE-2016-BT-TP-0029, No. 26 at p. 3) As stated 
previously, this requirement was not part of the August 2016 SNOPR, and 
as such, DOE cannot modify this requirement in this final rule. 
Additionally, DOE agrees with Mortex that it is a possible application 
that coil-only indoor units are used in a multi-split system, so 
keeping coil-only in the multi-split definition is reasonable and there 
is no need to modify the definition.
5. Inlet Plenum Setup
    In the June 2016 Final Rule, DOE clarified the indoor unit air 
inlet geometry and specifically made revision to avoid inlet plenum 
being installed upstream of the airflow prevention device. 81 FR at 
37037 (June 8, 2016).
    AHRI and Nortek commented that DOE's clarification of inlet plenum 
brings concern that an overall height will exceed the current height 
limit of many psychrometric rooms. AHRI and Nortek requested DOE to 
consider allowing an alternative approach, included in ASHRAE's 
research project 1581. Specifically, AHRI and Nortek requested that DOE 
approve the use of the 6'' skirt coupled with the 90[deg] square vane 
elbow and the appropriate leaving duct as being an alternative to the 
configuration. ASHRAE Standards Policy Committee (SPC) is currently 
working to add the details of RP 1581 to the standard and has a Work 
Statement for a project investigating the damper box/inlet duct to 
provide an improved recommendation for that as well. (AHRI, No. 27 at 
p. 21; Nortek, No. 22 at p. 17-18)
    As stated previously, this requirement was not part of the August 
2016 SNOPR, and as such, DOE cannot modify this requirement in this 
final rule. However, DOE is willing to consider this change in a future 
rulemaking after ASHRAE Standards Policy Committee has published 
standard revision to reflect this recommendation.
6. Off-Mode Power Consumption
    In the June 2016 Final Rule, DOE adopted the off-mode test 
procedure and the method of calculation. In addition, DOE required that 
the calculated P1 and P2 should be rounded to the nearest watt. 81 FR 
at 37095-97 (June 8, 2016).
    AHRI and Nortek commented that the accuracy of 0.5% for all watt-
hour measurement in section 2.8 is not feasible for off-mode power 
measurement because it can be very close to zero. So AHRI suggested 
that the accuracy requirement in section 2.8 be 0.5% or 0.5 W, 
whichever is greater. (AHRI, No. 27 at p. 22; Nortek, No. 22 at p. 18) 
Ingersoll Rand recommended that the accuracy for the off mode power 
consumption measurement be 0.5 watts. (Ingersoll Rand, No. 38 at p. 5)
    As stated previously, this requirement was not part of the August 
2016 SNOPR, and as such, DOE cannot modify this requirement in this 
final rule. Mitsubishi expressed concern that multi-split systems were 
not fully considered in the development of off-mode tests, and 
requested that DOE review the off-mode power requirements to ensure 
that multi-split systems are not inadvertently disadvantaged. 
(Mitsubishi, No. 29 at p. 5)
    Although DOE cannot modify this requirement in this final rule, DOE 
has reviewed the off-mode requirements and believes that multi-split 
systems should follow the same procedure--thus no change to the test 
procedure to specifically address multi-split systems is needed. DOE 
understands that the off-mode testing for multi-split system may be 
more complicated, but manufacturers have the option to develop an AEDM 
for most off-mode ratings if additional test requirements are 
necessary.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of a final regulatory flexibility analysis (FRFA) for any 
final rule, unless the agency certifies that the rule, if promulgated, 
will not have a significant economic impact on a substantial number of 
small entities. A required by Executive Order 13272, ``Proper 
Consideration of Small Entities in Agency Rulemaking,'' 67 FR 53461 
(August 16, 2002), DOE published procedures and policies on February 
19, 2003, to ensure that the potential impacts of its rules on small 
entities are properly considered during the DOE rulemaking process. 68 
FR 7990. DOE has made its procedures and policies available on the 
Office of the General Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed this final rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. This final rule establishes two sets of test procedure 
changes: One set of changes to DOE's already-existing test procedure, 
appendix M; and another set of changes to create a new appendix M1 that 
would be used for testing to demonstrate compliance with any amended 
energy conservation standards. DOE has estimated the impacts of both 
sets of test procedure changes on small business manufacturers.
1. Description and Estimate of the Number of Small Entities Affected
    For the purpose of the regulatory flexibility analysis for this 
final rule, DOE adopts the Small Business Administration (SBA) 
definition of a

[[Page 1464]]

small entity within this industry as a manufacturing enterprise with 
1,250 employees or fewer. DOE used the SBA's size standards to 
determine whether any small entities would be required to comply with 
the rule. The size standards are codified at 13 CFR part 121. The 
standards are listed by North American Industry Classification System 
(NAICS) code and industry description are available at: https://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf. CAC/HP 
manufacturers are classified under NAICS 333415, ``Air Conditioning and 
Warm Air Heating Equipment and Commercial and Industrial Refrigeration 
Equipment Manufacturing.'' 70 FR 12395 (March 11, 2005)
    To estimate the number of small business manufacturers of equipment 
affected by this rulemaking, DOE conducted a market survey using 
available public information. DOE's research involved industry trade 
association membership directories (including AHRI), individual company 
Web sites, and market research tools (e.g., Hoovers reports) to create 
a list of companies that manufacture products applicable to this 
rulemaking. DOE presented its list to manufacturers in MIA interviews 
and asked industry representatives if they were aware of any other 
small manufacturers during manufacturer interviews and ASRAC Working 
Group meetings. DOE reviewed publicly-available data and contacted 
companies on its list, as necessary, to determine whether they met the 
SBA's definition of a small business manufacturer. DOE screened out 
companies that do not offer products applicable to this rulemaking, do 
not meet the definition of a small business, or are foreign-owned and 
operated.
    DOE identified 22 manufacturers of residential central air 
conditioners and heat pumps that would be considered domestic small 
businesses with a total of less than 3 percent of the market sales.
2. Discussion of Testing Burden and Comments
a. Testing Burdens
    Potential impacts of the amended test procedure on all 
manufacturers, including small businesses, come from impacts associated 
with the cost of additional testing. DOE expects that many of the 
provisions in this notice will result in no increase to test burden. 
DOE's mandate to use new heating load line equation provisions to 
calculate HSPF for heat pumps, new default values for indoor fan power 
consumption, and a new interpolation approach for COP of variable-speed 
heat pumps are changes to calculations and do not require any 
additional time or investment from manufacturers. Similarly, DOE's 
mandate to require certification of the time delay used when testing 
coil-only units does not affect testing. DOE's mandate to test at new 
minimum external static pressure conditions would require manufacturers 
to test at different, but not additional test points using the same 
equipment and methodologies required by the current test procedure. 
DOE's mandate for single-package units to make the official test the 
test that does not include the secondary outdoor air enthalpy method 
measurement also does not require any additional testing. Similarly, 
DOE's mandate to include an optional test at 5 [deg]F for variable-
speed heat pumps does not require manufacturers to do any additional 
testing. However, other provisions may increase test burden. DOE 
anticipates that changes to provisions for mini-split refrigerant 
pressure lines may cause labs and manufacturers to relocate pressure 
transducers or in a worst case scenario, build a separate satellite 
test instrumentation console for pressure measurements closer to the 
test samples. DOE estimates that building such a satellite console 
would constitute a one-time cost on the order of $1,000 per test room. 
DOE's mandate to modify the off mode test for units with self-regulated 
crankcase heaters could result in more significant increases to test 
burden, but for a small number of models. DOE estimates that the new 
provisions could add 8 hours per test for units with self-regulated 
crankcase heaters and an additional 8 hours for those units with self-
regulated crankcase heaters that also have a compressor sound blanket. 
Sound blankets are premium features. DOE estimates that less than 25 
percent of all units have self-regulated crankcase heaters and less 
than 5 percent have self-regulated crankcase heaters and sound 
blankets. DOE estimates the additional cost of testing to be $250 for 
units with self-regulating crankcase heaters and $500 for units with 
self-regulating crankcase heaters and sound blankets. DOE also 
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 mandates labeling requirements for the indoor and outdoor units 
of mobile home blower coil and coil-only systems and is also requiring 
that manufacturers include a specific designation in the installation 
instructions for these units. DOE estimates the additional cost to 
manufacturers associated with meeting the labeling requirement to be 
marginal as compared to the total production cost and the overall 
impact to be small.
    As discussed in this preamble, DOE identified 22 domestic small 
business manufacturers of residential central air conditioners and heat 
pumps. Of these, only OUMs that operate their own manufacturing 
facilities (i.e., are not private labelers selling only models 
manufactured by other entities) and OUM importing private labelers 
would be subject to the additional requirements for testing required by 
this proposed rule. DOE identified 12 such small businesses but was 
able to estimate the number of basic models associated only with nine 
of these.
    DOE requires that only one combination associated with any given 
outdoor unit be laboratory tested. 10 CFR 429.16(b). The majority of 
residential central air conditioners and heat pumps offered by a 
manufacturer are split-system combinations that are not required to be 
laboratory tested but can be certified using an AEDM that does not 
require DOE testing of these units. DOE reviewed available data for the 
nine small businesses to estimate the incremental testing cost burden 
those firms might experience due to the revised test procedure. These 
manufacturers had an average of 35 models requiring testing. DOE 
determined the numbers of models using the AHRI Directory of Certified 
Product Performance, www.ahridirectory.org/ahridirectory/pages/home.aspx. As discussed, DOE estimates that less than 25 percent of 
models have self-regulating crankcase heaters and less than 5 percent 
have self-regulating crankcase heaters with blankets. Applying these 
estimates to the average 35 models for each small manufacturer results 
in an estimated two models with $500 per model in additional test costs 
and nine models with $250 per model in additional test costs as a 
result of the proposed changes. The additional testing cost for final 
certification of these models was therefore estimated at $3,250. 
Meanwhile, these certifications would be expected to last the 
residential central air conditioner and heat pump life, estimated to be 
at least five years based on the time frame established in EPCA for DOE 
review of central air conditioner efficiency standards. Hence, average 
annual additional costs for these small business manufacturers to 
perform the tests is $650.

[[Page 1465]]

    DOE does not expect ICMs to incur any additional burden as a result 
of the amended changes because the changes for which DOE estimates 
there will be increased burden do not apply to ICMs. Only outdoor units 
include self-regulating crankcase heaters with or without blankets, and 
DOE assumes that ICM manufacturers do not produce indoor units that 
have components with off mode power consumption. Consequently, ICMs 
would be able to use the off mode power measurements acquired and 
certified by OUMs to meet the test procedure requirements for off mode. 
Regarding the changes for mini-split refrigerant lines, DOE is not 
aware of any ICMs that maintain in-house test facilities. Consequently, 
the one-time cost associated with the amended changes for mini-split 
refrigerant lines would not be incurred by the ICM. DOE also 
anticipates that the one-time cost is low enough that the per-test cost 
charged by independent labs that provide testing services to ICMs would 
not increase as a result of this change.
b. Comments on the SNOPR Regulatory Flexibility Analysis
    Manufacturers commented that DOE's analysis does not accurately 
address the negative impacts of M and M1 test procedure changes that 
small manufacturers and ICMs may face. Particularly, Advanced 
Distributor Products (ADP) noted that DOE's small business impacts 
focused solely on the cost of these test procedure changes and do not 
take cumulative regulatory burden into consideration. A few 
manufacturers stated that residential central air conditioner and heat 
pump regulations threaten their ability to compete in the market, which 
in turn will reduce competition and consumer choices. According to ADP, 
these negative impacts are primarily due to the requirement to report 
data that ICMs do not possess. (ADP, No. 23 at p. 6) Mortex attributes 
these negative impacts to cumulative regulatory burden. (Mortex, No. 26 
at p. 4) First Co. cites excessive testing and unreasonable deadlines 
as drivers of disproportionate impacts that may reduce competition. 
First Co. attributes these negative impacts to the provisions finalized 
in the June 2016 test procedure final rule. (First Co., No. 21 at p. 5)
    DOE acknowledges the commenters' concerns that manufacturers may 
face cumulative regulatory burdens and disproportionate impacts. As 
discussed throughout this notice, DOE recognizes ADP's concern related 
to data reporting for ICMs and will address these issues through a 
separate process. Regarding Mortex's concerns with cumulative 
regulatory burden, DOE conducts an analysis of cumulative regulatory 
burden as part of the concurrent energy conservation standards 
rulemaking. Regardless of the findings of that analysis, DOE concludes 
with this FRFA that the burdens associated only with this rulemaking 
are not significant. DOE also understands that not all manufacturers 
have equal access to the resources needed to meet with the requirements 
of this final rule. EPCA does allow individual manufacturers to request 
an additional 180 days for representations--such a request cannot be 
made through a rulemaking public comment period submission and must be 
done through petition. (42 U.S.C 6293(c)(3)) The majority of the 
factors cited by First Co. as contributing to threats to their ability 
to compete are provisions adopted in the June 2016 Final Rule and for 
which no proposals were made in the August 2016 SNOPR. As a result, DOE 
cannot modify these requirements in this final rule.
    First Co. noted that the ASRAC Working Group did not include a 
manufacturer of space-constrained products, but rather included 
manufacturers that may benefit from the elimination of these products 
from the market. Prior to adopting the Working Group recommendations, 
First Co. said that DOE should have sought public comments on this 
matter. (First Co., No. 21 at p. 2) Additionally, Unico commented that 
small entities typically offer niche products, such as space-
constrained and small duct high velocity products, that larger 
companies do not manufacture. Unico believes small entities, like 
itself, will be disproportionately impacted by this final rule because, 
for SDHV, half the system is duct work which is not tested as part of 
the equipment. Consequently, comparing the real-life performance of 
small duct systems with other systems is difficult. (Unico, No. 30 at 
p. 7)
    In response, DOE acknowledges First Co.'s concerns regarding the 
lack of representation of space-constrained manufacturers in the 
Working Group. During the NOPR stage, DOE identified four manufacturers 
of space-constrained units. Of the four, two are AHRI members. Although 
these manufacturers were not present at Working Group meetings, AHRI 
served as a Working Group member. DOE assumes that AHRI represented all 
of their members' interests throughout the negotiations. During the 
NODA phase of the rulemaking, DOE invited space-constrained 
manufacturers to participate in interviews but none were conducted.
    In regards to Unico's comment, many of the CAC/HP products subject 
to this test procedure are installed and used with duct work. The test 
procedure does not include duct work for these products either. 
Instead, the test conditions for this procedure include provisions for 
minimum external static pressure, which is intended to mimic the 
operating conditions consistent with field duct work for each product. 
These minimum external static pressure requirements differ by product 
because not all CAC/HP are installed with the same duct work. These 
differing external static pressure requirements ensure that test 
results are representative of field conditions and can provide 
reasonable comparisons of performance.
    Based on its research and discussions presented in this section, 
DOE concludes that the cost burdens accruing from the residential 
central air conditioner and heat pump test procedure final rule will 
not constitute ``significant economic impact on a substantial number of 
small entities.''

C. Review Under the Paperwork Reduction Act of 1995

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

[[Page 1466]]

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this final rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of this final rule. States can petition 
DOE for exemption from such preemption to the extent, and based on 
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is 
required by Executive Order 13132.

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

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

I. Review Under Executive Order 12630

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

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

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

[[Page 1467]]

consistent with applicable policies in those guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that: (1) Is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use should the proposal be implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    The regulatory action to amend the test procedure for measuring the 
energy efficiency of central air conditioners and heat pumps is not a 
significant regulatory action under Executive Order 12866. Moreover, it 
will not have a significant adverse effect on the supply, distribution, 
or use of energy, nor has it been designated as a significant energy 
action by the Administrator of OIRA. Therefore, it is not a significant 
energy action, and, accordingly, DOE has not prepared a Statement of 
Energy Effects.

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

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

M. Description of Materials Incorporated by Reference

    In this final rule, DOE incorporates by reference (IBR) into 
appendix M1 to subpart B of part 430 specific sections, figures, and 
tables of several test standards published by AHRI, ASHRAE, and AMCA 
that are already incorporated by reference into appendix M to subpart B 
of part 430: ANSI/AHRI 210/240-2008 with Addenda 1 and 2, titled 
``Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment;'' ANSI/AHRI 1230-2010 with Addendum 2, titled ``Performance 
Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning 
and Heat Pump Equipment;'' ASHRAE 23.1-2010, titled ``Methods of 
Testing for Rating the Performance of Positive Displacement Refrigerant 
Compressors and Condensing Units that Operate at Subcritical 
Temperatures of the Refrigerant;'' ASHRAE Standard 37-2009, titled 
``Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment;'' ASHRAE 41.1-2013, titled 
``Standard Method for Temperature Measurement;'' ASHRAE 41.2-1987 (RA 
1992), titled ``Standard Methods for Laboratory Airflow Measurement;'' 
ASHRAE 41.6-2014, titled ``Standard Method for Humidity Measurement;'' 
ASHRAE 41.9-2011, titled ``Standard Methods for Volatile-Refrigerant 
Mass Flow Measurements Using Calorimeters;'' ASHRAE 116-2010, titled 
``Methods of Testing for Rating Seasonal Efficiency of Unitary Air 
Conditioners and Heat Pumps;'' and AMCA 210-2007, titled ``Laboratory 
Methods of Testing Fans for Certified Aerodynamic Performance Rating.''
    ANSI/AHRI 210/240-2008 is an industry accepted test procedure that 
measures the cooling and heating performance of central air 
conditioners and heat pumps and is applicable to products sold in North 
America. The test procedure in this final rule references various 
sections of ANSI/AHRI 210/240-2008 that address test setup, test 
conditions, and rating requirements. ANSI/AHRI 210/240-2008 is readily 
available on AHRI's Web site at http://www.ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards.
    ANSI/AHRI 1230-2010 is an industry accepted test procedure that 
measures the cooling and heating performance of variable refrigerant 
flow (VRF) multi-split air conditioners and heat pumps and is 
applicable to products sold in North America. The test procedure in 
this final rule for VRF multi-split systems references various sections 
of ANSI/AHRI 1230-2010 that address test setup, test conditions, and 
rating requirements. ANSI/AHRI 1230-2010 is readily available on AHRI's 
Web site at http://www.ahrinet.org/site/686/Standards/HVACR-Industry-Standards/Search-Standards.
    ASHRAE 23.1-2010 is an industry accepted test procedure for rating 
the thermodynamic performance of positive displacement refrigerant 
compressors and condensing units that operate at subcritical 
temperatures. The test procedure in this final rule references sections 
of ASHRAE 23.1-2010 that address requirements, instruments, methods of 
testing, and testing procedure specific to compressor calibration. 
ASHRAE 23.1-2010 can be purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE Standard 37-2009 is an industry accepted standard that 
provides test methods for determining the cooling capacity of unitary 
air conditioning equipment and the cooling or heating capacities, or 
both, of unitary heat pump equipment. The test procedure in this final 
rule references various sections of ASHRAE Standard 37-2009 that 
address test conditions and test procedures. ASHRAE Standard 37-2009 
can be purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE 41.1-2013 is an industry accepted method for measuring 
temperature in testing heating, refrigerating, and air conditioning 
equipment. The test procedure in this

[[Page 1468]]

final rule references sections of ASHRAE 41.1-2013 that address 
requirements, instruments, and methods for measuring temperature. 
ASHRAE 41.1-2013 can be purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE 41.2-1987 (RA 1992) is an industry accepted test method for 
measuring airflow. The test procedure in this final rule references 
sections of ASHRAE 41.2-1987 (RA 1992) that address test setup and test 
methods. ASHRAE 41.2-1987 (RA 1992) can be purchased from ASHRAE's Web 
site at https://www.ashrae.org/resources-publications.
    ASHRAE 41.6-2014 is an industry accepted test method for measuring 
humidity of moist air. The test procedure in this final rule references 
sections of ASHRAE 41.6-2014 that address requirements, instruments, 
and methods for measuring humidity. ASHRAE 41.6-2014 can be purchased 
from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    ASHRAE 41.9-2011 is an industry accepted standard that provides 
recommended practices for measuring the mass flow rate of volatile 
refrigerants using calorimeters. The test procedure in this final rule 
references sections of ASHRAE 41.9-2011 that address requirements, 
instruments, and methods for measuring refrigerant flow during 
compressor calibration. ASHRAE 41.9-2011 can be purchased from ASHRAE's 
Web site at https://www.ashrae.org/resources-publications.
    ANSI/ASHRAE Standard 116-2010 is an industry accepted standard that 
provides test methods and calculation procedures for determining the 
capacities and cooling seasonal efficiency ratios for unitary air-
conditioning, and heat pump equipment and heating seasonal performance 
factors for heat pump equipment. The test procedure in this final rule 
references various sections of ANSI/ASHRAE 116-2010 that addresses test 
methods and calculations. ANSI/ASHRAE Standard 116-2010 can be 
purchased from ASHRAE's Web site at https://www.ashrae.org/resources-publications.
    AMCA 210-2007 is an industry accepted standard that establishes 
uniform test methods for a laboratory test of a fan or other air moving 
device to determine its aerodynamic performance in terms of airflow 
rate, pressure developed, power consumption, air density, speed of 
rotation, and efficiency for rating or guarantee purposes. The test 
procedure in this final rule references various sections of AMCA 210-
2007 that address test conditions. AMCA 210-2007 can be purchased from 
AMCA's Web site at http://www.amca.org/store/index.php.

N. Congressional Notification

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

V. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 430

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

    Issued in Washington, DC, on November 30, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE amends parts 429 and 
430 of chapter II of title 10, subpart B, Code of Federal Regulations, 
as set forth below:

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

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

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.


0
2. Section 429.11 is amended by revising paragraph (a) to read as 
follows:


Sec.  429.11  General sampling requirements for selecting units to be 
tested.

    (a) When testing of covered products or covered equipment is 
required to comply with section 323(c) of the Act, or to comply with 
rules prescribed under section 324, 325, or 342, 344, 345 or 346 of the 
Act, a sample comprised of production units (or units representative of 
production units) of the basic model being tested must be selected at 
random and tested, and must meet the criteria found in Sec. Sec.  
429.14 through 429.62 of this subpart. Components of similar design may 
be substituted without additional testing if the substitution does not 
affect energy or water consumption. Any represented values of measures 
of energy efficiency, water efficiency, energy consumption, or water 
consumption for all individual models represented by a given basic 
model must be the same, except for central air conditioners and central 
air conditioning heat pumps, as specified in Sec.  429.16 of this 
subpart.
* * * * *

0
3. Section 429.16 is amended by:
0
a. Revising paragraph (a)(1);
0
b. Redesignating paragraphs (a)(3) and (4) as paragraphs (a)(4) and 
(5);
0
c. Adding new paragraph (a)(3);
0
d. Revising newly designated paragraph (a)(4)(i) and paragraph 
(b)(2)(i);
0
e. Revising paragraphs (b)(3) introductory text and (b)(3)(ii) and 
(iii);
0
f. Removing paragraph (b)(3)(iv); and
0
g. Revising paragraphs (c)(1)(i)(B), (c)(2) and (3), (d)(2) through 
(4), (e)(2) through (4), (f) introductory text, (f)(1) and (2), and 
(f)(4) and (5).
    The revisions and addition read as follows:


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

    (a) Determination of Represented Value--(1) Required represented 
values. Determine the represented values (including SEER, EER, HSPF, 
SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating 
capacity, as applicable) for the individual models/combinations (or 
``tested combinations'') specified in the following table.

[[Page 1469]]



------------------------------------------------------------------------
                                    Equipment       Required represented
           Category                subcategory             values
------------------------------------------------------------------------
Single-Package unit...........  Single-Package AC  Every individual
                                 (including Space-  model distributed in
                                 Constrained).      commerce.
                                Single-Package HP  .....................
                                 (including Space-
                                 Constrained).
Outdoor Unit and Indoor Unit    Single-Split-      Every individual
 (Distributed in Commerce by     System AC with     combination
 OUM).                           Single-Stage or    distributed in
                                 Two-Stage          commerce must be
                                 Compressor         rated as a coil-only
                                 (including Space-  combination. For
                                 Constrained and    each model of
                                 Small-Duct, High   outdoor unit, this
                                 Velocity Systems   must include at
                                 (SDHV)).           least one coil-only
                                                    value that is
                                                    representative of
                                                    the least efficient
                                                    combination
                                                    distributed in
                                                    commerce with that
                                                    particular model of
                                                    outdoor unit.
                                                    Additional blower-
                                                    coil representations
                                                    are allowed for any
                                                    applicable
                                                    individual
                                                    combinations, if
                                                    distributed in
                                                    commerce.
                                Single-Split-      Every individual
                                 System AC with     combination
                                 Other Than         distributed in
                                 Single-Stage or    commerce, including
                                 Two-Stage          all coil-only and
                                 Compressor         blower coil
                                 (including Space-  combinations.
                                 Constrained and
                                 SDHV).
                                Single-Split-      Every individual
                                 System HP          combination
                                 (including Space-  distributed in
                                 Constrained and    commerce.
                                 SDHV).
                                Multi-Split,       For each model of
                                 Multi-Circuit,     outdoor unit, at a
                                 or Multi-Head      minimum, a non-
                                 Mini-Split Split   ducted ``tested
                                 System--non-SDHV   combination.'' For
                                 (including Space-  any model of outdoor
                                 Constrained).      unit also sold with
                                                    models of ducted
                                                    indoor units, a
                                                    ducted ``tested
                                                    combination.'' When
                                                    determining
                                                    represented values
                                                    on or after January
                                                    1, 2023, the ducted
                                                    ``tested
                                                    combination'' must
                                                    comprise the highest
                                                    static variety of
                                                    ducted indoor unit
                                                    distributed in
                                                    commerce (i.e.,
                                                    conventional, mid-
                                                    static, or low-
                                                    static). Additional
                                                    representations are
                                                    allowed, as
                                                    described in
                                                    paragraph (c)(3)(i)
                                                    of this section.
                                Multi-Split,       For each model of
                                 Multi-Circuit,     outdoor unit, an
                                 or Multi-Head      SDHV ``tested
                                 Mini-Split Split   combination.''
                                 System--SDHV.      Additional
                                                    representations are
                                                    allowed, as
                                                    described in
                                                    paragraph (c)(3)(ii)
                                                    of this section.
Indoor Unit Only Distributed    Single-Split-      Every individual
 in Commerce by ICM).            System Air         combination
                                 Conditioner        distributed in
                                 (including Space-  commerce.
                                 Constrained and
                                 SDHV).
                                Single-Split-      .....................
                                 System Heat Pump
                                 (including Space-
                                 Constrained and
                                 SDHV).
                                Multi-Split,       For a model of indoor
                                 Multi-Circuit,     unit within each
                                 or Multi-Head      basic model, an SDHV
                                 Mini-Split Split   ``tested
                                 System--SDHV.      combination.''
                                                    Additional
                                                    representations are
                                                    allowed, as
                                                    described in section
                                                    (c)(3)(ii) of this
                                                    section.
------------------------------------------------------------------------
Outdoor Unit with no Match.......................  Every model of
                                                    outdoor unit
                                                    distributed in
                                                    commerce (tested
                                                    with a model of coil-
                                                    only indoor unit as
                                                    specified in
                                                    paragraph (b)(2)(i)
                                                    of this section).
------------------------------------------------------------------------

* * * * *
    (3) Refrigerants. (i) If a model of outdoor unit (used in a single-
split, multi-split, multi-circuit, multi-head mini-split, and/or 
outdoor unit with no match system) is distributed in commerce and 
approved for use with multiple refrigerants, a manufacturer must 
determine all represented values for that model using each refrigerant 
that can be used in an individual combination of the basic model 
(including outdoor units with no match or ``tested combinations''). 
This requirement may apply across the listed categories in the table in 
paragraph (a)(1) of this section. A refrigerant is considered approved 
for use if it is listed on the nameplate of the outdoor unit. If any of 
the refrigerants approved for use is HCFC-22 or has a 95[emsp14][deg]F 
midpoint saturation absolute pressure that is +/- 18 percent of the 
95[emsp14][deg]F saturation absolute pressure for HCFC-22, or if there 
are no refrigerants designated as approved for use, a manufacturer must 
determine represented values (including SEER, EER, HSPF, SEER2, EER2, 
HSPF2, PW,OFF, cooling capacity, and heating capacity, as 
applicable) for, at a minimum, an outdoor unit with no match. If a 
model of outdoor unit is not charged with a specified refrigerant from 
the point of manufacture or if the unit is shipped requiring the 
addition of more than two pounds of refrigerant to meet the charge 
required for testing per section 2.2.5 of appendix M or appendix M1 
(unless either (a) the factory charge is equal to or greater than 70% 
of the outdoor unit internal volume times the liquid density of 
refrigerant at 95[emsp14][deg]F or (b) an A2L refrigerant is approved 
for use and listed in the certification report), a manufacturer must 
determine represented values (including SEER, EER, HSPF, SEER2, EER2, 
HSPF2, PW,OFF, cooling capacity, and heating capacity, as 
applicable) for, at a minimum, an outdoor unit with no match.
    (ii) If a model is approved for use with multiple refrigerants, a 
manufacturer may make multiple separate representations for the 
performance of that model (all within the same individual combination 
or outdoor unit with no match) using the multiple approved 
refrigerants. In the alternative, manufacturers may certify the model 
(all within the same individual combination or outdoor unit with no 
match) with a single representation, provided that the represented 
value is no more efficient than its performance using the least-
efficient refrigerant. If a manufacturer certifies a single model with 
multiple representations for the different approved refrigerants, it 
may use an AEDM to determine the represented values for all other 
refrigerants besides the refrigerant used for testing. A single 
representation made for multiple refrigerants may not include equipment 
in multiple categories or equipment subcategories listed in the table 
in paragraph (a)(1) of this section.
    (4) * * *
    (i) Regional. A basic model may only be certified as compliant with 
a regional standard if all individual combinations within that basic 
model meet the regional standard for which it is certified. A model of 
outdoor unit that is certified below a regional standard can only be 
rated and certified as compliant with a regional standard if the model 
of outdoor unit has a unique model number and has been certified as a 
different basic model for distribution in each region. An ICM cannot 
certify an

[[Page 1470]]

individual combination with a rating that is compliant with a regional 
standard if the individual combination includes a model of outdoor unit 
that the OUM has certified with a rating that is not compliant with a 
regional standard. Conversely, an ICM cannot certify an individual 
combination with a rating that is not compliant with a regional 
standard if the individual combination includes a model of outdoor unit 
that an OUM has certified with a rating that is compliant with a 
regional standard.
* * * * *
    (b) * * *
    (2) Individual model/combination selection for testing. (i) The 
table identifies the minimum testing requirements for each basic model 
that includes multiple individual models/combinations; if a basic model 
spans multiple categories or subcategories listed in the table, 
multiple testing requirements apply. For each basic model that includes 
only one individual model/combination, test that individual model/
combination. For single-split-system non-space-constrained air 
conditioners and heat pumps, when testing is required in accordance 
with 10 CFR part 430, subpart B, appendix M1, these requirements do not 
apply until July 1, 2024, provided that the manufacturer is certifying 
compliance of all basic models using an AEDM in accordance with 
paragraph (c)(1)(i)(B) of this section and paragraph (e)(2)(i)(A) of 
Sec.  429.70.

----------------------------------------------------------------------------------------------------------------
              Category                Equipment subcategory        Must test:                   With:
----------------------------------------------------------------------------------------------------------------
Single-Package Unit................  Single-Package AC       The individual model    N/A.
                                      (including Space-       with the lowest SEER
                                      Constrained).           (when testing in
                                                              accordance with
                                                              appendix M to subpart
                                                              B of part 430) or
                                                              SEER2 (when testing
                                                              in accordance with
                                                              appendix M1 to
                                                              subpart B of part
                                                              430).
                                     Single-Package HP
                                      (including Space-
                                      Constrained).
Outdoor Unit and Indoor Unit         Single-Split-System AC  The model of outdoor    A model of coil-only indoor
 (Distributed in Commerce by OUM).    with Single-Stage or    unit.                   unit.
                                      Two-Stage Compressor
                                      (including Space-
                                      Constrained and Small-
                                       Duct, High Velocity
                                      Systems (SDHV)).
                                     Single-Split-System AC  The model of outdoor    A model of indoor unit.
                                      with Other Than         unit.
                                      Single-Stage or Two-
                                      Stage Compressor
                                      (including Space-
                                      Constrained and SDHV).
                                     Single-Split-System HP
                                      (including Space-
                                      Constrained and SDHV).
                                     Multi-Split, Multi-     The model of outdoor    At a minimum, a ``tested
                                      Circuit, or Multi-      unit.                   combination'' composed
                                      Head Mini-Split Split                           entirely of non-ducted
                                      System--non-SDHV                                indoor units. For any
                                      (including Space-                               models of outdoor units
                                      Constrained).                                   also sold with models of
                                                                                      ducted indoor units, test
                                                                                      a second ``tested
                                                                                      combination'' composed
                                                                                      entirely of ducted indoor
                                                                                      units (in addition to the
                                                                                      non-ducted combination).
                                                                                      If testing under appendix
                                                                                      M1 to subpart B of part
                                                                                      430, the ducted ``tested
                                                                                      combination'' must
                                                                                      comprise the highest
                                                                                      static variety of ducted
                                                                                      indoor unit distributed in
                                                                                      commerce (i.e.,
                                                                                      conventional, mid-static,
                                                                                      or low-static).
                                     Multi-Split, Multi-     The model of outdoor    A ``tested combination''
                                      Circuit, or Multi-      unit.                   composed entirely of SDHV
                                      Head Mini-Split Split                           indoor units.
                                      System--SDHV.
Indoor Unit Only (Distributed in     Single-Split-System     A model of indoor unit  The least efficient model
 Commerce by ICM).                    Air Conditioner                                 of outdoor unit with which
                                      (including Space-                               it will be paired where
                                      Constrained and SDHV).                          the least efficient model
                                                                                      of outdoor unit is the
                                                                                      model of outdoor unit in
                                                                                      the lowest SEER
                                                                                      combination (when testing
                                                                                      under appendix M to
                                                                                      subpart B of part 430) or
                                                                                      SEER2 combination (when
                                                                                      testing under appendix M1
                                                                                      to subpart B of part 430)
                                                                                      as certified by the OUM.
                                                                                      If there are multiple
                                                                                      models of outdoor unit
                                                                                      with the same lowest SEER
                                                                                      (when testing under
                                                                                      appendix M to subpart B of
                                                                                      part 430) or SEER2 (when
                                                                                      testing under appendix M1
                                                                                      to subpart B of part 430)
                                                                                      represented value, the ICM
                                                                                      may select one for testing
                                                                                      purposes.

[[Page 1471]]

 
                                     Single-Split-System     Nothing, as long as an  ...........................
                                      Heat Pump (including    equivalent air
                                      Space-Constrained and   conditioner basic
                                      SDHV).                  model has been tested.
                                                             If an equivalent air
                                                              conditioner basic
                                                              model has not been
                                                              tested, must test a
                                                              model of indoor unit.
                                     Multi-Split, Multi-     A model of indoor unit  A ``tested combination''
                                      Circuit, or Multi-                              composed entirely of SDHV
                                      Head Mini-Split Split                           indoor units, where the
                                      System--SDHV.                                   outdoor unit is the least
                                                                                      efficient model of outdoor
                                                                                      unit with which the SDHV
                                                                                      indoor unit will be
                                                                                      paired. The least
                                                                                      efficient model of outdoor
                                                                                      unit is the model of
                                                                                      outdoor unit in the lowest
                                                                                      SEER combination (when
                                                                                      testing under appendix M
                                                                                      to subpart B of part 430)
                                                                                      or SEER2 combination (when
                                                                                      testing under appendix M1
                                                                                      to subpart B of part 430)
                                                                                      as certified by the OUM.
                                                                                      If there are multiple
                                                                                      models of outdoor unit
                                                                                      with the same lowest SEER
                                                                                      represented value (when
                                                                                      testing under appendix M
                                                                                      to subpart B of part 430)
                                                                                      or SEER2 represented value
                                                                                      (when testing under
                                                                                      appendix M1 to subpart B
                                                                                      of part 430), the ICM may
                                                                                      select one for testing
                                                                                      purposes.
Outdoor Unit with No Match.........  ......................  The model of outdoor    A model of coil-only indoor
                                                              unit.                   unit meeting the
                                                                                      requirements of section
                                                                                      2.2e of appendix M or M1
                                                                                      to subpart B of part 430.
----------------------------------------------------------------------------------------------------------------

* * * * *
    (3) Sampling plans and represented values. For individual models 
(for single-package systems) or individual combinations (for split-
systems, including ``tested combinations'' for multi-split, multi-
circuit, and multi-head mini-split systems) with represented values 
determined through testing, each individual model/combination (or 
``tested combination'') must have a sample of sufficient size tested in 
accordance with the applicable provisions of this subpart. For heat 
pumps (other than heating-only heat pumps), all units of the sample 
population must be tested in both the cooling and heating modes and the 
results used for determining all representations. The represented 
values for any individual model/combination must be assigned such that:
* * * * *
    (ii) SEER, EER, HSPF, SEER2, EER2, and HSPF2. Any represented value 
of the energy efficiency or other measure of energy consumption for 
which consumers would favor higher values shall be less than or equal 
to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR05JA17.000
    

and, x is the sample mean; n is the number of samples; and xi is the 
ith sample; or,
    (B) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.001


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.90 is the t statistic for a 90 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix D). Round represented values of EER, SEER, HSPF, EER2, 
SEER2, and HSPF2 to the nearest 0.05.
    (iii) Cooling Capacity and Heating Capacity. The represented values 
of cooling capacity and heating capacity must each be a self-declared 
value that is:
    (A) Less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR05JA17.002
    

and, x is the sample mean; n is the number of samples; and xi is the 
ith sample; or,
    (2) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.003


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.90 is the t statistic for a 90 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix D).
    (B) Rounded according to:
    (1) To the nearest 100 Btu/h if cooling capacity or heating 
capacity is less than 20,000 Btu/h,
    (2) To the nearest 200 Btu/h if cooling capacity or heating 
capacity is greater than or equal to 20,000 Btu/h but less than 38,000 
Btu/h, and
    (3) To the nearest 500 Btu/h if cooling capacity or heating 
capacity is greater than or equal to 38,000 Btu/h and less than 65,000 
Btu/h.
    (c) * * *
    (1) * * *
    (i) * * *
    (B) The represented values of the measures of energy efficiency or 
energy consumption through the application of an AEDM in accordance 
with paragraph (d) of this section and Sec.  429.70. An AEDM may only 
be used to determine represented values for individual models or 
combinations in a basic model (or separate approved refrigerants within 
an individual combination) other than the individual model or 
combination(s) required for mandatory testing under paragraph (b)(2) of 
this section, except that, for single-split, non-space-constrained 
systems, when testing is required in accordance with 10 CFR part 430, 
subpart B, appendix M1, an AEDM may be used to rate the individual 
model or combination(s) required for mandatory testing under paragraph 
(b)(2) of this section until July

[[Page 1472]]

1, 2024, in accordance with paragraph (e)(2)(i)(A) of Sec.  429.70.
* * * * *
    (2) Outdoor units with no match. All models of outdoor units with 
no match within a basic model must be tested. No model of outdoor unit 
with no match may be rated with an AEDM, other than to determine the 
represented values for models using approved refrigerants other than 
the one used in testing.
    (3) For multi-split systems, multi-circuit systems, and multi-head 
mini-split systems. The following applies:
    (i) When testing in accordance with 10 CFR part 430, subpart B, 
appendix M1, for basic models that include additional varieties of 
ducted indoor units (i.e., conventional, low-static, or mid-static) 
other than the one for which representation is required in paragraph 
(a)(1) of this section, if a manufacturer chooses to make a 
representation, the manufacturer must conduct testing of a tested 
combination according to the requirements in paragraph (b)(3) of this 
section.
    (ii) When testing in accordance with 10 CFR part 430, subpart B, 
appendix M, for basic models composed of both non-ducted and ducted 
combinations, the represented value for the mixed non-ducted/ducted 
combination is the mean of the represented values for the non-ducted 
and ducted combinations as determined in accordance with paragraph 
(b)(3) of this section. When testing in accordance with 10 CFR part 
430, subpart B, appendix M1, for basic models that include mixed 
combinations of indoor units (any two kinds of non-ducted, low-static, 
mid-static, and conventional ducted indoor units), the represented 
value for the mixed combination is the mean of the represented values 
for the individual component combinations as determined in accordance 
with paragraph (b)(3) of this section.
    (iii) When testing in accordance with 10 CFR part 430, subpart B, 
appendix M, for basic models composed of both SDHV and non-ducted or 
ducted combinations, the represented value for the mixed SDHV/non-
ducted or SDHV/ducted combination is the mean of the represented values 
for the SDHV, non-ducted, or ducted combinations, as applicable, as 
determined in accordance with paragraph (b)(3) of this section. When 
testing in accordance with 10 CFR part 430, subpart B, appendix M1, for 
basic models including mixed combinations of SDHV and another kind of 
indoor unit (any of non-ducted, low-static, mid-static, and 
conventional ducted), the represented value for the mixed SDHV/other 
combination is the mean of the represented values for the SDHV and 
other tested combination as determined in accordance with paragraph 
(b)(3) of this section.
    (iv) All other individual combinations of models of indoor units 
for the same model of outdoor unit for which the manufacturer chooses 
to make representations must be rated as separate basic models, and the 
provisions of paragraphs (b)(1) through (3) and (c)(3)(i) through (iii) 
of this section apply.
    (v) With respect to PW,OFF only, for every individual 
combination (or ``tested combination'') within a basic model tested 
pursuant to paragraph (b)(2) of this section, but for which 
PW,OFF testing was not conducted, the representative values 
of PW,OFF may be assigned through either:
    (A) The testing result from an individual model or combination of 
similar off-mode construction, or
    (B) Application of an AEDM in accordance with paragraph (d) of this 
section and Sec.  429.70.
    (d) * * *
    (2) Energy efficiency. Any represented value of the SEER, EER, 
HSPF, SEER2, EER2, HSPF2 or other measure of energy efficiency of an 
individual model/combination for which consumers would favor higher 
values must be less than or equal to the output of the AEDM but no less 
than the standard.
    (3) Cooling capacity. The represented value of cooling capacity of 
an individual model/combination must be no greater than the cooling 
capacity output simulated by the AEDM.
    (4) Heating capacity. The represented value of heating capacity of 
an individual model/combination must be no greater than the heating 
capacity output simulated by the AEDM.
    (e) * * *
    (2) Public product-specific information. Pursuant to Sec.  
429.12(b)(13), for each individual model (for single-package systems) 
or individual combination (for split-systems, including outdoor units 
with no match and ``tested combinations'' for multi-split, multi-
circuit, and multi-head mini-split systems), a certification report 
must include the following public product-specific information: When 
certifying compliance with January 1, 2015, energy conservation 
standards, the seasonal energy efficiency ratio (SEER in British 
thermal units per Watt-hour (Btu/W-h)) or when certifying compliance 
with January 1, 2023, energy conservation standards, seasonal energy 
efficiency ratio 2 (SEER2 in British thermal units per Watt-hour (Btu/
W-h)); the average off mode power consumption (PW,OFF in 
Watts); the cooling capacity in British thermal units per hour (Btu/h); 
the region(s) in which the basic model can be sold; when certifying 
compliance with January 1, 2023, energy conservation standards, the 
kind(s) of air conditioner or heat pump associated with the minimum 
external static pressure used in testing or rating (ceiling-mount, 
wall-mount, mobile home, low-static, mid-static, small duct high 
velocity, space-constrained, or conventional/not otherwise listed); and
    (i) For heat pumps, when certifying compliance with January 1, 
2015, energy conservation standards, the heating seasonal performance 
factor (HSPF in British thermal units per Watt-hour (Btu/W-h)) or, when 
certifying compliance with January 1, 2023, energy conservation 
standards, heating seasonal performance factor 2 (HSPF2 in British 
thermal units per Watt-hour (Btu/W-h));
    (ii) For central air conditioners (excluding space-constrained 
products), when certifying compliance with January 1, 2015, energy 
conservation standards, the energy efficiency ratio (EER in British 
thermal units per Watt-hour (Btu/W-h)) from the A or A2 
test, whichever applies, or when certifying compliance with January 1, 
2023, energy conservation standards, the energy efficiency ratio 2 
(EER2 in Btu/W-h);
    (iii) For single-split-systems, whether the represented value is 
for a coil-only or blower coil system;
    (iv) For multi-split, multiple-circuit, and multi-head mini-split 
systems (including VRF and SDHV), when certifying compliance with 
January 1, 2015, energy conservation standards, whether the represented 
value is for a non-ducted, ducted, mixed non-ducted/ducted system, 
SDHV, mixed non-ducted/SDHV system, or mixed ducted/SDHV system;
    (v) For all split systems including outdoor units with no match, 
the refrigerant.
    (3) Basic and individual model numbers. The basic model number and 
individual model number(s) required to be reported under Sec.  
429.12(b)(6) must consist of the following:

[[Page 1473]]



----------------------------------------------------------------------------------------------------------------
                                                                      Individual model number(s)
         Equipment type           Basic model number -----------------------------------------------------------
                                                               1                   2                   3
----------------------------------------------------------------------------------------------------------------
Single-Package (including Space-  Number unique to    Package...........  N/A...............  N/A.
 Constrained).                     the basic model.
Single-Split System (including    Number unique to    Outdoor Unit......  Indoor Unit.......  If applicable--Air
 Space-Constrained and SDHV).      the basic model.                                            Mover (could be
                                                                                               same as indoor
                                                                                               unit if fan is
                                                                                               part of indoor
                                                                                               unit model
                                                                                               number).
Multi-Split, Multi-Circuit, and   Number unique to    Outdoor Unit......  When certifying a   If applicable--
 Multi-Head Mini-Split System      the basic model.                        basic model based   When certifying a
 (including Space-Constrained                                              on tested           basic model based
 and SDHV).                                                                combination(s): *   on tested
                                                                           * *.                combination(s): *
                                                                          When certifying an   * *.
                                                                           individual         When certifying an
                                                                           combination:        individual
                                                                           Indoor Unit(s).     combination: Air
                                                                                               Mover(s).
Outdoor Unit with No Match......  Number unique to    Outdoor Unit......  N/A...............  N/A.
                                   the basic model.
----------------------------------------------------------------------------------------------------------------

    (4) Additional product-specific information. Pursuant to Sec.  
429.12(b)(13), for each individual model/combination (including outdoor 
units with no match and ``tested combinations''), a certification 
report must include the following additional product-specific 
information: The cooling full load air volume rate for the system or 
for each indoor unit as applicable (in cubic feet per minute of 
standard air (scfm)); the air volume rates that represent normal 
operation for other test conditions including minimum cooling air 
volume rate, intermediate cooling air volume rate, full load heating 
air volume rate, minimum heating air volume rate, intermediate heating 
air volume rate, and nominal heating air volume rate (scfm) for the 
system or for each indoor unit as applicable, if different from the 
cooling full load air volume rate; whether the individual model uses a 
fixed orifice, thermostatic expansion valve, electronic expansion 
valve, or other type of metering device; the duration of the compressor 
break-in period, if used; whether the optional tests were conducted to 
determine the CDc value used to represent cooling mode cycling losses 
or whether the default value was used; the temperature at which the 
crankcase heater with controls is designed to turn on, if applicable; 
whether an inlet plenum was installed during testing; the duration of 
the indoor fan time delay, if used; and
    (i) For heat pumps, whether the optional tests were conducted to 
determine the CDh value or whether the default value was used; and the 
maximum time between defrosts as allowed by the controls (in hours);
    (ii) For multi-split, multiple-circuit, and multi-head mini-split 
systems, the number of indoor units tested with the outdoor unit; the 
nominal cooling capacity of each indoor unit and outdoor unit in the 
combination; and the indoor units that are not providing heating or 
cooling for part-load tests;
    (iii) For ducted systems having multiple indoor fans within a 
single indoor unit, the number of indoor fans; the nominal cooling 
capacity of the indoor unit and outdoor unit; which fan(s) operate to 
attain the full-load air volume rate when controls limit the 
simultaneous operation of all fans within the single indoor unit; and 
the allocation of the full-load air volume rate to each operational fan 
when different capacity blowers are connected to the common duct;
    (iv) For blower coil systems, the airflow-control settings 
associated with full load cooling operation; and the airflow-control 
settings or alternative instructions for setting fan speed to the speed 
upon which the rating is based;
    (v) For models with time-adaptive defrost control, the frosting 
interval to be used during Frost Accumulation tests and the procedure 
for manually initiating the defrost at the specified time;
    (vi) For models of indoor units designed for both horizontal and 
vertical installation or for both up-flow and down-flow vertical 
installations, the orientation used for testing;
    (vii) For variable-speed models, the compressor frequency set 
points, and the required dip switch/control settings for step or 
variable components;
    (viii) For variable-speed heat pumps, whether the H1N or 
H12 test speed is the same as the H32 test speed; 
the compressor frequency that corresponds to maximum speed at which the 
system controls would operate the compressor in normal operation in a 
17 [deg]F ambient temperature; and when certifying compliance with 
January 1, 2023, energy conservation standards, whether the optional 5 
[deg]F very low temperature heating mode test was used to characterize 
performance at temperatures below 17 [deg]F (except for triple-capacity 
northern heat pumps, for which the very low temperature test is 
required,) and whether the alternative test required for minimum-speed-
limiting variable-speed heat pumps was used;
    (ix) For models of outdoor units with no match, the following 
characteristics of the indoor coil: The face area, the coil depth in 
the direction of airflow, the fin density (fins per inch), the fin 
material, the fin style, the tube diameter, the tube material, and the 
numbers of tubes high and deep; and
    (x) For central air conditioners and heat pumps that have two-
capacity compressors that lock out low capacity operation for cooling 
at higher outdoor temperatures and/or heating at lower outdoor 
temperatures, the outdoor temperature(s) at which the unit locks out 
low capacity operation.
    (f) Represented values for the Federal Trade Commission. Use the 
following represented value determinations to meet the requirements of 
the Federal Trade Commission.
    (1) Annual Operating Cost--Cooling. Determine the represented value 
of estimated annual operating cost for cooling-only units or the 
cooling portion of the estimated annual operating cost for air-source 
heat pumps that provide both heating and cooling by calculating the 
product of:
    (i) The value determined in paragraph (f)(1)(i)(A) of this section 
if using appendix M to subpart B of part 430 or the value determined in 
paragraph (f)(1)(i)(B) of this section if using appendix M1 to subpart 
B of part 430;
    (A) the quotient of the represented value of cooling capacity, in 
Btu's per hour as determined in paragraph

[[Page 1474]]

(b)(3)(iii) of this section, divided by the represented value of SEER, 
in Btu's per watt-hour, as determined in paragraph (b)(3)(ii) of this 
section;
    (B) the quotient of the represented value of cooling capacity, in 
Btu's per hour as determined in paragraph (b)(3)(i)(C) of this section, 
and multiplied by 0.93 for variable-speed heat pumps only, divided by 
the represented value of SEER2, in Btu's per watt-hour, as determined 
in paragraph (b)(3)(i)(B) of this section.
    (ii) The representative average use cycle for cooling of 1,000 
hours per year;
    (iii) A conversion factor of 0.001 kilowatt per watt; and
    (iv) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (2) Annual Operating Cost--Heating. Determine the represented value 
of estimated annual operating cost for air-source heat pumps that 
provide only heating or for the heating portion of the estimated annual 
operating cost for air-source heat pumps that provide both heating and 
cooling, as follows:
    (i) When using appendix M to subpart B of part 430, the product of:
    (A) The quotient of the mean of the standardized design heating 
requirement for the sample, in Btu's per hour, nearest to the Region IV 
minimum design heating requirement, determined for each unit in the 
sample in section 4.2 of appendix M to subpart B of part 430, divided 
by the represented value of heating seasonal performance factor (HSPF), 
in Btu's per watt-hour, calculated for Region IV corresponding to the 
above-mentioned standardized design heating requirement, as determined 
in paragraph (b)(3)(ii) of this section;
    (B) The representative average use cycle for heating of 2,080 hours 
per year;
    (C) The adjustment factor of 0.77, which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatt per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act;
    (ii) When using appendix M1 to subpart B of part 430, the product 
of:
    (A) The quotient of the represented value of cooling capacity (for 
air-source heat pumps that provide both cooling and heating) in Btu's 
per hour, as determined in paragraph (b)(3)(i)(C) of this section, or 
the represented value of heating capacity (for air-source heat pumps 
that provide only heating), as determined in paragraph (b)(3)(i)(D) of 
this section, divided by the represented value of heating seasonal 
performance factor 2 (HSPF2), in Btu's per watt-hour, calculated for 
Region IV, as determined in paragraph (b)(3)(i)(B) of this section;
    (B) The representative average use cycle for heating of 1,572 hours 
per year;
    (C) The adjustment factor of 1.15 (for heat pumps that are not 
variable-speed) or 1.07 (for heat pumps that are variable-speed), which 
serves to adjust the calculated design heating requirement and heating 
load hours to the actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatt per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act;
* * * * *
    (4) Regional Annual Operating Cost--Cooling. Determine the 
represented value of estimated regional annual operating cost for 
cooling-only units or the cooling portion of the estimated regional 
annual operating cost for air-source heat pumps that provide both 
heating and cooling by calculating the product of:
    (i) The value determined in paragraph (f)(4)(i)(A) of this section 
if using appendix M to subpart B of part 430 or the value determined in 
paragraph (f)(4)(i)(B) of this section if using appendix M1 to subpart 
B of part 430;
    (A) the quotient of the represented value of cooling capacity, in 
Btu's per hour as determined in paragraph (b)(3)(iii) of this section, 
divided by the represented value of SEER, in Btu's per watt-hour, as 
determined in paragraph (b)(3)(ii) of this section;
    (B) the quotient of the represented value of cooling capacity, in 
Btu's per hour as determined in paragraph (b)(3)(i)(C) of this section, 
and multiplied by 0.93 for variable-speed heat pumps only, divided by 
the represented value of SEER2, in Btu's per watt-hour, as determined 
in paragraph (b)(3)(i)(B) of this section;
    (ii) The value determined in paragraph (f)(4)(ii)(A) of this 
section if using appendix M to subpart B of part 430 or the value 
determined in paragraph (f)(4)(ii)(B) of this section if using appendix 
M1 to subpart B of part 430;
    (A) the estimated number of regional cooling load hours per year 
determined from Table 22 in section 4.4 of appendix M to subpart B of 
part 430;
    (B) the estimated number of regional cooling load hours per year 
determined from Table 21 in section 4.4 of appendix M1 to subpart B of 
part 430;
    (iii) A conversion factor of 0.001 kilowatts per watt; and
    (iv) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (5) Regional Annual Operating Cost--Heating. Determine the 
represented value of estimated regional annual operating cost for air-
source heat pumps that provide only heating or for the heating portion 
of the estimated regional annual operating cost for air-source heat 
pumps that provide both heating and cooling as follows:
    (i) When using appendix M to subpart B of part 430, the product of:
    (A) The estimated number of regional heating load hours per year 
determined from Table 22 in section 4.4 of appendix M to subpart B of 
part 430;
    (B) The quotient of the mean of the standardized design heating 
requirement for the sample, in Btu's per hour, for the appropriate 
generalized climatic region of interest (i.e., corresponding to the 
regional heating load hours from ``A'') and determined for each unit in 
the sample in section 4.2 of appendix M to subpart B of part 430, 
divided by the represented value of HSPF, in Btu's per watt-hour, 
calculated for the appropriate generalized climatic region of interest 
and corresponding to the above-mentioned standardized design heating 
requirement, and determined in paragraph (b)(3)(ii);
    (C) The adjustment factor of 0.77; which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatts per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
    (ii) When using appendix M1 to subpart B of part 430, the product 
of:
    (A) The estimated number of regional heating load hours per year 
determined from Table 21 in section 4.4 of appendix M1 to subpart B of 
part 430;
    (B) The quotient of the represented value of cooling capacity (for 
air-source heat pumps that provide both cooling and heating) in Btu's 
per hour, as determined in paragraph (b)(3)(i)(C) of this section, or 
the represented value of heating capacity (for air-source heat pumps 
that provide only heating), as determined in paragraph (b)(3)(i)(D) of 
this section, divided by the represented value of HSPF2, in Btu's per 
watt-hour,

[[Page 1475]]

calculated for the appropriate generalized climatic region of interest, 
and determined in paragraph (b)(3)(i)(B) of this section;
    (C) The adjustment factor of 1.15 (for heat pumps that are not 
variable-speed) or 1.07 (for heat pumps that are variable-speed), which 
serves to adjust the calculated design heating requirement and heating 
load hours to the actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatts per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
* * * * *

0
4. Section 429.70 is amended by revising paragraphs (e)(1), (e)(2)(i), 
and (e)(5)(iv) to read as follows:


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

* * * * *
    (e) * * *
    (1) Criteria an AEDM must satisfy. A manufacturer may not apply an 
AEDM to an individual model/combination to determine its represented 
values (SEER, EER, HSPF, SEER2, EER2, HSPF2, and/or PW,OFF) 
pursuant to this section unless authorized pursuant to Sec.  429.16(d) 
and:
    (i) The AEDM is derived from a mathematical model that estimates 
the energy efficiency or energy consumption characteristics of the 
individual model or combination (SEER, EER, HSPF, SEER2, EER2, HSPF2, 
and/or PW,OFF) as measured by the applicable DOE test 
procedure; and
    (ii) The manufacturer has validated the AEDM in accordance with 
paragraph (e)(2) of this section.
    (2) * * *
    (i) Follow paragraph (e)(2)(i)(A) of this section for requirements 
on minimum testing. Follow paragraph (e)(2)(i)(B) of this section for 
requirements on ensuring the accuracy and reliability of the AEDM.
    (A) Minimum testing. (1) For non-space-constrained single-split 
system air conditioners and heat pumps rated based on testing in 
accordance with appendix M to subpart B of part 430, the manufacturer 
must test each basic model as required under Sec.  429.16(b)(2). Until 
July 1, 2024, for non-space-constrained single-split-system air 
conditioners and heat pumps rated based on testing in accordance with 
appendix M1 to subpart B of part 430, the manufacturer must test a 
single-unit sample from 20 percent of the basic models distributed in 
commerce to validate the AEDM. On or after July 1, 2024, for non-space-
constrained single-split-system air conditioners and heat pumps rated 
based on testing in accordance with appendix M1 to subpart B of part 
430, the manufacturer must complete testing of each basic model as 
required under Sec.  429.16(b)(2).
    (2) For other than non-space-constrained single-split-system air 
conditioners and heat pumps, the manufacturer must test each basic 
model as required under Sec.  429.16(b)(2).
    (B) Using the AEDM, calculate the energy use or efficiency for each 
of the tested individual models/combinations within each basic model. 
Compare the represented value based on testing and the AEDM energy use 
or efficiency output according to paragraph (e)(2)(ii) of this section. 
The manufacturer is responsible for ensuring the accuracy and 
reliability of the AEDM and that their representations are appropriate 
and the models being distributed in commerce meet the applicable 
standards, regardless of the amount of testing required in paragraphs 
(e)(2)(i)(A) and (e)(2)(i)(B) of this section.
* * * * *
    (5) * * *
    (iv) Failure to meet certified value. If an individual model/
combination tests worse than its certified value (i.e., lower than the 
certified efficiency value or higher than the certified consumption 
value) by more than 5 percent, or the test results in cooling capacity 
that is lower than its certified cooling capacity, DOE will notify the 
manufacturer. DOE will provide the manufacturer with all documentation 
related to the test set up, test conditions, and test results for the 
unit. Within the timeframe allotted by DOE, the manufacturer may 
present any and all claims regarding testing validity.
* * * * *

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

0
6. Section 430.2 is amended by revising the definition of ``central air 
conditioner or central air conditioning heat pump'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Central air conditioner or central air conditioning heat pump means 
a product, other than a packaged terminal air conditioner or packaged 
terminal heat pump, which is powered by single phase electric current, 
air cooled, rated below 65,000 Btu per hour, not contained within the 
same cabinet as a furnace, the rated capacity of which is above 225,000 
Btu per hour, and is a heat pump or a cooling unit only. A central air 
conditioner or central air conditioning heat pump may consist of: A 
single-package unit; an outdoor unit and one or more indoor units; an 
indoor unit only; or an outdoor unit with no match. In the case of an 
indoor unit only or an outdoor unit with no match, the unit must be 
tested and rated as a system (combination of both an indoor and an 
outdoor unit). For all central air conditioner and central air 
conditioning heat pump-related definitions, see appendix M or M1 of 
subpart B of this part.
* * * * *


Sec.  430.3  [Amended]

0
7. Section 430.3 is amended by removing in paragraphs (b)(2) 
introductory text, (c)(1) introductory text, (c)(3) introductory text, 
(g)(2) introductory text, (g)(4) introductory text, (g)(7) introductory 
text, (g)(8) introductory text, (g)(9) introductory text, (g)(10) 
introductory text, and (g)(13) ``appendix M'' and adding in its place 
``appendices M and M1''.

0
8. Section 430.23 is amended by revising paragraph (m) to read as 
follows:


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

* * * * *
    (m) Central air conditioners and heat pumps. See the note at the 
beginning of appendix M and M1 to determine the appropriate test 
method. Determine all values discussed in this section using a single 
appendix.
    (1) Determine cooling capacity from the steady-state wet-coil test 
(A or A2 Test), as described in section 3.2 of appendix M or 
M1 to this subpart, and rounded off to the nearest
    (i) To the nearest 50 Btu/h if cooling capacity is less than 20,000 
Btu/h;
    (ii) To the nearest 100 Btu/h if cooling capacity is greater than 
or equal to 20,000 Btu/h but less than 38,000 Btu/h; and
    (iii) To the nearest 250 Btu/h if cooling capacity is greater than 
or equal to 38,000 Btu/h and less than 65,000 Btu/h.
    (2) Determine seasonal energy efficiency ratio (SEER) as described 
in section 4.1 of appendix M to this subpart or seasonal energy 
efficiency ratio 2 (SEER2) as described in section

[[Page 1476]]

4.1 of appendix M1 to this subpart, and round off to the nearest 0.025 
Btu/W-h.
    (3) Determine energy efficiency ratio (EER) as described in section 
4.6 of appendix M or M1 to this subpart, and round off to the nearest 
0.025 Btu/W-h. The EER from the A or A2 test, whichever 
applies, when tested in accordance with appendix M1 to this subpart, is 
referred to as EER2.
    (4) Determine heating seasonal performance factors (HSPF) as 
described in section 4.2 of appendix M to this subpart or heating 
seasonal performance factors 2 (HSPF2) as described in section 4.2 of 
appendix M1 to this subpart, and round off to the nearest 0.025 Btu/W-
h.
    (5) Determine average off mode power consumption as described in 
section 4.3 of appendix M or M1 to this subpart, and round off to the 
nearest 0.5 W.
    (6) Determine all other measures of energy efficiency or 
consumption or other useful measures of performance using appendix M or 
M1 of this subpart.
* * * * *

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

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

    Note: Prior to July 5, 2017, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of central air conditioners and central air 
conditioning heat pumps must be based on the results of testing 
pursuant to either this appendix or the procedures in Appendix M as 
it appeared at 10 CFR part 430, subpart B, Appendix M, in the 10 CFR 
parts 200 to 499 edition revised as of January 1, 2017. Any 
representations made with respect to the energy use or efficiency of 
such central air conditioners and central air conditioning heat 
pumps must be in accordance with whichever version is selected.

    On or after July 5, 2017 and prior to January 1, 2023, any 
representations, including compliance certifications, made with 
respect to the energy use, power, or efficiency of central air 
conditioners and central air conditioning heat pumps must be based 
on the results of testing pursuant to this appendix.
    On or after January 1, 2023, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of central air conditioners and central air 
conditioning heat pumps must be based on the results of testing 
pursuant to appendix M1 of this subpart.

1. Scope and Definitions

1.1 Scope

    This test procedure provides a method of determining SEER, EER, 
HSPF and PW,OFF for central air conditioners and central 
air conditioning heat pumps including the following categories:
(a) Split-system air conditioners, including single-split, multi-
head mini-split, multi-split (including VRF), and multi-circuit 
systems
(b) Split-system heat pumps, including single-split, multi-head 
mini-split, multi-split (including VRF), and multi-circuit systems
(c) Single-package air conditioners
(d) Single-package heat pumps
(e) Small-duct, high-velocity systems (including VRF)
(f) Space-constrained products--air conditioners
(g) Space-constrained products--heat pumps

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

1.2 Definitions

    Airflow-control settings are programmed or wired control system 
configurations that control a fan to achieve discrete, differing 
ranges of airflow--often designated for performing a specific 
function (e.g., cooling, heating, or constant circulation)--without 
manual adjustment other than interaction with a user-operable 
control (i.e., a thermostat) that meets the manufacturer 
specifications for installed-use. For the purposes of this appendix, 
manufacturer specifications for installed-use are those found in the 
product literature shipped with the unit.
    Air sampling device is an assembly consisting of a manifold with 
several branch tubes with multiple sampling holes that draws an air 
sample from a critical location from the unit under test (e.g. 
indoor air inlet, indoor air outlet, outdoor air inlet, etc.).
    Airflow prevention device denotes a device that prevents airflow 
via natural convection by mechanical means, such as an air damper 
box, or by means of changes in duct height, such as an upturned 
duct.
    Aspirating psychrometer is a piece of equipment with a monitored 
airflow section that draws uniform airflow through the measurement 
section and has probes for measurement of air temperature and 
humidity.
    Blower coil indoor unit means an indoor unit either with an 
indoor blower housed with the coil or with a separate designated air 
mover such as a furnace or a modular blower (as defined in appendix 
AA to the subpart).
    Blower coil system refers to a split system that includes one or 
more blower coil indoor units.
    Cased coil means a coil-only indoor unit with external 
cabinetry.
    Coefficient of Performance (COP) means the ratio of the average 
rate of space heating delivered to the average rate of electrical 
energy consumed by the heat pump. These rate quantities must be 
determined from a single test or, if derived via interpolation, must 
be determined at a single set of operating conditions. COP is a 
dimensionless quantity. When determined for a ducted coil-only 
system, COP must include the sections 3.7 and 3.9.1 of this 
appendix: Default values for the heat output and power input of a 
fan motor.
    Coil-only indoor unit means an indoor unit that is distributed 
in commerce without an indoor blower or separate designated air 
mover. A coil-only indoor unit installed in the field relies on a 
separately-installed furnace or a modular blower for indoor air 
movement. Coil-only system refers to a system that includes only 
(one or more) coil-only indoor units.
    Condensing unit removes the heat absorbed by the refrigerant to 
transfer it to the outside environment and consists of an outdoor 
coil, compressor(s), and air moving device.
    Constant-air-volume-rate indoor blower means a fan that varies 
its operating speed to provide a fixed air-volume-rate from a ducted 
system.
    Continuously recorded, when referring to a dry bulb measurement, 
dry bulb temperature used for test room control, wet bulb 
temperature, dew point temperature, or relative humidity 
measurements, means that the specified value must be sampled at 
regular intervals that are equal to or less than 15 seconds.
    Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating 
interval consisting of one ON period and one OFF period, and as its 
denominator the total cooling that would be delivered, given the 
same ambient conditions, had the unit operated continuously at its 
steady-state, space-cooling capacity for the same total time (ON + 
OFF) interval.
    Crankcase heater means any electrically powered device or 
mechanism for intentionally generating heat within and/or around the 
compressor sump volume. Crankcase heater control may be achieved 
using a timer or may be based on a change in temperature or some 
other measurable parameter, such that the crankcase heater is not 
required to operate continuously. A crankcase heater without 
controls operates continuously when the compressor is not operating.
    Cyclic Test means a test where the unit's compressor is cycled 
on and off for specific time intervals. A cyclic test provides half 
the information needed to calculate a degradation coefficient.
    Damper box means a short section of duct having an air damper 
that meets the performance requirements of section 2.5.7 of this 
appendix.
    Degradation coefficient (CD) means a parameter used 
in calculating the part load factor. The degradation coefficient for 
cooling is denoted by CD\c\. The degradation coefficient 
for heating is denoted by CD\h\.
    Demand-defrost control system means a system that defrosts the 
heat pump outdoor coil-only when measuring a predetermined 
degradation of performance. The heat pump's controls either:
    (1) Monitor one or more parameters that always vary with the 
amount of frost

[[Page 1477]]

accumulated on the outdoor coil (e.g., coil to air differential 
temperature, coil differential air pressure, outdoor fan power or 
current, optical sensors) at least once for every ten minutes of 
compressor ON-time when space heating or
    (2) operate as a feedback system that measures the length of the 
defrost period and adjusts defrost frequency accordingly. In all 
cases, when the frost parameter(s) reaches a predetermined value, 
the system initiates a defrost. In a demand-defrost control system, 
defrosts are terminated based on monitoring a parameter(s) that 
indicates that frost has been eliminated from the coil. (Note: 
Systems that vary defrost intervals according to outdoor dry-bulb 
temperature are not demand-defrost systems.) A demand-defrost 
control system, which otherwise meets the above requirements, may 
allow time-initiated defrosts if, and only if, such defrosts occur 
after 6 hours of compressor operating time.
    Design heating requirement (DHR) predicts the space heating load 
of a residence when subjected to outdoor design conditions. 
Estimates for the minimum and maximum DHR are provided for six 
generalized U.S. climatic regions in section 4.2 of this appendix.
    Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor unit is maintained low 
enough that no condensate forms on the evaporator coil.
    Ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and delivers 
conditioned air to the indoor space through a duct(s). The air 
conditioner or heat pump may be either a split-system or a single-
package unit.
    Energy efficiency ratio (EER) means the ratio of the average 
rate of space cooling delivered to the average rate of electrical 
energy consumed by the air conditioner or heat pump. Determine these 
rate quantities from a single test or, if derived via interpolation, 
determine at a single set of operating conditions. EER is expressed 
in units of
[GRAPHIC] [TIFF OMITTED] TR05JA17.305

When determined for a ducted coil-only system, EER must include, 
from this appendix, the section 3.3 and 3.5.1 default values for the 
heat output and power input of a fan motor.
    Evaporator coil means an assembly that absorbs heat from an 
enclosed space and transfers the heat to a refrigerant.
    Heat pump means a kind of central air conditioner that utilizes 
an indoor conditioning coil, compressor, and refrigerant-to-outdoor 
air heat exchanger to provide air heating, and may also provide air 
cooling, air dehumidifying, air humidifying, air circulating, and 
air cleaning.
    Heat pump having a heat comfort controller means a heat pump 
with controls that can regulate the operation of the electric 
resistance elements to assure that the air temperature leaving the 
indoor section does not fall below a specified temperature. Heat 
pumps that actively regulate the rate of electric resistance heating 
when operating below the balance point (as the result of a second 
stage call from the thermostat) but do not operate to maintain a 
minimum delivery temperature are not considered as having a heat 
comfort controller.
    Heating load factor (HLF) means the ratio having as its 
numerator the total heating delivered during a cyclic operating 
interval consisting of one ON period and one OFF period, and its 
denominator the heating capacity measured at the same test 
conditions used for the cyclic test, multiplied by the total time 
interval (ON plus OFF) of the cyclic-test.
    Heating season means the months of the year that require 
heating, e.g., typically, and roughly, October through April.
    Heating seasonal performance factor (HSPF) means the total space 
heating required during the heating season, expressed in Btu, 
divided by the total electrical energy consumed by the heat pump 
system during the same season, expressed in watt-hours. The HSPF 
used to evaluate compliance with 10 CFR 430.32(c) is based on Region 
IV and the sampling plan stated in 10 CFR 429.16(a). HSPF is 
determined in accordance with appendix M.
    Independent coil manufacturer (ICM) means a manufacturer that 
manufactures indoor units but does not manufacture single-package 
units or outdoor units.
    Indoor unit means a separate assembly of a split system that 
includes--
    (1) An arrangement of refrigerant-to-air heat transfer coil(s) 
for transfer of heat between the refrigerant and the indoor air,
    (2) A condensate drain pan, and may or may not include
    (3) Sheet metal or plastic parts not part of external cabinetry 
to direct/route airflow over the coil(s),
    (4) A cooling mode expansion device,
    (5) External cabinetry, and
    (6) An integrated indoor blower (i.e. a device to move air 
including its associated motor). A separate designated air mover 
that may be a furnace or a modular blower (as defined in appendix AA 
to the subpart) may be considered to be part of the indoor unit. A 
service coil is not an indoor unit.
    Multi-head mini-split system means a split system that has one 
outdoor unit and that has two or more indoor units connected with a 
single refrigeration circuit. The indoor units operate in unison in 
response to a single indoor thermostat.
    Multiple-circuit (or multi-circuit) system means a split system 
that has one outdoor unit and that has two or more indoor units 
installed on two or more refrigeration circuits such that each 
refrigeration circuit serves a compressor and one and only one 
indoor unit, and refrigerant is not shared from circuit to circuit.
    Multiple-split (or multi-split) system means a split system that 
has one outdoor unit and two or more coil-only indoor units and/or 
blower coil indoor units connected with a single refrigerant 
circuit. The indoor units operate independently and can condition 
multiple zones in response to at least two indoor thermostats or 
temperature sensors. The outdoor unit operates in response to 
independent operation of the indoor units based on control input of 
multiple indoor thermostats or temperature sensors, and/or based on 
refrigeration circuit sensor input (e.g., suction pressure).
    Nominal capacity means the capacity that is claimed by the 
manufacturer on the product name plate. Nominal cooling capacity is 
approximate to the air conditioner cooling capacity tested at A or 
A2 condition. Nominal heating capacity is approximate to the heat 
pump heating capacity tested in H12 test (or the optional H1N test).
    Non-ducted indoor unit means an indoor unit that is designed to 
be permanently installed, mounted on room walls and/or ceilings, and 
that directly heats or cools air within the conditioned space.
    Normalized Gross Indoor Fin Surface (NGIFS) means the gross fin 
surface area of the indoor unit coil divided by the cooling capacity 
measured for the A or A2 Test, whichever applies.
    Off-mode power consumption means the power consumption when the 
unit is connected to its main power source but is neither providing 
cooling nor heating to the building it serves.
    Off-mode season means, for central air conditioners other than 
heat pumps, the shoulder season and the entire heating season; and 
for heat pumps, the shoulder season only.
    Outdoor unit means a separate assembly of a split system that 
transfers heat between the refrigerant and the outdoor air, and 
consists of an outdoor coil, compressor(s), an air moving device, 
and in addition for heat pumps, may include a heating mode expansion 
device, reversing valve, and/or defrost controls.
    Outdoor unit manufacturer (OUM) means a manufacturer of single-
package units, outdoor units, and/or both indoor units and outdoor 
units.
    Part-load factor (PLF) means the ratio of the cyclic EER (or COP 
for heating) to the steady-state EER (or COP), where both EERs (or 
COPs) are determined based on operation at the same ambient 
conditions.
    Seasonal energy efficiency ratio (SEER) means the total heat 
removed from the conditioned space during the annual cooling season, 
expressed in Btu's, divided by the total electrical energy consumed 
by the central air conditioner or heat pump during the same season, 
expressed in watt-hours. SEER is determined in accordance with 
appendix M.
    Service coil means an arrangement of refrigerant-to-air heat 
transfer coil(s), condensate drain pan, sheet metal or plastic parts 
to direct/route airflow over the coil(s), which may or may not 
include external cabinetry and/or a cooling mode expansion device, 
distributed in commerce solely for replacing an uncased coil or 
cased coil that has already been placed into service, and that has 
been labeled ``for indoor coil replacement only'' on the nameplate 
and in manufacturer technical and product literature. The model 
number for any service coil must include some mechanism (e.g., an 
additional letter or number) for differentiating a service coil from 
a coil intended for an indoor unit.
    Shoulder season means the months of the year in between those 
months that require cooling and those months that require

[[Page 1478]]

heating, e.g., typically, and roughly, April through May, and 
September through October.
    Single-package unit means any central air conditioner or heat 
pump that has all major assemblies enclosed in one cabinet.
    Single-split system means a split system that has one outdoor 
unit and one indoor unit connected with a single refrigeration 
circuit. Small-duct, high-velocity system means a split system for 
which all indoor units are blower coil indoor units that produce at 
least 1.2 inches (of water column) of external static pressure when 
operated at the full-load air volume rate certified by the 
manufacturer of at least 220 scfm per rated ton of cooling.
    Split system means any air conditioner or heat pump that has at 
least two separate assemblies that are connected with refrigerant 
piping when installed. One of these assemblies includes an indoor 
coil that exchanges heat with the indoor air to provide heating or 
cooling, while one of the others includes an outdoor coil that 
exchanges heat with the outdoor air. Split systems may be either 
blower coil systems or coil-only systems.
    Standard Air means dry air having a mass density of 0.075 lb/
ft\3\.
    Steady-state test means a test where the test conditions are 
regulated to remain as constant as possible while the unit operates 
continuously in the same mode.
    Temperature bin means the 5[emsp14][deg]F increments that are 
used to partition the outdoor dry-bulb temperature ranges of the 
cooling (>=65[emsp14][deg]F) and heating (<65[emsp14][deg]F) 
seasons.
    Test condition tolerance means the maximum permissible 
difference between the average value of the measured test parameter 
and the specified test condition.
    Test operating tolerance means the maximum permissible range 
that a measurement may vary over the specified test interval. The 
difference between the maximum and minimum sampled values must be 
less than or equal to the specified test operating tolerance.
    Tested combination means a multi-head mini-split, multi-split, 
or multi-circuit system having the following features:
    (1) The system consists of one outdoor unit with one or more 
compressors matched with between two and five indoor units;
    (2) The indoor units must:
    (i) Collectively, have a nominal cooling capacity greater than 
or equal to 95 percent and less than or equal to 105 percent of the 
nominal cooling capacity of the outdoor unit;
    (ii) Each represent the highest sales volume model family, if 
this is possible while meeting all the requirements of this section. 
If this is not possible, one or more of the indoor units may 
represent another indoor model family in order that all the other 
requirements of this section are met.
    (iii) Individually not have a nominal cooling capacity greater 
than 50 percent of the nominal cooling capacity of the outdoor unit, 
unless the nominal cooling capacity of the outdoor unit is 24,000 
Btu/h or less;
    (iv) Operate at fan speeds consistent with manufacturer's 
specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement while able to produce the same external static pressure 
at the exit of each outlet plenum when connected in a manifold 
configuration as required by the test procedure.
    (3) Where referenced, ``nominal cooling capacity'' means, for 
indoor units, the highest cooling capacity listed in published 
product literature for 95[emsp14][deg]F outdoor dry bulb temperature 
and 80[emsp14][deg]F dry bulb, 67[emsp14][deg]F wet bulb indoor 
conditions, and for outdoor units, the lowest cooling capacity 
listed in published product literature for these conditions. If 
incomplete or no operating conditions are published, the highest 
(for indoor units) or lowest (for outdoor units) such cooling 
capacity available for sale must be used.
    Time-adaptive defrost control system is a demand-defrost control 
system that measures the length of the prior defrost period(s) and 
uses that information to automatically determine when to initiate 
the next defrost cycle.
    Time-temperature defrost control systems initiate or evaluate 
initiating a defrost cycle only when a predetermined cumulative 
compressor ON-time is obtained. This predetermined ON-time is 
generally a fixed value (e.g., 30, 45, 90 minutes) although it may 
vary based on the measured outdoor dry-bulb temperature. The ON-time 
counter accumulates if controller measurements (e.g., outdoor 
temperature, evaporator temperature) indicate that frost formation 
conditions are present, and it is reset/remains at zero at all other 
times. In one application of the control scheme, a defrost is 
initiated whenever the counter time equals the predetermined ON-
time. The counter is reset when the defrost cycle is completed.
    In a second application of the control scheme, one or more 
parameters are measured (e.g., air and/or refrigerant temperatures) 
at the predetermined, cumulative, compressor ON-time. A defrost is 
initiated only if the measured parameter(s) falls within a 
predetermined range. The ON-time counter is reset regardless of 
whether or not a defrost is initiated. If systems of this second 
type use cumulative ON-time intervals of 10 minutes or less, then 
the heat pump may qualify as having a demand defrost control system 
(see definition).
    Triple-capacity, northern heat pump means a heat pump that 
provides two stages of cooling and three stages of heating. The two 
common stages for both the cooling and heating modes are the low 
capacity stage and the high capacity stage. The additional heating 
mode stage is the booster capacity stage, which offers the highest 
heating capacity output for a given set of ambient operating 
conditions.
    Triple-split system means a split system that is composed of 
three separate assemblies: An outdoor fan coil section, a blower 
coil indoor unit, and an indoor compressor section.
    Two-capacity (or two-stage) compressor system means a central 
air conditioner or heat pump that has a compressor or a group of 
compressors operating with only two stages of capacity. For such 
systems, low capacity means the compressor(s) operating at low 
stage, or at low load test conditions. The low compressor stage that 
operates for heating mode tests may be the same or different from 
the low compressor stage that operates for cooling mode tests. For 
such systems, high capacity means the compressor(s) operating at 
high stage, or at full load test conditions.
    Two-capacity, northern heat pump means a heat pump that has a 
factory or field-selectable lock-out feature to prevent space 
cooling at high-capacity. Two-capacity heat pumps having this 
feature will typically have two sets of ratings, one with the 
feature disabled and one with the feature enabled. The heat pump is 
a two-capacity northern heat pump only when this feature is enabled 
at all times. The certified indoor coil model number must reflect 
whether the ratings pertain to the lockout enabled option via the 
inclusion of an extra identifier, such as ``+LO''. When testing as a 
two-capacity, northern heat pump, the lockout feature must remain 
enabled for all tests.
    Uncased coil means a coil-only indoor unit without external 
cabinetry.
    Variable refrigerant flow (VRF) system means a multi-split 
system with at least three compressor capacity stages, distributing 
refrigerant through a piping network to multiple indoor blower coil 
units each capable of individual zone temperature control, through 
proprietary zone temperature control devices and a common 
communications network. Note: Single-phase VRF systems less than 
65,000 Btu/h are central air conditioners and central air 
conditioning heat pumps.
    Variable-speed compressor system means a central air conditioner 
or heat pump that has a compressor that uses a variable-speed drive 
to vary the compressor speed to achieve variable capacities.
    Wet-coil test means a test conducted at test conditions that 
typically cause water vapor to condense on the test unit evaporator 
coil.

2. Testing Overview and Conditions

    (A) Test VRF systems using AHRI 1230-2010 (incorporated by 
reference, see Sec.  430.3) and appendix M. Where AHRI 1230-2010 
refers to the appendix C therein substitute the provisions of this 
appendix. In cases where there is a conflict, the language of the 
test procedure in this appendix takes precedence over AHRI 1230-
2010.
    For definitions use section 1 of appendix M and section 3 of 
AHRI 1230-2010 (incorporated by reference, see Sec.  430.3). For 
rounding requirements, refer to Sec.  430.23(m). For determination 
of certified ratings, refer to Sec.  429.16 of this chapter.
    For test room requirements, refer to section 2.1 of this 
appendix. For test unit installation requirements refer to sections 
2.2.a, 2.2.b, 2.2.c, 2.2.1, 2.2.2, 2.2.3(a), 2.2.3(c), 2.2.4, 2.2.5, 
and 2.4 to 2.12 of this appendix, and sections 5.1.3 and 5.1.4 of 
AHRI 1230-2010. The ``manufacturer's published instructions,'' as 
stated in section 8.2 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3) and ``manufacturer's installation 
instructions'' discussed in this appendix mean the manufacturer's 
installation instructions that come packaged with or appear in the 
labels applied to the unit. This does not include online manuals. 
Installation instructions that appear in the labels applied

[[Page 1479]]

to the unit take precedence over installation instructions that are 
shipped with the unit.
    For general requirements for the test procedure, refer to 
section 3.1 of this appendix, except for sections 3.1.3 and 3.1.4, 
which are requirements for indoor air volume and outdoor air volume. 
For indoor air volume and outdoor air volume requirements, refer 
instead to section 6.1.5 (except where section 6.1.5 refers to Table 
8, refer instead to Table 4 of this appendix) and 6.1.6 of AHRI 
1230-2010.
    For the test method, refer to sections 3.3 to 3.5 and 3.7 to 
3.13 of this appendix. For cooling mode and heating mode test 
conditions, refer to section 6.2 of AHRI 1230-2010. For calculations 
of seasonal performance descriptors, refer to section 4 of this 
appendix.
    (B) For systems other than VRF, only a subset of the sections 
listed in this test procedure apply when testing and determining 
represented values for a particular unit. Table 1 shows the sections 
of the test procedure that apply to each system. This table is meant 
to assist manufacturers in finding the appropriate sections of the 
test procedure; the appendix sections rather than the table provide 
the specific requirements for testing, and given the varied nature 
of available units, manufacturers are responsible for determining 
which sections apply to each unit tested based on the unit's 
characteristics. To use this table, first refer to the sections 
listed under ``all units''. Then refer to additional requirements 
based on:
    (1) System configuration(s),
    (2) The compressor staging or modulation capability, and
    (3) Any special features.
    Testing requirements for space-constrained products do not 
differ from similar equipment that is not space-constrained and thus 
are not listed separately in this table. Air conditioners and heat 
pumps are not listed separately in this table, but heating 
procedures and calculations apply only to heat pumps.
[GRAPHIC] [TIFF OMITTED] TR05JA17.004


[[Page 1480]]


[GRAPHIC] [TIFF OMITTED] TR05JA17.005


[[Page 1481]]


[GRAPHIC] [TIFF OMITTED] TR05JA17.006

2.1 Test Room Requirements

    a. Test using two side-by-side rooms: An indoor test room and an 
outdoor test room. For multiple-split, single-zone-multi-coil or 
multi-circuit air conditioners and heat pumps, however, use as many 
indoor test rooms as needed to accommodate the total number of 
indoor units. These rooms must comply with the requirements 
specified in sections 8.1.2 and 8.1.3 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3).
    b. Inside these test rooms, use artificial loads during cyclic 
tests and frost accumulation tests, if needed, to produce stabilized 
room air temperatures. For one room, select an electric resistance 
heater(s) having a heating capacity that is approximately equal to 
the heating capacity of the test unit's condenser. For the second 
room, select a heater(s) having a capacity that is close to the 
sensible cooling capacity of the test unit's evaporator. Cycle the 
heater located in the same room as the test unit evaporator coil ON 
and OFF when the test unit cycles ON and OFF. Cycle the heater 
located in the same room as the test unit condensing coil ON and OFF 
when the test unit cycles OFF and ON.

2.2 Test Unit Installation Requirements

    a. Install the unit according to section 8.2 of ANSI/ASHRAE 37-
2009 (incorporated by reference, see Sec.  430.3), subject to the 
following additional requirements:
    (1) When testing split systems, follow the requirements given in 
section 6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see 
Sec.  430.3). For the vapor refrigerant line(s), use the insulation 
included with the unit; if no insulation is provided, use insulation 
meeting the specifications for the insulation in the installation 
instructions included with the unit by the manufacturer; if no 
insulation is included with the unit and the installation 
instructions do not contain provisions for insulating the line(s), 
fully insulate the vapor refrigerant line(s) with vapor proof 
insulation having an inside diameter that matches the refrigerant 
tubing and a nominal thickness of at least 0.5 inches. For the 
liquid refrigerant line(s), use the insulation included with the 
unit; if no insulation is provided, use insulation meeting the 
specifications for the insulation in the installation instructions 
included with the unit by the manufacturer; if no insulation is 
included with the unit and the installation instructions do not 
contain provisions for insulating the line(s), leave the liquid 
refrigerant line(s) exposed to the air for air conditioners and heat 
pumps that heat and cool; or, for heating-only heat pumps, insulate 
the liquid refrigerant line(s) with insulation having an inside 
diameter that

[[Page 1482]]

matches the refrigerant tubing and a nominal thickness of at least 
0.5 inches. However, these requirements do not take priority over 
instructions for application of insulation for the purpose of 
improving refrigerant temperature measurement accuracy as required 
by sections 2.10.2 and 2.10.3 of this appendix. Insulation must be 
the same for the cooling and heating tests.
    (2) When testing split systems, if the indoor unit does not ship 
with a cooling mode expansion device, test the system using the 
device as specified in the installation instructions provided with 
the indoor unit. If none is specified, test the system using a fixed 
orifice or piston type expansion device that is sized appropriately 
for the system.
    (3) When testing triple-split systems (see section 1.2 of this 
appendix, Definitions), use the tubing length specified in section 
6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see Sec.  
430.3) to connect the outdoor coil, indoor compressor section, and 
indoor coil while still meeting the requirement of exposing 10 feet 
of the tubing to outside conditions;
    (4) When testing split systems having multiple indoor coils, 
connect each indoor blower coil unit to the outdoor unit using:
    (a) 25 feet of tubing, or
    (b) tubing furnished by the manufacturer, whichever is longer.
    At least 10 feet of the system interconnection tubing shall be 
exposed to the outside conditions. If they are needed to make a 
secondary measurement of capacity or for verification of refrigerant 
charge, install refrigerant pressure measuring instruments as 
described in section 8.2.5 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). Section 2.10 of this appendix specifies 
which secondary methods require refrigerant pressure measurements 
and section 2.2.5.5 of this appendix discusses use of pressure 
measurements to verify charge. At a minimum, insulate the low-
pressure line(s) of a split system with insulation having an inside 
diameter that matches the refrigerant tubing and a nominal thickness 
of 0.5 inch.
    b. For units designed for both horizontal and vertical 
installation or for both up-flow and down-flow vertical 
installations, use the orientation for testing specified by the 
manufacturer in the certification report. Conduct testing with the 
following installed:
    (1) The most restrictive filter(s);
    (2) Supplementary heating coils; and
    (3) Other equipment specified as part of the unit, including all 
hardware used by a heat comfort controller if so equipped (see 
section 1 of this appendix, Definitions). For small-duct, high-
velocity systems, configure all balance dampers or restrictor 
devices on or inside the unit to fully open or lowest restriction.
    c. Testing a ducted unit without having an indoor air filter 
installed is permissible as long as the minimum external static 
pressure requirement is adjusted as stated in Table 4, note 3 (see 
section 3.1.4 of this appendix). Except as noted in section 3.1.10 
of this appendix, prevent the indoor air supplementary heating coils 
from operating during all tests. For uncased coils, create an 
enclosure using 1 inch fiberglass foil-faced ductboard having a 
nominal density of 6 pounds per cubic foot. Or alternatively, 
construct an enclosure using sheet metal or a similar material and 
insulating material having a thermal resistance (``R'' value) 
between 4 and 6 hr[middot]ft\2\[middot] [deg]F/Btu. Size the 
enclosure and seal between the coil and/or drainage pan and the 
interior of the enclosure as specified in installation instructions 
shipped with the unit. Also seal between the plenum and inlet and 
outlet ducts.
    d. When testing a coil-only system, install a toroidal-type 
transformer to power the system's low-voltage components, complying 
with any additional requirements for the transformer mentioned in 
the installation manuals included with the unit by the system 
manufacturer. If the installation manuals do not provide 
specifications for the transformer, use a transformer having the 
following features:
    (1) A nominal volt-amp rating such that the transformer is 
loaded between 25 and 90 percent of this rating for the highest 
level of power measured during the off mode test (section 3.13 of 
this appendix);
    (2) Designed to operate with a primary input of 230 V, single 
phase, 60 Hz; and
    (3) That provides an output voltage that is within the specified 
range for each low-voltage component. Include the power consumption 
of the components connected to the transformer as part of the total 
system power consumption during the off mode tests; do not include 
the power consumed by the transformer when no load is connected to 
it.
    e. Test an outdoor unit with no match (i.e., that is not 
distributed in commerce with any indoor units) using a coil-only 
indoor unit with a single cooling air volume rate whose coil has:
    (1) Round tubes of outer diameter no less than 0.375 inches, and
    (2) a normalized gross indoor fin surface (NGIFS) no greater 
than 1.0 square inches per British thermal unit per hour (sq. in./
Btu/hr). NGIFS is calculated as follows:
    NGIFS = 2 x Lf x Wf x Nf / Qc(95)
where:

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

    [fnof]. If the outdoor unit or the outdoor portion of a single-
package unit has a drain pan heater to prevent freezing of defrost 
water, the heater shall be energized, subject to control to de-
energize it when not needed by the heater's thermostat or the unit's 
control system, for all tests.
    g. If pressure measurement devices are connected to a cooling/
heating heat pump refrigerant circuit, the refrigerant charge 
Mt that could potentially transfer out of the connected 
pressure measurement systems (transducers, gauges, connections, and 
lines) between operating modes must be less than 2 percent of the 
factory refrigerant charge listed on the nameplate of the outdoor 
unit. If the outdoor unit nameplate has no listed refrigerant 
charge, or the heat pump is shipped without a refrigerant charge, 
use a factory refrigerant charge equal to 30 ounces per ton of 
certified cooling capacity. Use Equation 2.2-1 to calculate 
Mt for heat pumps that have a single expansion device 
located in the outdoor unit to serve each indoor unit, and use 
Equation 2.2-2 to calculate Mt for heat pumps that have 
two expansion devices per indoor unit.
[GRAPHIC] [TIFF OMITTED] TR05JA17.007

[GRAPHIC] [TIFF OMITTED] TR05JA17.027

where:

Vi (i=2,3,4. . .) = the internal volume of the pressure 
measurement system (pressure lines, fittings, and gauge and/or 
transducer) at the location i (as indicated in Table 2), (cubic 
inches)
fi (i=5,6) = 0 if the pressure measurement system is 
pitched upwards from the pressure tap location to the gauge or 
transducer, 1 if it is not.
r = the density associated with liquid refrigerant at 
100[emsp14][deg]F bubble point conditions (ounces per cubic inch)


                 Table 2--Pressure Measurement Locations
------------------------------------------------------------------------
                        Location
------------------------------------------------------------------------
Compressor Discharge....................................               1
Between Outdoor Coil and Outdoor Expansion Valve(s).....               2
Liquid Service Valve....................................               3
Indoor Coil Inlet.......................................               4
Indoor Coil Outlet......................................               5

[[Page 1483]]

 
Common Suction Port (i.e. vapor service valve)..........               6
Compressor Suction......................................               7
------------------------------------------------------------------------

    Calculate the internal volume of each pressure measurement 
system using internal volume reported for pressure transducers and 
gauges in product literature, if available. If such information is 
not available, use the value of 0.1 cubic inches internal volume for 
each pressure transducer, and 0.2 cubic inches for each pressure 
gauge.
    In addition, for heat pumps that have a single expansion device 
located in the outdoor unit to serve each indoor unit, the internal 
volume of the pressure system at location 2 (as indicated in Table 
2) must be no more than 1 cubic inch. Once the pressure measurement 
lines are set up, no change should be made until all tests are 
finished.

2.2.1 Defrost Control Settings

    Set heat pump defrost controls at the normal settings which most 
typify those encountered in generalized climatic region IV. (Refer 
to Figure 1 and Table 20 of section 4.2 of this appendix for 
information on region IV.) For heat pumps that use a time-adaptive 
defrost control system (see section 1.2 of this appendix, 
Definitions), the manufacturer must specify in the certification 
report the frosting interval to be used during frost accumulation 
tests and provide the procedure for manually initiating the defrost 
at the specified time.

2.2.2 Special Requirements for Units Having a Multiple-Speed Outdoor 
Fan

    Configure the multiple-speed outdoor fan according to the 
installation manual included with the unit by the manufacturer, and 
thereafter, leave it unchanged for all tests. The controls of the 
unit must regulate the operation of the outdoor fan during all lab 
tests except dry coil cooling mode tests. For dry coil cooling mode 
tests, the outdoor fan must operate at the same speed used during 
the required wet coil test conducted at the same outdoor test 
conditions.

2.2.3 Special Requirements for Multi-Split Air Conditioners and Heat 
Pumps and Ducted Systems Using a Single Indoor Section Containing 
Multiple Indoor Blowers That Would Normally Operate Using Two or More 
Indoor Thermostats

    Because these systems will have more than one indoor blower and 
possibly multiple outdoor fans and compressor systems, references in 
this test procedure to a singular indoor blower, outdoor fan, and/or 
compressor means all indoor blowers, all outdoor fans, and all 
compressor systems that are energized during the test.
    a. Additional requirements for multi-split air conditioners and 
heat pumps. For any test where the system is operated at part load 
(i.e., one or more compressors ``off'', operating at the 
intermediate or minimum compressor speed, or at low compressor 
capacity), record the indoor coil(s) that are not providing heating 
or cooling during the test. For variable-speed systems, the 
manufacturer must designate in the certification report at least one 
indoor unit that is not providing heating or cooling for all tests 
conducted at minimum compressor speed.
    b. Additional requirements for ducted split systems with a 
single indoor unit containing multiple indoor blowers (or for 
single-package units with an indoor section containing multiple 
indoor blowers) where the indoor blowers are designed to cycle on 
and off independently of one another and are not controlled such 
that all indoor blowers are modulated to always operate at the same 
air volume rate or speed. For any test where the system is operated 
at its lowest capacity--i.e., the lowest total air volume rate 
allowed when operating the single-speed compressor or when operating 
at low compressor capacity--indoor blowers accounting for at least 
one-third of the full-load air volume rate must be turned off unless 
prevented by the controls of the unit. In such cases, turn off as 
many indoor blowers as permitted by the unit's controls. Where more 
than one option exists for meeting this ``off'' requirement, the 
manufacturer shall indicate in its certification report which indoor 
blower(s) are turned off. The chosen configuration shall remain 
unchanged for all tests conducted at the same lowest capacity 
configuration. For any indoor coil turned off during a test, cease 
forced airflow through any outlet duct connected to a switched-off 
indoor blower.
    c. For test setups where the laboratory's physical limitations 
requires use of more than the required line length of 25 feet as 
listed in section 2.2.a(4) of this appendix, then the actual 
refrigerant line length used by the laboratory may exceed the 
required length and the refrigerant line length correction factors 
in Table 4 of AHRI 1230-2010 are applied to the cooling capacity 
measured for each cooling mode test.

2.2.4 Wet-Bulb Temperature Requirements for the Air Entering the Indoor 
and Outdoor Coils

2.2.4.1 Cooling Mode Tests

    For wet-coil cooling mode tests, regulate the water vapor 
content of the air entering the indoor unit so that the wet-bulb 
temperature is as listed in Tables 5 to 8. As noted in these same 
tables, achieve a wet-bulb temperature during dry-coil cooling mode 
tests that results in no condensate forming on the indoor coil. 
Controlling the water vapor content of the air entering the outdoor 
side of the unit is not required for cooling mode tests except when 
testing:
    (1) Units that reject condensate to the outdoor coil during wet 
coil tests. Tables 5-8 list the applicable wet-bulb temperatures.
    (2) Single-package units where all or part of the indoor section 
is located in the outdoor test room. The average dew point 
temperature of the air entering the outdoor coil during wet coil 
tests must be within 3.0[emsp14][deg]F of the average 
dew point temperature of the air entering the indoor coil over the 
30-minute data collection interval described in section 3.3 of this 
appendix. For dry coil tests on such units, it may be necessary to 
limit the moisture content of the air entering the outdoor coil of 
the unit to meet the requirements of section 3.4 of this appendix.

2.2.4.2 Heating Mode Tests

    For heating mode tests, regulate the water vapor content of the 
air entering the outdoor unit to the applicable wet-bulb temperature 
listed in Tables 12 to 15. The wet-bulb temperature entering the 
indoor side of the heat pump must not exceed 60[emsp14][deg]F. 
Additionally, if the Outdoor Air Enthalpy test method (section 
2.10.1 of this appendix) is used while testing a single-package heat 
pump where all or part of the outdoor section is located in the 
indoor test room, adjust the wet-bulb temperature for the air 
entering the indoor side to yield an indoor-side dew point 
temperature that is as close as reasonably possible to the dew point 
temperature of the outdoor-side entering air.

2.2.5 Additional Refrigerant Charging Requirements

2.2.5.1 Instructions To Use for Charging

    a. Where the manufacturer's installation instructions contain 
two sets of refrigerant charging criteria, one for field 
installations and one for lab testing, use the field installation 
criteria.
    b. For systems consisting of an outdoor unit manufacturer's 
outdoor section and indoor section with differing charging 
procedures, adjust the refrigerant charge per the outdoor 
installation instructions.
    c. For systems consisting of an outdoor unit manufacturer's 
outdoor unit and an independent coil manufacturer's indoor unit with 
differing charging procedures, adjust the refrigerant charge per the 
indoor unit's installation instructions. If instructions are 
provided only with the outdoor unit or are provided only with an 
independent coil manufacturer's indoor unit, then use the provided 
instructions.

2.2.5.2 Test(s) To Use for Charging

    a. Use the tests or operating conditions specified in the 
manufacturer's installation instructions for charging. The 
manufacturer's installation instructions may specify use of tests 
other than the A or A2 test for charging, but, unless the 
unit is a heating-only heat pump, the air volume rate must be 
determined by the A or A2 test as specified in section 
3.1 of this appendix.
    b. If the manufacturer's installation instructions do not 
specify a test or operating conditions for charging or there are no 
manufacturer's instructions, use the following test(s):
    (1) For air conditioners or cooling and heating heat pumps, use 
the A or A2 test.
    (2) For cooling and heating heat pumps that do not operate in 
the H1 or H12 test (e.g. due to shut down by the unit 
limiting devices) when tested using the charge determined at the A 
or A2 test, and for heating-only heat pumps, use the H1 
or H12 test.

2.2.5.3 Parameters To Set and Their Target Values

    a. Consult the manufacturer's installation instructions 
regarding which parameters (e.g., superheat) to set and their target 
values. If the instructions provide ranges of values, select target 
values equal to the midpoints of the provided ranges.

[[Page 1484]]

    b. In the event of conflicting information between charging 
instructions (i.e., multiple conditions given for charge adjustment 
where all conditions specified cannot be met), follow the following 
hierarchy.
    (1) For fixed orifice systems:
    (i) Superheat
    (ii) High side pressure or corresponding saturation or dew-point 
temperature
    (iii) Low side pressure or corresponding saturation or dew-point 
temperature
    (iv) Low side temperature
    (v) High side temperature
    (vi) Charge weight
    (2) For expansion valve systems:
    (i) Subcooling
    (ii) High side pressure or corresponding saturation or dew-point 
temperature
    (iii) Low side pressure or corresponding saturation or dew-point 
temperature
    (iv) Approach temperature (difference between temperature of 
liquid leaving condenser and condenser average inlet air 
temperature)
    (v) Charge weight
    c. If there are no installation instructions and/or they do not 
provide parameters and target values, set superheat to a target 
value of 12 [deg]F for fixed orifice systems or set subcooling to a 
target value of 10 [deg]F for expansion valve systems.

2.2.5.4 Charging Tolerances

    a. If the manufacturer's installation instructions specify 
tolerances on target values for the charging parameters, set the 
values within these tolerances.
    b. Otherwise, set parameter values within the following test 
condition tolerances for the different charging parameters:
1. Superheat: +/- 2.0 [deg]F
2. Subcooling: +/- 2.0 [deg]F
3. High side pressure or corresponding saturation or dew point 
temperature: +/- 4.0 psi or +/- 1.0 [deg]F
4. Low side pressure or corresponding saturation or dew point 
temperature: +/- 2.0 psi or +/- 0.8 [deg]F
5. High side temperature: +/-2.0 [deg]F
6. Low side temperature: +/-2.0 [deg]F
7. Approach temperature: +/- 1.0 [deg]F
8. Charge weight: +/- 2.0 ounce

2.2.5.5 Special Charging Instructions

a. Cooling and Heating Heat Pumps

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

b. Single-Package Systems

    Unless otherwise directed by the manufacturer's installation 
instructions, install one or more refrigerant line pressure gauges 
during the setup of the unit, located depending on the parameters 
used to verify or set charge, as described:
    (1) Install a pressure gauge at the location of the service 
valve on the liquid line if charging is on the basis of subcooling, 
or high side pressure or corresponding saturation or dew point 
temperature;
    (2) Install a pressure gauge at the location of the service 
valve on the suction line if charging is on the basis of superheat, 
or low side pressure or corresponding saturation or dew point 
temperature.
    Use methods for installing pressure gauge(s) at the required 
location(s) as indicated in manufacturer's instructions if 
specified.

2.2.5.6 Near-Azeotropic and Zeotropic Refrigerants.

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

2.2.5.7 Adjustment of Charge Between Tests.

    After charging the system as described in this test procedure, 
use the set refrigerant charge for all tests used to determine 
performance. Do not adjust the refrigerant charge at any point 
during testing. If measurements indicate that refrigerant charge has 
leaked during the test, repair the refrigerant leak, repeat any 
necessary set-up steps, and repeat all tests.

2.3 Indoor Air Volume Rates.

    If a unit's controls allow for overspeeding the indoor blower 
(usually on a temporary basis), take the necessary steps to prevent 
overspeeding during all tests.

2.3.1 Cooling Tests

    a. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the requirements that 
are specified in section 3.1.4 of this appendix.
    b. Express the Cooling full-load air volume rate, the Cooling 
Minimum Air Volume Rate, and the Cooling Intermediate Air Volume 
Rate in terms of standard air.

2.3.2 Heating Tests

    a. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the requirements that 
are specified in section 3.1.4 of this appendix.
    b. Express the heating full-load air volume rate, the heating 
minimum air volume rate, the heating intermediate air volume rate, 
and the heating nominal air volume rate in terms of standard air.

2.4 Indoor Coil Inlet and Outlet Duct Connections

    Insulate and/or construct the outlet plenum as described in 
section 2.4.1 of this appendix and, if installed, the inlet plenum 
described in section 2.4.2 of this appendix with thermal insulation 
having a nominal overall resistance (R-value) of at least 19 
hr[middot]ft\2\[middot] [deg]F/Btu.

2.4.1 Outlet Plenum for the Indoor Unit

    a. Attach a plenum to the outlet of the indoor coil. (Note: For 
some packaged systems, the indoor coil may be located in the outdoor 
test room.)
    b. For systems having multiple indoor coils, or multiple indoor 
blowers within a single indoor section, attach a plenum to each 
indoor coil or indoor blower outlet. In order to reduce the number 
of required airflow measurement apparati (section 2.6 of this 
appendix), each such apparatus may serve multiple outlet plenums 
connected to a single common duct leading to the apparatus. More 
than one indoor test room may be used, which may use one or more 
common ducts leading to one or more airflow measurement apparati 
within each test room that contains multiple indoor coils. At the 
plane where each plenum enters a common duct, install an adjustable 
airflow damper and use it to equalize the static pressure in each 
plenum. Each outlet air temperature grid (section 2.5.4 of this 
appendix) and airflow measuring apparatus are located downstream of 
the inlet(s) to the common duct. For multiple-circuit (or multi-
circuit) systems for which each indoor coil outlet is measured 
separately and its outlet plenum is not connected to a common duct 
connecting multiple outlet plenums, the outlet air temperature grid 
and airflow measuring apparatus must be installed at each outlet 
plenum.
    c. For small-duct, high-velocity systems, install an outlet 
plenum that has a diameter that is equal to or less than the value 
listed in Table 3. The limit depends only on the Cooling full-load 
air volume rate (see section 3.1.4.1.1 of this appendix) and is 
effective regardless of the flange dimensions on the outlet of the 
unit (or an air supply plenum adapter accessory, if installed in 
accordance with the manufacturer's installation instructions).
    d. Add a static pressure tap to each face of the (each) outlet 
plenum, if rectangular, or at four evenly distributed locations 
along the circumference of an oval or round plenum. Create a 
manifold that connects the four static pressure taps. Figure 9 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) 
shows allowed options for the manifold configuration. The cross-
sectional dimensions of plenum shall be equal to the dimensions of 
the indoor unit outlet. See Figures 7a, 7b, and 7c of ANSI/ASHRAE 
37-2009 for the minimum length of the (each) outlet plenum and the 
locations for adding the static pressure taps for ducted blower coil 
indoor units and single-package systems. See Figure 8 of ANSI/ASHRAE 
37-2009 for coil-only indoor units.

Table 3--Size of Outlet Plenum for Small-Duct High-Velocity Indoor Units
------------------------------------------------------------------------
                                                              Maximum
                                                          diameter *  of
        Cooling full-load  air volume rate (scfm)         outlet  plenum
                                                             (inches)
------------------------------------------------------------------------
<=500...................................................               6
501 to 700..............................................               7
701 to 900..............................................               8
901 to 1100.............................................               9
1101 to 1400............................................              10
1401 to 1750............................................              11
------------------------------------------------------------------------
* If the outlet plenum is rectangular, calculate its equivalent diameter
  using (4A/P,) where A is the cross-sectional area and P is the
  perimeter of the rectangular plenum, and compare it to the listed
  maximum diameter.


[[Page 1485]]

2.4.2 Inlet Plenum for the Indoor Unit

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

2.5 Indoor Coil Air Property Measurements and Airflow Prevention 
Devices

    Follow instructions for indoor coil air property measurements as 
described in section 2.14 of this appendix, unless otherwise 
instructed in this section.
    a. Measure the dry-bulb temperature and water vapor content of 
the air entering and leaving the indoor coil. If needed, use an air 
sampling device to divert air to a sensor(s) that measures the water 
vapor content of the air. See section 5.3 of ANSI/ASHRAE 41.1-2013 
(incorporated by reference, see Sec.  430.3) for guidance on 
constructing an air sampling device. No part of the air sampling 
device or the tubing transferring the sampled air to the sensor 
shall be within two inches of the test chamber floor, and the 
transfer tubing shall be insulated. The sampling device may also be 
used for measurement of dry bulb temperature by transferring the 
sampled air to a remotely located sensor(s). The air sampling device 
and the remotely located temperature sensor(s) may be used to 
determine the entering air dry bulb temperature during any test. The 
air sampling device and the remotely located sensor(s) may be used 
to determine the leaving air dry bulb temperature for all tests 
except:
    (1) Cyclic tests; and
    (2) Frost accumulation tests.
    b. Install grids of temperature sensors to measure dry bulb 
temperatures of both the entering and leaving airstreams of the 
indoor unit. These grids of dry bulb temperature sensors may be used 
to measure average dry bulb temperature entering and leaving the 
indoor unit in all cases (as an alternative to the dry bulb sensor 
measuring the sampled air). The leaving airstream grid is required 
for measurement of average dry bulb temperature leaving the indoor 
unit for the two special cases noted above. The grids are also 
required to measure the air temperature distribution of the entering 
and leaving airstreams as described in sections 3.1.8 and 3.1.9 of 
this appendix. Two such grids may applied as a thermopile, to 
directly obtain the average temperature difference rather than 
directly measuring both entering and leaving average temperatures.
    c. Use of airflow prevention devices. Use an inlet and outlet 
air damper box, or use an inlet upturned duct and an outlet air 
damper box when conducting one or both of the cyclic tests listed in 
sections 3.2 and 3.6 of this appendix on ducted systems. If not 
conducting any cyclic tests, an outlet air damper box is required 
when testing ducted and non-ducted heat pumps that cycle off the 
indoor blower during defrost cycles and there is no other means for 
preventing natural or forced convection through the indoor unit when 
the indoor blower is off. Never use an inlet damper box or an inlet 
upturned duct when testing non-ducted indoor units. An inlet 
upturned duct is a length of ductwork installed upstream from the 
inlet such that the indoor duct inlet opening, facing upwards, is 
sufficiently high to prevent natural convection transfer out of the 
duct. If an inlet upturned duct is used, install a dry bulb 
temperature sensor near the inlet opening of the indoor duct at a 
centerline location not higher than the lowest elevation of the duct 
edges at the inlet, and ensure that any pair of 5-minute averages of 
the dry bulb temperature at this location, measured at least every 
minute during the compressor OFF period of the cyclic test, do not 
differ by more than 1.0[emsp14][deg]F.

2.5.1 Test Set-Up on the Inlet Side of the Indoor Coil: For Cases Where 
the Inlet Airflow Prevention Device Is Installed

    a. Install an airflow prevention device as specified in section 
2.5.1.1 or 2.5.1.2 of this appendix, whichever applies.
    b. For an inlet damper box, locate the grid of entering air dry-
bulb temperature sensors, if used, and the air sampling device, or 
the sensor used to measure the water vapor content of the inlet air, 
at a location immediately upstream of the damper box inlet. For an 
inlet upturned duct, locate the grid of entering air dry-bulb 
temperature sensors, if used, and the air sampling device, or the 
sensor used to measure the water vapor content of the inlet air, at 
a location at least one foot downstream from the beginning of the 
insulated portion of the duct but before the static pressure 
measurement.

2.5.1.1 If the Section 2.4.2 Inlet Plenum Is Installed

    Construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the inlet 
plenum. Install the airflow prevention device upstream of the inlet 
plenum and construct ductwork connecting it to the inlet plenum. If 
needed, use an adaptor plate or a transition duct section to connect 
the airflow prevention device with the inlet plenum. Insulate the 
ductwork and inlet plenum with thermal insulation that has a nominal 
overall resistance (R-value) of at least 19 hr [middot] ft\2\ 
[middot] [deg]F/Btu.

2.5.1.2 If the Section 2.4.2 Inlet Plenum Is Not Installed

    Construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the air inlet of 
the indoor unit. Install the airflow prevention device immediately 
upstream of the inlet of the indoor unit. If needed, use an adaptor 
plate or a short transition duct section to connect the airflow 
prevention device with the unit's air inlet. Add static pressure 
taps at the center of each face of a rectangular airflow prevention 
device, or at four evenly distributed locations along the 
circumference of an oval or round airflow prevention device. Locate 
the pressure taps at a distance from the indoor unit inlet equal to 
0.5 times the square root of the cross sectional area of the indoor 
unit inlet. This location must be between the damper and the inlet 
of the indoor unit, if a damper is used. Make a manifold that 
connects the four static pressure taps using one of the 
configurations shown in Figure 9 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). Insulate the ductwork 
with thermal insulation that has a nominal overall resistance (R-
value) of at least 19 hr [middot] ft\2\ [middot] [deg]F/Btu.

2.5.2 Test Set-Up on the Inlet Side of the Indoor Unit: for Cases Where 
No Airflow Prevention Device is Installed

    If using the section 2.4.2 inlet plenum and a grid of dry bulb 
temperature sensors, mount the grid at a location upstream of the 
static pressure taps described in section 2.4.2 of this appendix, 
preferably at the entrance plane of the inlet plenum. If the section 
2.4.2 inlet plenum is not used (i.e. for non-ducted units) locate a 
grid approximately 6 inches upstream of the indoor unit inlet. In 
the case of a system having multiple non-ducted indoor units, do 
this for each indoor unit. Position an air sampling device, or the 
sensor used to measure the water vapor content of the inlet air, 
immediately upstream of the (each) entering air dry-bulb temperature 
sensor grid. If a grid of sensors is not used, position the entering 
air sampling device (or the sensor used to measure the water vapor 
content of the inlet air) as if the grid were present.

2.5.3 Indoor Coil Static Pressure Difference Measurement

    Fabricate pressure taps meeting all requirements described in 
section 6.5.2 of ANSI/ASHRAE 37-2009 (incorporated by reference, see 
Sec.  430.3) and illustrated in Figure 2A of AMCA 210-2007 
(incorporated by reference, see Sec.  430.3), however, if adhering 
strictly to the description in section 6.5.2 of ANSI/ASHRAE 37-2009, 
the minimum pressure tap length of 2.5 times the inner diameter of 
Figure 2A of AMCA 210-2007 is waived. Use a differential pressure 
measuring instrument that is accurate to within 0.01 
inches of water and has a resolution of at least 0.01 inches of 
water to measure the static pressure difference between the indoor 
coil air inlet and outlet. Connect one side of the differential 
pressure instrument to the manifolded pressure taps installed in the 
outlet plenum. Connect the other side of the instrument to the 
manifolded pressure taps located in either

[[Page 1486]]

the inlet plenum or incorporated within the airflow prevention 
device. For non-ducted indoor units that are tested with multiple 
outlet plenums, measure the static pressure within each outlet 
plenum relative to the surrounding atmosphere.

2.5.4 Test Set-Up on the Outlet Side of the Indoor Coil

    a. Install an interconnecting duct between the outlet plenum 
described in section 2.4.1 of this appendix and the airflow 
measuring apparatus described below in section 2.6 of this appendix. 
The cross-sectional flow area of the interconnecting duct must be 
equal to or greater than the flow area of the outlet plenum or the 
common duct used when testing non-ducted units having multiple 
indoor coils. If needed, use adaptor plates or transition duct 
sections to allow the connections. To minimize leakage, tape joints 
within the interconnecting duct (and the outlet plenum). Construct 
or insulate the entire flow section with thermal insulation having a 
nominal overall resistance (R-value) of at least 19 
hr[middot]ft\2\[middot] [deg]F/Btu.
    b. Install a grid(s) of dry-bulb temperature sensors inside the 
interconnecting duct. Also, install an air sampling device, or the 
sensor(s) used to measure the water vapor content of the outlet air, 
inside the interconnecting duct. Locate the dry-bulb temperature 
grid(s) upstream of the air sampling device (or the in-duct 
sensor(s) used to measure the water vapor content of the outlet 
air). Turn off the sampler fan motor during the cyclic tests. Air 
leaving an indoor unit that is sampled by an air sampling device for 
remote water-vapor-content measurement must be returned to the 
interconnecting duct at a location:
    (1) Downstream of the air sampling device;
    (2) On the same side of the outlet air damper as the air 
sampling device; and
    (3) Upstream of the section 2.6 airflow measuring apparatus.

2.5.4.1 Outlet Air Damper Box Placement and Requirements

    If using an outlet air damper box (see section 2.5 of this 
appendix), the leakage rate from the combination of the outlet 
plenum, the closed damper, and the duct section that connects these 
two components must not exceed 20 cubic feet per minute when a 
negative pressure of 1 inch of water column is maintained at the 
plenum's inlet.

2.5.4.2 Procedures To Minimize Temperature Maldistribution

    Use these procedures if necessary to correct temperature 
maldistributions. Install a mixing device(s) upstream of the outlet 
air, dry-bulb temperature grid (but downstream of the outlet plenum 
static pressure taps). Use a perforated screen located between the 
mixing device and the dry-bulb temperature grid, with a maximum open 
area of 40 percent. One or both items should help to meet the 
maximum outlet air temperature distribution specified in section 
3.1.8 of this appendix. Mixing devices are described in sections 
5.3.2 and 5.3.3 of ANSI/ASHRAE 41.1-2013 and section 5.2.2 of ASHRAE 
41.2-1987 (RA 1992) (incorporated by reference, see Sec.  430.3).

2.5.4.3 Minimizing Air Leakage

    For small-duct, high-velocity systems, install an air damper 
near the end of the interconnecting duct, just prior to the 
transition to the airflow measuring apparatus of section 2.6 of this 
appendix. To minimize air leakage, adjust this damper such that the 
pressure in the receiving chamber of the airflow measuring apparatus 
is no more than 0.5 inch of water higher than the surrounding test 
room ambient. If applicable, in lieu of installing a separate 
damper, use the outlet air damper box of sections 2.5 and 2.5.4.1 of 
this appendix if it allows variable positioning. Also apply these 
steps to any conventional indoor blower unit that creates a static 
pressure within the receiving chamber of the airflow measuring 
apparatus that exceeds the test room ambient pressure by more than 
0.5 inches of water column.

2.5.5 Dry Bulb Temperature Measurement

    a. Measure dry bulb temperatures as specified in sections 4, 
5.3, 6, and 7 of ANSI/ASHRAE 41.1-2013 (incorporated by reference, 
see Sec.  430.3).
    b. Distribute the sensors of a dry-bulb temperature grid over 
the entire flow area. The required minimum is 9 sensors per grid.

2.5.6 Water Vapor Content Measurement

    Determine water vapor content by measuring dry-bulb temperature 
combined with the air wet-bulb temperature, dew point temperature, 
or relative humidity. If used, construct and apply wet-bulb 
temperature sensors as specified in sections 4, 5, 6, 7.2, 7.3, and 
7.4 of ASHRAE 41.6-2014 (incorporated by reference, see Sec.  
430.3). The temperature sensor (wick removed) must be accurate to 
within 0.2[emsp14][deg]F. If used, apply dew point 
hygrometers as specified in sections 4, 5, 6, 7.1, and 7.4 of ASHRAE 
41.6-2014 (incorporated by reference, see Sec.  430.3). The dew 
point hygrometers must be accurate to within 0.4[emsp14][deg]F when operated at conditions that result in 
the evaluation of dew points above 35[emsp14][deg]F. If used, a 
relative humidity (RH) meter must be accurate to within 0.7% RH. Other means to determine the psychrometric state of 
air may be used as long as the measurement accuracy is equivalent to 
or better than the accuracy achieved from using a wet-bulb 
temperature sensor that meets the above specifications.

2.5.7 Air Damper Box Performance Requirements

    If used (see section 2.5 of this appendix), the air damper 
box(es) must be capable of being completely opened or completely 
closed within 10 seconds for each action.

2.6 Airflow Measuring Apparatus

    a. Fabricate and operate an airflow measuring apparatus as 
specified in section 6.2 and 6.3 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). Place the static 
pressure taps and position the diffusion baffle (settling means) 
relative to the chamber inlet as indicated in Figure 12 of AMCA 210-
2007 and/or Figure 14 of ASHRAE 41.2-1987 (RA 1992) (incorporated by 
reference, see Sec.  430.3). When measuring the static pressure 
difference across nozzles and/or velocity pressure at nozzle throats 
using electronic pressure transducers and a data acquisition system, 
if high frequency fluctuations cause measurement variations to 
exceed the test tolerance limits specified in section 9.2 and Table 
2 of ANSI/ASHRAE 37-2009, dampen the measurement system such that 
the time constant associated with response to a step change in 
measurement (time for the response to change 63% of the way from the 
initial output to the final output) is no longer than five seconds.
    b. Connect the airflow measuring apparatus to the 
interconnecting duct section described in section 2.5.4 of this 
appendix. See sections 6.1.1, 6.1.2, and 6.1.4, and Figures 1, 2, 
and 4 of ANSI/ASHRAE 37-2009; and Figures D1, D2, and D4 of AHRI 
210/240-2008 (incorporated by reference, see Sec.  430.3) for 
illustrative examples of how the test apparatus may be applied 
within a complete laboratory set-up. Instead of following one of 
these examples, an alternative set-up may be used to handle the air 
leaving the airflow measuring apparatus and to supply properly 
conditioned air to the test unit's inlet. The alternative set-up, 
however, must not interfere with the prescribed means for measuring 
airflow rate, inlet and outlet air temperatures, inlet and outlet 
water vapor contents, and external static pressures, nor create 
abnormal conditions surrounding the test unit. (Note: Do not use an 
enclosure as described in section 6.1.3 of ANSI/ASHRAE 37-2009 when 
testing triple-split units.)

2.7 Electrical Voltage Supply

    Perform all tests at the voltage specified in section 6.1.3.2 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) for 
``Standard Rating Tests.'' If either the indoor or the outdoor unit 
has a 208V or 200V nameplate voltage and the other unit has a 230V 
nameplate rating, select the voltage supply on the outdoor unit for 
testing. Otherwise, supply each unit with its own nameplate voltage. 
Measure the supply voltage at the terminals on the test unit using a 
volt meter that provides a reading that is accurate to within 1.0 percent of the measured quantity.

2.8 Electrical Power and Energy Measurements

    a. Use an integrating power (watt-hour) measuring system to 
determine the electrical energy or average electrical power supplied 
to all components of the air conditioner or heat pump (including 
auxiliary components such as controls, transformers, crankcase 
heater, integral condensate pump on non-ducted indoor units, etc.). 
The watt-hour measuring system must give readings that are accurate 
to within 0.5 percent. For cyclic tests, this accuracy 
is required during both the ON and OFF cycles. Use either two 
different scales on the same watt-hour meter or two separate watt-
hour meters. Activate the scale or meter having the lower power 
rating within 15 seconds after beginning an OFF cycle. Activate the 
scale or meter having the higher power rating within 15 seconds 
prior to beginning an ON cycle. For ducted blower coil systems, the 
ON cycle lasts from compressor ON to indoor blower OFF. For ducted 
coil-only systems, the ON cycle lasts from compressor ON to 
compressor OFF. For non-ducted units, the ON cycle lasts from

[[Page 1487]]

indoor blower ON to indoor blower OFF. When testing air conditioners 
and heat pumps having a variable-speed compressor, avoid using an 
induction watt/watt-hour meter.
    b. When performing section 3.5 and/or 3.8 cyclic tests on non-
ducted units, provide instrumentation to determine the average 
electrical power consumption of the indoor blower motor to within 
1.0 percent. If required according to sections 3.3, 3.4, 
3.7, 3.9.1 of this appendix, and/or 3.10 of this appendix, this same 
instrumentation requirement (to determine the average electrical 
power consumption of the indoor blower motor to within 1.0 percent) applies when testing air conditioners and heat 
pumps having a variable-speed constant-air-volume-rate indoor blower 
or a variable-speed, variable-air-volume-rate indoor blower.

2.9 Time Measurements

    Make elapsed time measurements using an instrument that yields 
readings accurate to within 0.2 percent.

2.10 Test Apparatus for the Secondary Space Conditioning Capacity 
Measurement

    For all tests, use the indoor air enthalpy method to measure the 
unit's capacity. This method uses the test set-up specified in 
sections 2.4 to 2.6 of this appendix. In addition, for all steady-
state tests, conduct a second, independent measurement of capacity 
as described in section 3.1.1 of this appendix. For split systems, 
use one of the following secondary measurement methods: Outdoor air 
enthalpy method, compressor calibration method, or refrigerant 
enthalpy method. For single-package units, use either the outdoor 
air enthalpy method or the compressor calibration method as the 
secondary measurement.

2.10.1 Outdoor Air Enthalpy Method

    a. To make a secondary measurement of indoor space conditioning 
capacity using the outdoor air enthalpy method, do the following:
    (1) Measure the electrical power consumption of the test unit;
    (2) Measure the air-side capacity at the outdoor coil; and
    (3) Apply a heat balance on the refrigerant cycle.
    b. The test apparatus required for the outdoor air enthalpy 
method is a subset of the apparatus used for the indoor air enthalpy 
method. Required apparatus includes the following:
    (1) On the outlet side, an outlet plenum containing static 
pressure taps (sections 2.4, 2.4.1, and 2.5.3 of this appendix),
    (2) An airflow measuring apparatus (section 2.6 of this 
appendix),
    (3) A duct section that connects these two components and itself 
contains the instrumentation for measuring the dry-bulb temperature 
and water vapor content of the air leaving the outdoor coil 
(sections 2.5.4, 2.5.5, and 2.5.6 of this appendix), and
    (4) On the inlet side, a sampling device and temperature grid 
(section 2.11.b of this appendix).
    c. During the free outdoor air tests described in sections 
3.11.1 and 3.11.1.1 of this appendix, measure the evaporator and 
condenser temperatures or pressures. On both the outdoor coil and 
the indoor coil, solder a thermocouple onto a return bend located at 
or near the midpoint of each coil or at points not affected by vapor 
superheat or liquid subcooling. Alternatively, if the test unit is 
not sensitive to the refrigerant charge, install pressure gages to 
the access valves or to ports created from tapping into the suction 
and discharge lines according to sections 7.4.2 and 8.2.5 of ANSI/
ASHRAE 37-2009. Use this alternative approach when testing a unit 
charged with a zeotropic refrigerant having a temperature glide in 
excess of 1[emsp14][deg]F at the specified test conditions.

2.10.2 Compressor Calibration Method

    Measure refrigerant pressures and temperatures to determine the 
evaporator superheat and the enthalpy of the refrigerant that enters 
and exits the indoor coil. Determine refrigerant flow rate or, when 
the superheat of the refrigerant leaving the evaporator is less than 
5[emsp14][deg]F, total capacity from separate calibration tests 
conducted under identical operating conditions. When using this 
method, install instrumentation and measure refrigerant properties 
according to section 7.4.2 and 8.2.5 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). If removing the 
refrigerant before applying refrigerant lines and subsequently 
recharging, use the steps in 7.4.2 of ANSI/ASHRAE 37-2009 in 
addition to the methods of section 2.2.5 of this appendix to confirm 
the refrigerant charge. Use refrigerant temperature and pressure 
measuring instruments that meet the specifications given in sections 
5.1.1 and 5.2 of ANSI/ASHRAE 37-2009.

2.10.3 Refrigerant Enthalpy Method

    For this method, calculate space conditioning capacity by 
determining the refrigerant enthalpy change for the indoor coil and 
directly measuring the refrigerant flow rate. Use section 7.5.2 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) for 
the requirements for this method, including the additional 
instrumentation requirements, and information on placing the flow 
meter and a sight glass. Use refrigerant temperature, pressure, and 
flow measuring instruments that meet the specifications given in 
sections 5.1.1, 5.2, and 5.5.1 of ANSI/ASHRAE 37-2009. Refrigerant 
flow measurement device(s), if used, must be either elevated at 
least two feet from the test chamber floor or placed upon insulating 
material having a total thermal resistance of at least R-12 and 
extending at least one foot laterally beyond each side of the 
device(s)' exposed surfaces.

2.11 Measurement of Test Room Ambient Conditions

    Follow instructions for setting up air sampling device and 
aspirating psychrometer as described in section 2.14 of this 
appendix, unless otherwise instructed in this section.
    a. If using a test set-up where air is ducted directly from the 
conditioning apparatus to the indoor coil inlet (see Figure 2, Loop 
Air-Enthalpy Test Method Arrangement, of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3)), add instrumentation 
to permit measurement of the indoor test room dry-bulb temperature.
    b. On the outdoor side, use one of the following two approaches, 
except that approach (1) is required for all evaporatively-cooled 
units and units that transfer condensate to the outdoor unit for 
evaporation using condenser heat.
    (1) Use sampling tree air collection on all air-inlet surfaces 
of the outdoor unit.
    (2) Use sampling tree air collection on one or more faces of the 
outdoor unit and demonstrate air temperature uniformity as follows. 
Install a grid of evenly-distributed thermocouples on each air-
permitting face on the inlet of the outdoor unit. Install the 
thermocouples on the air sampling device, locate them individually 
or attach them to a wire structure. If not installed on the air 
sampling device, install the thermocouple grid 6 to 24 inches from 
the unit. The thermocouples shall be evenly spaced across the coil 
inlet surface and be installed to avoid sampling of discharge air or 
blockage of air recirculation. The grid of thermocouples must 
provide at least 16 measuring points per face or one measurement per 
square foot of inlet face area, whichever is less. This grid must be 
constructed and used as per section 5.3 of ANSI/ASHRAE 41.1-2013 
(incorporated by reference, see Sec.  430.3). The maximum difference 
between the average temperatures measured during the test period of 
any two pairs of these individual thermocouples located at any of 
the faces of the inlet of the outdoor unit, must not exceed 2.0 
[deg]F, otherwise approach (1) must be used.
    The air sampling devices shall be located at the geometric 
center of each side; the branches may be oriented either parallel or 
perpendicular to the longer edges of the air inlet area. The air 
sampling devices in the outdoor air inlet location shall be sized 
such that they cover at least 75% of the face area of the side of 
the coil that they are measuring.
    Air distribution at the test facility point of supply to the 
unit shall be reviewed and may require remediation prior to the 
beginning of testing. Mixing fans can be used to ensure adequate air 
distribution in the test room. If used, mixing fans shall be 
oriented such that they are pointed away from the air intake so that 
the mixing fan exhaust does not affect the outdoor coil air volume 
rate. Particular attention should be given to prevent the mixing 
fans from affecting (enhancing or limiting) recirculation of 
condenser fan exhaust air back through the unit. Any fan used to 
enhance test room air mixing shall not cause air velocities in the 
vicinity of the test unit to exceed 500 feet per minute.
    The air sampling device may be larger than the face area of the 
side being measured, however care shall be taken to prevent 
discharge air from being sampled. If an air sampling device 
dimension extends beyond the inlet area of the unit, holes shall be 
blocked in the air sampling device to prevent sampling of discharge 
air. Holes can be blocked to reduce the region of coverage of the 
intake holes both in the direction of the trunk axis or 
perpendicular to the trunk axis. For intake hole region reduction in 
the direction of the trunk axis, block holes of one or more adjacent 
pairs of branches (the branches of a pair connect opposite each

[[Page 1488]]

other at the same trunk location) at either the outlet end or the 
closed end of the trunk. For intake hole region reduction 
perpendicular to the trunk axis, block off the same number of holes 
on each branch on both sides of the trunk.
    A maximum of four (4) air sampling devices shall be connected to 
each aspirating psychrometer. In order to proportionately divide the 
flow stream for multiple air sampling devices for a given aspirating 
psychrometer, the tubing or conduit conveying sampled air to the 
psychrometer shall be of equivalent lengths for each air sampling 
device. Preferentially, the air sampling device should be hard 
connected to the aspirating psychrometer, but if space constraints 
do not allow this, the assembly shall have a means of allowing a 
flexible tube to connect the air sampling device to the aspirating 
psychrometer. The tubing or conduit shall be insulated and routed to 
prevent heat transfer to the air stream. Any surface of the air 
conveying tubing in contact with surrounding air at a different 
temperature than the sampled air shall be insulated with thermal 
insulation with a nominal thermal resistance (R-value) of at least 
19 hr [middot] ft\2\ [middot] [deg]F/Btu. Alternatively the conduit 
may have lower thermal resistance if additional sensor(s) are used 
to measure dry bulb temperature at the outlet of each air sampling 
device. No part of the air sampling device or the tubing conducting 
the sampled air to the sensors shall be within two inches of the 
test chamber floor.
    Pairs of measurements (e.g., dry bulb temperature and wet bulb 
temperature) used to determine water vapor content of sampled air 
shall be measured in the same location.

2.12 Measurement of Indoor Blower Speed

    When required, measure fan speed using a revolution counter, 
tachometer, or stroboscope that gives readings accurate to within 
1.0 percent.

2.13 Measurement of Barometric Pressure

    Determine the average barometric pressure during each test. Use 
an instrument that meets the requirements specified in section 5.2 
of ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3).

2.14 Air Sampling Device and Aspirating Psycrhometer Requirements

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

2.14.1 Air Sampling Device Requirements

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

2.14.2 Aspirating Psychrometer

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

3. Testing Procedures

3.1 General Requirements

    If, during the testing process, an equipment set-up adjustment 
is made that would have altered the performance of the unit during 
any already completed test, then repeat all tests affected by the 
adjustment. For cyclic tests, instead of maintaining an air volume 
rate, for each airflow nozzle, maintain the static pressure 
difference or velocity pressure during an ON period at the same 
pressure difference or velocity pressure as measured during the 
steady-state test conducted at the same test conditions.
    Use the testing procedures in this section to collect the data 
used for calculating
    (1) Performance metrics for central air conditioners and heat 
pumps during the cooling season;
    (2) Performance metrics for heat pumps during the heating 
season; and
    (3) Power consumption metric(s) for central air conditioners and 
heat pumps during the off mode season(s).

3.1.1 Primary and Secondary Test Methods

    For all tests, use the indoor air enthalpy method test apparatus 
to determine the unit's space conditioning capacity. The procedure 
and data collected, however, differ slightly depending upon whether 
the test is a steady-state test, a cyclic test, or a frost 
accumulation test. The following sections described these 
differences. For the full-capacity cooling-mode test and (for a heat 
pump) the full-capacity heating-mode test, use one of the acceptable 
secondary methods specified in section 2.10 of this appendix to 
determine indoor space conditioning capacity. Calculate this 
secondary check of capacity according to section 3.11 of this 
appendix. The two capacity measurements must agree to within 6 
percent to constitute a valid test. For this capacity comparison, 
use the Indoor Air Enthalpy Method capacity that is calculated in 
section 7.3 of ANSI/ASHRAE 37-2009 (incorporated by reference, see 
Sec.  430.3) (and, if testing a coil-only system, compare capacities 
before making the after-test fan heat adjustments described in 
section 3.3, 3.4, 3.7, and 3.10 of this appendix). However, include 
the appropriate section 3.3 to 3.5 and 3.7 to 3.10 fan heat 
adjustments within the indoor air enthalpy method capacities used 
for the section 4 seasonal calculations of this appendix.

3.1.2 Manufacturer-Provided Equipment Overrides

    Where needed, the manufacturer must provide a means for 
overriding the controls of the test unit so that the compressor(s) 
operates at the specified speed or capacity and the indoor blower 
operates at the specified speed or delivers the specified air volume 
rate.

3.1.3 Airflow Through the Outdoor Coil

    For all tests, meet the requirements given in section 6.1.3.4 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) when 
obtaining the airflow through the outdoor coil.

3.1.3.1 Double-Ducted

    For products intended to be installed with the outdoor airflow 
ducted, the unit shall be installed with outdoor coil ductwork 
installed per manufacturer installation instructions and shall 
operate between 0.10 and 0.15 in H2O external static 
pressure. External static pressure measurements shall be made in 
accordance with ANSI/ASHRAE 37-2009 section 6.4 and 6.5.

3.1.4 Airflow Through the Indoor Coil

    Airflow setting(s) shall be determined before testing begins. 
Unless otherwise specified within this or its subsections, no 
changes shall be made to the airflow setting(s) after initiation of 
testing.

3.1.4.1 Cooling Full-Load Air Volume Rate

3.1.4.1.1. Cooling Full-Load Air Volume Rate for Ducted Units

    Identify the certified cooling full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified Cooling full-load air volume rate, use a value equal 
to the certified cooling capacity of the unit times 400 scfm per 
12,000 Btu/h. If there are no instructions for setting fan speed or 
controls, use the as-shipped settings. Use the following procedure 
to confirm and, if necessary, adjust the Cooling full-load air 
volume rate and the fan speed or control settings to meet each test 
procedure requirement:
    a. For all ducted blower coil systems, except those having a 
constant-air-volume-rate indoor blower:

[[Page 1489]]

    Step (1) Operate the unit under conditions specified for the A 
(for single-stage units) or A2 test using the certified 
fan speed or controls settings, and adjust the exhaust fan of the 
airflow measuring apparatus to achieve the certified Cooling full-
load air volume rate;
    Step (2) Measure the external static pressure;
    Step (3) If this external static pressure is equal to or greater 
than the applicable minimum external static pressure cited in Table 
4, the pressure requirement is satisfied; proceed to step 7 of this 
section. If this external static pressure is not equal to or greater 
than the applicable minimum external static pressure cited in Table 
4, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either
    (i) The applicable Table 4 minimum is equaled or
    (ii) The measured air volume rate equals 90 percent or less of 
the Cooling full-load air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4 (ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until the applicable 
Table 4 minimum is equaled; proceed to step 7 of this section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the Cooling full-load air volume rate. 
Use the final fan speed or control settings for all tests that use 
the Cooling full-load air volume rate.
    b. For ducted blower coil systems with a constant-air-volume-
rate indoor blower. For all tests that specify the Cooling full-load 
air volume rate, obtain an external static pressure as close to (but 
not less than) the applicable Table 4 value that does not cause 
automatic shutdown of the indoor blower or air volume rate variation 
QVar, defined as follows, greater than 10 percent.
[GRAPHIC] [TIFF OMITTED] TR05JA17.008


where:

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

    Additional test steps as described in section 3.3.(e) of this 
appendix are required if the measured external static pressure exceeds 
the target value by more than 0.03 inches of water.
    c. For coil-only indoor units. For the A or A2 Test, 
(exclusively), the pressure drop across the indoor coil assembly must 
not exceed 0.30 inches of water. If this pressure drop is exceeded, 
reduce the air volume rate until the measured pressure drop equals the 
specified maximum. Use this reduced air volume rate for all tests that 
require the Cooling full-load air volume rate.

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

    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the full-load air volume rate with all 
indoor blowers operating unless prevented by the controls of the unit. 
In such cases, turn on the maximum number of indoor blowers permitted 
by the unit's controls. Where more than one option exists for meeting 
this ``on'' indoor blower requirement, which indoor blower(s) are 
turned on must match that specified in the certification report. 
Conduct section 3.1.4.1.1 setup steps for each indoor blower 
separately. If two or more indoor blowers are connected to a common 
duct as per section 2.4.1 of this appendix, temporarily divert their 
air volume to the test room when confirming or adjusting the setup 
configuration of individual indoor blowers. The allocation of the 
system's full-load air volume rate assigned to each ``on'' indoor 
blower must match that specified by the manufacturer in the 
certification report.
3.1.4.1.2. Cooling Full-Load Air Volume Rate for Non-Ducted Units
    For non-ducted units, the Cooling full-load air volume rate is the 
air volume rate that results during each test when the unit is operated 
at an external static pressure of zero inches of water.
3.1.4.2 Cooling Minimum Air Volume Rate
    Identify the certified cooling minimum air volume rate and 
certified instructions for setting fan speed or controls. If there is 
no certified cooling minimum air volume rate, use the final indoor 
blower control settings as determined when setting the cooling full-
load air volume rate, and readjust the exhaust fan of the airflow 
measuring apparatus if necessary to reset to the cooling full load air 
volume obtained in section 3.1.4.1 of this appendix. Otherwise, 
calculate the target external static pressure and follow instructions 
a, b, c, d, or e below. The target external static pressure, 
[Delta]Pst_i, for any test ``i'' with a specified air volume 
rate not equal to the Cooling full-load air volume rate is determined 
as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.009


where:

[Delta]Pst_i = target minimum external static pressure 
for test i;
[Delta]Pst_full = minimum external static pressure for 
test A or A2 (Table 4);
Qi = air volume rate for test i; and

[[Page 1490]]

Qfull = Cooling full-load air volume rate as measured 
after setting and/or adjustment as described in section 3.1.4.1.1 of 
this appendix.

    a. For a ducted blower coil system without a constant-air-volume 
indoor blower, adjust for external static pressure as follows:
    Step (1) Operate the unit under conditions specified for the B1 
test using the certified fan speed or controls settings, and adjust 
the exhaust fan of the airflow measuring apparatus to achieve the 
certified cooling minimum air volume rate;
    Step (2) Measure the external static pressure;
    Step (3) If this pressure is equal to or greater than the 
minimum external static pressure computed above, the pressure 
requirement is satisfied; proceed to step 7 of this section. If this 
pressure is not equal to or greater than the minimum external static 
pressure computed above, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either
    (i) The pressure is equal to the minimum external static 
pressure computed above or
    (ii) The measured air volume rate equals 90 percent or less of 
the cooling minimum air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4 (ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until it equals the 
minimum external static pressure computed above; proceed to step 7 
of this section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the cooling minimum air volume rate. Use 
the final fan speed or control settings for all tests that use the 
cooling minimum air volume rate.
    b. For ducted units with constant-air-volume indoor blowers, 
conduct all tests that specify the cooling minimum air volume rate--
(i.e., the A1, B1, C1, 
F1, and G1 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this appendix, greater than 10 percent, while 
being as close to, but not less than the target minimum external 
static pressure. Additional test steps as described in section 
3.3(e) of this appendix are required if the measured external static 
pressure exceeds the target value by more than 0.03 inches of water.
    c. For ducted two-capacity coil-only systems, the cooling 
minimum air volume rate is the higher of (1) the rate specified by 
the installation instructions included with the unit by the 
manufacturer or (2) 75 percent of the cooling full-load air volume 
rate. During the laboratory tests on a coil-only (fanless) system, 
obtain this cooling minimum air volume rate regardless of the 
pressure drop across the indoor coil assembly.
    d. For non-ducted units, the cooling minimum air volume rate is 
the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water and 
at the indoor blower setting used at low compressor capacity (two-
capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed variable-air-volume-rate indoor blower, use the lowest fan 
setting allowed for cooling.
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, operate the indoor blowers such that the 
lowest air volume rate allowed by the unit's controls is obtained 
when operating the lone single-speed compressor or when operating at 
low compressor capacity while meeting the requirements of section 
2.2.3.b of this appendix for the minimum number of blowers that must 
be turned off. Using the target external static pressure and the 
certified air volume rates, follow the procedures described in 
section 3.1.4.2.a of this appendix if the indoor blowers are not 
constant-air-volume indoor blowers or as described in section 
3.1.4.2.b of this appendix if the indoor blowers are constant-air-
volume indoor blowers. The sum of the individual ``on'' indoor 
blowers' air volume rates is the cooling minimum air volume rate for 
the system.

3.1.4.3 Cooling Intermediate Air Volume Rate

    Identify the certified cooling intermediate air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified cooling intermediate air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling full load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full load air volume obtained in section 3.1.4.1 of this appendix. 
Otherwise, calculate target minimum external static pressure as 
described in section 3.1.4.2 of this appendix, and set the air 
volume rate as follows.
    a. For a ducted blower coil system without a constant-air-volume 
indoor blower, adjust for external static pressure as described in 
section 3.1.4.2.a of this appendix for cooling minimum air volume 
rate.
    b. For a ducted blower coil system with a constant-air-volume 
indoor blower, conduct the EV Test at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this appendix, greater than 10 percent, while 
being as close to, but not less than the target minimum external 
static pressure. Additional test steps as described in section 
3.3(e) of this appendix are required if the measured external static 
pressure exceeds the target value by more than 0.03 inches of water.
    c. For non-ducted units, the cooling intermediate air volume 
rate is the air volume rate that results when the unit operates at 
an external static pressure of zero inches of water and at the fan 
speed selected by the controls of the unit for the EV 
Test conditions.

3.1.4.4 Heating Full-Load Air Volume Rate

3.1.4.4.1. Ducted Heat Pumps Where the Heating and Cooling Full-Load 
Air Volume Rates Are the Same

    a. Use the Cooling full-load air volume rate as the heating 
full-load air volume rate for:
    (1) Ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, and that operate at the same 
airflow-control setting during both the A (or A2) and the 
H1 (or H12) Tests;
    (2) Ducted blower coil system heat pumps with constant-air-flow 
indoor blowers that provide the same air flow for the A (or 
A2) and the H1 (or H12) Tests; and
    (3) Ducted heat pumps that are tested with a coil-only indoor 
unit (except two-capacity northern heat pumps that are tested only 
at low capacity cooling--see section 3.1.4.4.2 of this appendix).
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. Use the final indoor blower control 
settings as determined when setting the Cooling full-load air volume 
rate, and readjust the exhaust fan of the airflow measuring 
apparatus if necessary to reset to the cooling full-load air volume 
obtained in section 3.1.4.1 of this appendix. For heat pumps that 
meet the above criterion ``2,'' test at an external static pressure 
that does not cause an automatic shutdown of the indoor blower or 
air volume rate variation QVar, defined in section 
3.1.4.1.1.b of this appendix, greater than 10 percent, while being 
as close to, but not less than, the same Table 4 minimum external 
static pressure as was specified for the A (or A2) 
cooling mode test. Additional test steps as described in section 
3.9.1(c) of this appendix are required if the measured external 
static pressure exceeds the target value by more than 0.03 inches of 
water.

3.1.4.4.2. Ducted Heat Pumps Where the Heating and Cooling Full-Load 
Air Volume Rates Are Different Due to Changes in Indoor Blower 
Operation, i.e. Speed Adjustment by the System Controls

    Identify the certified heating full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating full-load air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling full-load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full load air volume obtained in section 3.1.4.1 of this appendix. 
Otherwise, calculate target minimum external static pressure as 
described in section 3.1.4.2 of this appendix and set the air volume 
rate as follows.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static 
pressure as described in section 3.1.4.2.a of this appendix for 
cooling minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the heating full-

[[Page 1491]]

load air volume rate at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b of this 
appendix, greater than 10 percent, while being as close to, but not 
less than the target minimum external static pressure. Additional 
test steps as described in section 3.9.1(c) of this appendix are 
required if the measured external static pressure exceeds the target 
value by more than 0.03 inches of water.
    c. When testing ducted, two-capacity blower coil system northern 
heat pumps (see section 1.2 of this appendix, Definitions), use the 
appropriate approach of the above two cases. For coil-only system 
northern heat pumps, the heating full-load air volume rate is the 
lesser of the rate specified by the manufacturer in the installation 
instructions included with the unit or 133 percent of the cooling 
full-load air volume rate. For this latter case, obtain the heating 
full-load air volume rate regardless of the pressure drop across the 
indoor coil assembly.
    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the heating full-load air volume rate 
using the same ``on'' indoor blowers as used for the Cooling full-
load air volume rate. Using the target external static pressure and 
the certified air volume rates, follow the procedures as described 
in section 3.1.4.4.2.a of this appendix if the indoor blowers are 
not constant-air-volume indoor blowers or as described in section 
3.1.4.4.2.b of this appendix if the indoor blowers are constant-air-
volume indoor blowers. The sum of the individual ``on'' indoor 
blowers' air volume rates is the heating full load air volume rate 
for the system.

3.1.4.4.3. Ducted Heating-Only Heat Pumps

    Identify the certified heating full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating full-load air volume rate, use a value equal 
to the certified heating capacity of the unit times 400 scfm per 
12,000 Btu/h. If there are no instructions for setting fan speed or 
controls, use the as-shipped settings.
    a. For all ducted heating-only blower coil system heat pumps, 
except those having a constant-air-volume-rate indoor blower. 
Conduct the following steps only during the first test, the H1 or 
H12 Test:
    Step (1) Adjust the exhaust fan of the airflow measuring 
apparatus to achieve the certified heating full-load air volume 
rate.
    Step (2) Measure the external static pressure.
    Step (3) If this pressure is equal to or greater than the Table 
4 minimum external static pressure that applies given the heating-
only heat pump's rated heating capacity, the pressure requirement is 
satisfied; proceed to step 7 of this section. If this pressure is 
not equal to or greater than the applicable Table 4 minimum external 
static pressure, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either (i) the 
pressure is equal to the applicable Table 4 minimum external static 
pressure or (ii) the measured air volume rate equals 90 percent or 
less of the heating full-load air volume rate, whichever occurs 
first;
    Step (5) If the conditions of step 4(i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4(ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until it equals the 
applicable Table 4 minimum external static pressure; proceed to step 
7 of this section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the heating full-load air volume rate. 
Use the final fan speed or control settings for all tests that use 
the heating full-load air volume rate.
    b. For ducted heating-only blower coil system heat pumps having 
a constant-air-volume-rate indoor blower. For all tests that specify 
the heating full-load air volume rate, obtain an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this appendix, greater than 10 percent, while 
being as close to, but not less than, the applicable Table 4 
minimum. Additional test steps as described in section 3.9.1(c) of 
this appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted heating-only coil-only system heat pumps in the H1 
or H12 Test, (exclusively), the pressure drop across the 
indoor coil assembly must not exceed 0.30 inches of water. If this 
pressure drop is exceeded, reduce the air volume rate until the 
measured pressure drop equals the specified maximum. Use this 
reduced air volume rate for all tests that require the heating full-
load air volume rate.

3.1.4.4.4. Non-Ducted Heat Pumps, Including Non-Ducted Heating-Only 
Heat Pumps

    For non-ducted heat pumps, the heating full-load air volume rate 
is the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water.

3.1.4.5 Heating Minimum Air Volume Rate

3.1.4.5.1. Ducted Heat Pumps Where the Heating and Cooling Minimum Air 
Volume Rates Are the Same

    a. Use the cooling minimum air volume rate as the heating 
minimum air volume rate for:
    (1) Ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, and that operate at the same 
airflow-control setting during both the A1 and the 
H11 tests;
    (2) Ducted blower coil system heat pumps with constant-air-flow 
indoor blowers installed that provide the same air flow for the 
A1 and the H11 Tests; and
    (3) Ducted coil-only system heat pumps.
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. Use the final indoor blower control 
settings as determined when setting the cooling minimum air volume 
rate, and readjust the exhaust fan of the airflow measuring 
apparatus if necessary to reset to the cooling minimum air volume 
rate obtained in section 3.1.4.2 of this appendix. For heat pumps 
that meet the above criterion ``2,'' test at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this appendix, greater than 10 percent, while 
being as close to, but not less than, the same target minimum 
external static pressure as was specified for the A1 
cooling mode test. Additional test steps as described in section 
3.9.1(c) of this appendix are required if the measured external 
static pressure exceeds the target value by more than 0.03 inches of 
water.

3.1.4.5.2. Ducted Heat Pumps Where the Heating and Cooling Minimum Air 
Volume Rates Are Different Due to Changes in Indoor Blower Operation, 
i.e. Speed Adjustment by the System Controls

    Identify the certified heating minimum air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating minimum air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling minimum air volume rate, and readjust the exhaust fan of the 
airflow measuring apparatus if necessary to reset to the cooling 
minimum air volume obtained in section 3.1.4.2 of this appendix. 
Otherwise, calculate the target minimum external static pressure as 
described in section 3.1.4.2 of this appendix.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static 
pressure as described in section 3.1.4.2.a of this appendix for 
cooling minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the heating 
minimum air volume rate--(i.e., the H01, H11, 
H21, and H31 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower while being as close to, but not less than the air volume 
rate variation QVar, defined in section 3.1.4.1.1.b of 
this appendix, greater than 10 percent, while being as close to, but 
not less than the target minimum external static pressure. 
Additional test steps as described in section 3.9.1.c of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted two-capacity blower coil system northern heat 
pumps, use the appropriate approach of the above two cases.
    d. For ducted two-capacity coil-only system heat pumps, use the 
cooling minimum air volume rate as the heating minimum air volume 
rate. For ducted two-capacity coil-only system northern heat pumps, 
use the cooling full-load air volume rate as the heating minimum air 
volume rate.

[[Page 1492]]

For ducted two-capacity heating-only coil-only system heat pumps, 
the heating minimum air volume rate is the higher of the rate 
specified by the manufacturer in the test setup instructions 
included with the unit or 75 percent of the heating full-load air 
volume rate. During the laboratory tests on a coil-only system, 
obtain the heating minimum air volume rate without regard to the 
pressure drop across the indoor coil assembly.
    e. For non-ducted heat pumps, the heating minimum air volume 
rate is the air volume rate that results during each test when the 
unit operates at an external static pressure of zero inches of water 
and at the indoor blower setting used at low compressor capacity 
(two-capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed, variable-air-volume-rate indoor blower, use the lowest fan 
setting allowed for heating.
    f. For ducted systems with multiple indoor blowers within a 
single indoor section, obtain the heating minimum air volume rate 
using the same ``on'' indoor blowers as used for the cooling minimum 
air volume rate. Using the target external static pressure and the 
certified air volume rates, follow the procedures as described in 
section 3.1.4.5.2.a of this appendix if the indoor blowers are not 
constant-air-volume indoor blowers or as described in section 
3.1.4.5.2.b of this appendix if the indoor blowers are constant-air-
volume indoor blowers. The sum of the individual ``on'' indoor 
blowers' air volume rates is the heating full-load air volume rate 
for the system.

3.1.4.6 Heating Intermediate Air Volume Rate

    Identify the certified heating intermediate air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating intermediate air volume rate, use the final 
indoor blower control settings as determined when setting the 
heating full-load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full load air volume obtained in section 3.1.4.2 of this appendix. 
Calculate the target minimum external static pressure as described 
in section 3.1.4.2 of this appendix.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static 
pressure as described in section 3.1.4.2.a of this appendix for 
cooling minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct the H2V Test at an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b of this appendix, greater than 10 percent, 
while being as close to, but not less than the target minimum 
external static pressure. Additional test steps as described in 
section 3.9.1(c) of this appendix are required if the measured 
external static pressure exceeds the target value by more than 0.03 
inches of water.
    c. For non-ducted heat pumps, the heating intermediate air 
volume rate is the air volume rate that results when the heat pump 
operates at an external static pressure of zero inches of water and 
at the fan speed selected by the controls of the unit for the 
H2V Test conditions.

3.1.4.7 Heating Nominal Air Volume Rate

    The manufacturer must specify the heating nominal air volume 
rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2 of this appendix. Make adjustments as described in 
section 3.1.4.6 of this appendix for heating intermediate air volume 
rate so that the target minimum external static pressure is met or 
exceeded.

3.1.5 Indoor Test Room Requirement When the Air Surrounding the Indoor 
Unit Is Not Supplied From the Same Source as the Air Entering the 
Indoor Unit

    If using a test set-up where air is ducted directly from the air 
reconditioning apparatus to the indoor coil inlet (see Figure 2, 
Loop Air-Enthalpy Test Method Arrangement, of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3)), maintain the dry bulb 
temperature within the test room within 5.0[emsp14][deg]F of the applicable sections 3.2 and 3.6 dry 
bulb temperature test condition for the air entering the indoor 
unit. Dew point shall be within 2[emsp14][deg]F of the required 
inlet conditions.

3.1.6 Air Volume Rate Calculations

    For all steady-state tests and for frost accumulation (H2, 
H21, H22, H2V) tests, calculate the 
air volume rate through the indoor coil as specified in sections 
7.7.2.1 and 7.7.2.2 of ANSI/ASHRAE 37-2009. When using the outdoor 
air enthalpy method, follow sections 7.7.2.1 and 7.7.2.2 of ANSI/
ASHRAE 37-2009 to calculate the air volume rate through the outdoor 
coil. To express air volume rates in terms of standard air, use:
[GRAPHIC] [TIFF OMITTED] TR05JA17.010

Where:

Vis = air volume rate of standard (dry) air, (ft\3\/
min)da
Vimx = air volume rate of the air-water vapor mixture, 
(ft\3\/min)mx
vn' = specific volume of air-water vapor mixture at the 
nozzle, ft\3\ per lbm of the air-water vapor mixture
Wn = humidity ratio at the nozzle, lbm of water vapor per 
lbm of dry air
0.075 = the density associated with standard (dry) air, (lbm/ft\3\)
vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.
    Note: In the first printing of ANSI/ASHRAE 37-2009, the second 
IP equation for Qmi should read
[GRAPHIC] [TIFF OMITTED] TR05JA17.011

3.1.7 Test Sequence

    Before making test measurements used to calculate performance, 
operate the equipment for the ``break-in'' period specified in the 
certification report, which may not exceed 20 hours. Each compressor 
of the unit must undergo this ``break-in'' period. When testing a 
ducted unit (except if a heating-only heat pump), conduct the A or 
A2 Test first to establish the cooling full-load air 
volume rate. For ducted heat pumps where the heating and cooling 
full-load air volume rates are different, make the first heating 
mode test one that requires the heating full-load air volume rate. 
For ducted heating-only heat pumps, conduct the H1 or H12 
Test first to establish the heating full-load air volume rate. When 
conducting a cyclic test, always conduct it immediately after the 
steady-state test that requires the same test conditions. For 
variable-speed systems, the first test using the cooling minimum air 
volume rate should precede the EV Test, and the first 
test using the heating minimum air volume rate must precede the 
H2V Test. The test laboratory makes all other decisions 
on the test sequence.

3.1.8 Requirement for the Air Temperature Distribution Leaving the 
Indoor Coil

    For at least the first cooling mode test and the first heating 
mode test, monitor the temperature distribution of the air leaving 
the indoor coil using the grid of individual sensors described in 
sections 2.5 and 2.5.4 of this appendix. For the 30-minute data 
collection interval used to determine capacity, the maximum spread 
among the outlet dry bulb temperatures from any data sampling must 
not exceed 1.5[emsp14][deg]F. Install the mixing devices described 
in section 2.5.4.2 of this appendix to minimize the temperature 
spread.

3.1.9 Requirement for the Air Temperature Distribution Entering the 
Outdoor Coil

    Monitor the temperatures of the air entering the outdoor coil 
using air sampling devices and/or temperature sensor grids, 
maintaining the required tolerances, if applicable, as described in 
section 2.11 of this appendix.

[[Page 1493]]

3.1.10 Control of Auxiliary Resistive Heating Elements

    Except as noted, disable heat pump resistance elements used for 
heating indoor air at all times, including during defrost cycles and 
if they are normally regulated by a heat comfort controller. For 
heat pumps equipped with a heat comfort controller, enable the heat 
pump resistance elements only during the below-described, short 
test. For single-speed heat pumps covered under section 3.6.1 of 
this appendix, the short test follows the H1 or, if conducted, the 
H1C Test. For two-capacity heat pumps and heat pumps covered under 
section 3.6.2 of this appendix, the short test follows the 
H12 Test. Set the heat comfort controller to provide the 
maximum supply air temperature. With the heat pump operating and 
while maintaining the heating full-load air volume rate, measure the 
temperature of the air leaving the indoor-side beginning 5 minutes 
after activating the heat comfort controller. Sample the outlet dry-
bulb temperature at regular intervals that span 5 minutes or less. 
Collect data for 10 minutes, obtaining at least 3 samples. Calculate 
the average outlet temperature over the 10-minute interval, 
TCC.

3.2 Cooling Mode Tests for Different Types of Air Conditioners and 
Heat Pumps

3.2.1 Tests for a System Having a Single-Speed Compressor and Fixed 
Cooling Air Volume Rate

    This set of tests is for single-speed-compressor units that do 
not have a cooling minimum air volume rate or a cooling intermediate 
air volume rate that is different than the cooling full load air 
volume rate. Conduct two steady-state wet coil tests, the A and B 
Tests. Use the two optional dry-coil tests, the steady-state C Test 
and the cyclic D Test, to determine the cooling mode cyclic 
degradation coefficient, CD\c\. If the two optional tests 
are conducted but yield a tested CD\c\ that exceeds the 
default CD\c\ or if the two optional tests are not 
conducted, assign CD\c\ the default value of 0.25 (for 
outdoor units with no match) or 0.20 (for all other systems). Table 
5 specifies test conditions for these four tests.

                  Table 5--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed Cooling Air Volume Rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Air entering indoor unit        Air entering outdoor unit
                                              temperature ([deg]F)            temperature ([deg]F)
            Test description            ----------------------------------------------------------------             Cooling air volume rate
                                            Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A Test--required (steady, wet coil)....              80              67              95          \1\ 75  Cooling full-load.\2\
B Test--required (steady, wet coil)....              80              67              82          \1\ 65  Cooling full-load.\2\
C Test--optional (steady, dry coil)....              80           (\3\)              82  ..............  Cooling full-load.\2\
D Test--optional (cyclic, dry coil)....              80           (\3\)              82  ..............  (\4\).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 57 [deg]F or less be used.)
\4\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the C Test.

3.2.2 Tests for a Unit Having a Single-Speed Compressor Where the 
Indoor Section Uses a Single Variable-Speed Variable-Air-Volume 
Rate Indoor Blower or Multiple Indoor Blowers

3.2.2.1 Indoor Blower Capacity Modulation That Correlates With the 
Outdoor Dry Bulb Temperature or Systems With a Single Indoor Coil but 
Multiple Indoor Blowers

    Conduct four steady-state wet coil tests: The A2, 
A1, B2, and B1 tests. Use the two 
optional dry-coil tests, the steady-state C1 test and the 
cyclic D1 test, to determine the cooling mode cyclic 
degradation coefficient, CD\c\. 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 0.20.

3.2.2.2 Indoor Blower Capacity Modulation Based on Adjusting the 
Sensible to Total (S/T) Cooling Capacity Ratio

    The testing requirements are the same as specified in section 
3.2.1 of this appendix and Table 5. Use a cooling full-load air 
volume rate that represents a normal installation. If performed, 
conduct the steady-state C Test and the cyclic D Test with the unit 
operating in the same S/T capacity control mode as used for the B 
Test.

          Table 6--Cooling Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.2.2.1 Indoor Unit Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Air entering indoor unit        Air entering outdoor unit
                                              temperature ([deg]F)            temperature ([deg]F)
            Test description            ----------------------------------------------------------------             Cooling air volume rate
                                            Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil)...              80              67              95          \1\ 75  Cooling full-load.\2\
A1 Test--required (steady, wet coil)...              80              67              95          \1\ 75  Cooling minimum.\3\
B2 Test--required (steady, wet coil)...              80              67              82          \1\ 65  Cooling full-load.\2\
B1 Test--required (steady, wet coil)...              80              67              82          \1\ 65  Cooling minimum.\3\
C1 Test \4\--optional (steady, dry                   80           (\4\)              82  ..............  Cooling minimum.\3\
 coil).
D1 Test \4\--optional (cyclic, dry                   80           (\4\)              82  ..............  (\5\).
 coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ Defined in section 3.1.4.2 of this appendix.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 5 [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.


[[Page 1494]]

3.2.3 Tests for a Unit Having a Two-Capacity Compressor (See Section 
1.2 of This Appendix, Definitions)

    a. Conduct four steady-state wet coil tests: the A2, 
B2, B1, and F1 Tests. Use the two 
optional dry-coil tests, the steady-state C1 Test and the 
cyclic D1 Test, to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. 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 0.20. Table 6 
specifies test conditions for these six tests.
    b. For units having a variable speed indoor blower that is 
modulated to adjust the sensible to total (S/T) cooling capacity 
ratio, use cooling full-load and cooling minimum air volume rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the B1 Test.
    c. Test two-capacity, northern heat pumps (see section 1.2 of 
this appendix, Definitions) in the same way as a single speed heat 
pump with the unit operating exclusively at low compressor capacity 
(see section 3.2.1 of this appendix and Table 5).
    d. If a two-capacity air conditioner or heat pump locks out low-
capacity operation at higher outdoor temperatures, then use the two 
dry-coil tests, the steady-state C2 Test and the cyclic 
D2 Test, to determine the cooling-mode cyclic-degradation 
coefficient that only applies to on/off cycling from high capacity, 
CD\c\(k=2). If the two optional tests are conducted but 
yield a tested CD\c\ (k = 2) that exceeds the default CD\c\ (k = 2) 
or if the two optional tests are not conducted, assign CD\c\ (k = 2) 
the default value. The default CD\c\(k=2) is the same 
value as determined or assigned for the low-capacity cyclic-
degradation coefficient, CD\c\ [or equivalently, 
CD\c\(k=1)].

                                    Table 7--Cooling Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Air entering indoor unit            Air entering outdoor unit
                                              temperature ([deg]F)                temperature ([deg]F)            Compressor
           Test description           ------------------------------------------------------------------------     capacity      Cooling air volume rate
                                           Dry bulb          Wet bulb          Dry bulb          Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil).                80                67                95            \1\ 75              High  Cooling Full-Load.\2\
B2 Test--required (steady, wet coil).                80                67                82            \1\ 65              High  Cooling Full-Load.\2\
B1 Test--required (steady, wet coil).                80                67                82            \1\ 65               Low  Cooling Minimum.\3\
C2 Test--optional (steady, dry-coil).                80             (\4\)                82  ................              High  Cooling Full-Load.\2\
D2 Test--optional (cyclic, dry-coil).                80             (\4\)                82  ................              High  (\5\).
C1 Test--optional (steady, dry-coil).                80             (\4\)                82  ................               Low  Cooling Minimum.\3\
D1 Test--optional (cyclic, dry-coil).                80             (\4\)                82  ................               Low  (\6\).
F1 Test--required (steady, wet coil).                80                67                67          \1\ 53.5               Low  Cooling Minimum.\3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ Defined in section 3.1.4.2 of this appendix.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet-bulb
  temperature of 57 [deg]F or less.
\5\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C2 Test.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C1 Test.

3.2.4 Tests for a Unit Having a Variable-Speed Compressor

    a. Conduct five steady-state wet coil tests: The A2, 
EV, B2, B1, and F1 
Tests. Use the two optional dry-coil tests, the steady-state 
G1 Test and the cyclic I1 Test, to determine 
the cooling mode cyclic degradation coefficient, CD\c\. 
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 8 specifies test conditions for these seven 
tests. The compressor shall operate at the same cooling full speed, 
measured by RPM or power input frequency (Hz), for both the 
A2 and B2 tests. The compressor shall operate 
at the same cooling minimum speed, measured by RPM or power input 
frequency (Hz), for the B1, F1, G1, 
and I1 tests. Determine the cooling intermediate 
compressor speed cited in Table 8 using:

[GRAPHIC] [TIFF OMITTED] TR05JA17.012

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

    b. For units that modulate the indoor blower speed to adjust the 
sensible to total (S/T) cooling capacity ratio, use cooling full-
load, cooling intermediate, and cooling minimum air volume rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the F1 Test.
    c. For multiple-split air conditioners and heat pumps (except 
where noted), the following procedures supersede the above 
requirements: For all Table 8 tests specified for a minimum 
compressor speed, at least one indoor unit must be turned off. The 
manufacturer shall designate the particular indoor unit(s) that is 
turned off. The manufacturer must also specify the compressor speed 
used for the Table 8 EV Test, a cooling-mode intermediate 
compressor speed that falls within \1/4\ and \3/4\ of the difference 
between the full and minimum cooling-mode speeds. The manufacturer 
should prescribe an intermediate speed that is expected to yield the 
highest EER for the given EV Test conditions and 
bracketed compressor speed range. The manufacturer can designate 
that

[[Page 1495]]

one or more indoor units are turned off for the EV Test.

                                    Table 8--Cooling Mode Test Condition for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor unit
                                             temperature ([deg]F)        temperature ([deg]F)
            Test description             --------------------------------------------------------      Compressor speed        Cooling air  volume rate
                                            Dry bulb      Wet bulb      Dry bulb      Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet coil)....            80            67            95        \1\ 75  Cooling Full..............  Cooling Full-Load.\2\
B2 Test--required (steady, wet coil)....            80            67            82        \1\ 65  Cooling Full..............  Cooling Full-Load.\2\
EV Test--required (steady, wet coil)....            80            67            87        \1\ 69  Cooling Intermediate......  Cooling Intermediate.\3\
B1 Test--required (steady, wet coil)....            80            67            82        \1\ 65  Cooling Minimum...........  Cooling Minimum.\4\
F1 Test--required (steady, wet coil)....            80            67            67      \1\ 53.5  Cooling Minimum...........  Cooling Minimum.\4\
G1 Test \5\--optional (steady, dry-coil)            80         (\6\)            67  ............  Cooling Minimum...........  Cooling Minimum.\4\
I1 Test \5\--optional (cyclic, dry-coil)            80         (\6\)            67  ............  Cooling Minimum...........  (\6\).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ Defined in section 3.1.4.3 of this appendix.
\4\ Defined in section 3.1.4.2 of this appendix.
\5\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet bulb
  temperature of 57 [deg]F or less.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the G1 Test.

3.2.5 Cooling Mode Tests for Northern Heat Pumps With Triple-Capacity 
Compressors

    Test triple-capacity, northern heat pumps for the cooling mode 
in the same way as specified in section 3.2.3 of this appendix for 
units having a two-capacity compressor.

3.2.6 Tests for an Air Conditioner or Heat Pump Having a Single Indoor 
Unit Having Multiple Indoor Blowers and Offering Two Stages of 
Compressor Modulation

    Conduct the cooling mode tests specified in section 3.2.3 of 
this appendix.

3.3 Test Procedures for Steady-State Wet Coil Cooling Mode Tests 
(the A, A2, A1, B, B2, B1, EV, and F1 Tests)

    a. For the pretest interval, operate the test room 
reconditioning apparatus and the unit to be tested until maintaining 
equilibrium conditions for at least 30 minutes at the specified 
section 3.2 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the test 
unit to obtain and then maintain the indoor air volume rate and/or 
external static pressure specified for the particular test. 
Continuously record (see section 1.2 of this appendix, Definitions):
    (1) The dry-bulb temperature of the air entering the indoor 
coil,
    (2) The water vapor content of the air entering the indoor coil,
    (3) The dry-bulb temperature of the air entering the outdoor 
coil, and
    (4) For the section 2.2.4 of this appendix cases where its 
control is required, the water vapor content of the air entering the 
outdoor coil.
    Refer to section 3.11 of this appendix for additional 
requirements that depend on the selected secondary test method.
    b. After satisfying the pretest equilibrium requirements, make 
the measurements specified in Table 3 of ANSI/ASHRAE 37-2009 for the 
indoor air enthalpy method and the user-selected secondary method. 
Make said Table 3 measurements at equal intervals that span 5 
minutes or less. Continue data sampling until reaching a 30-minute 
period (e.g., seven consecutive 5-minute samples) where the test 
tolerances specified in Table 9 are satisfied. For those 
continuously recorded parameters, use the entire data set from the 
30-minute interval to evaluate Table 9 compliance. Determine the 
average electrical power consumption of the air conditioner or heat 
pump over the same 30-minute interval.
    c. Calculate indoor-side total cooling capacity and sensible 
cooling capacity as specified in sections 7.3.3.1 and 7.3.3.3 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3). To 
calculate capacity, use the averages of the measurements (e.g. inlet 
and outlet dry bulb and wet bulb temperatures measured at the 
psychrometers) that are continuously recorded for the same 30-minute 
interval used as described above to evaluate compliance with test 
tolerances. Do not adjust the parameters used in calculating 
capacity for the permitted variations in test conditions. Evaluate 
air enthalpies based on the measured barometric pressure. Use the 
values of the specific heat of air given in section 7.3.3.1 of ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) for 
calculation of the sensible cooling capacities. Assign the average 
total space cooling capacity, average sensible cooling capacity, and 
electrical power consumption over the 30-minute data collection 
interval to the variables Qc\k\(T), Qsc\k\(T) 
and Ec\k\(T), respectively. For these three variables, 
replace the ``T'' with the nominal outdoor temperature at which the 
test was conducted. The superscript k is used only when testing 
multi-capacity units.
    Use the superscript k=2 to denote a test with the unit operating 
at high capacity or full speed, k=1 to denote low capacity or 
minimum speed, and k=v to denote the intermediate speed.
    d. For coil-only system tests, decrease Qc\k\(T) by
    [GRAPHIC] [TIFF OMITTED] TR05JA17.013
    

    and increase Ec\k\(T) by,

    [GRAPHIC] [TIFF OMITTED] TR05JA17.014
    
where VIs is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm).

[[Page 1496]]



  Table 9--Test Operating and Test Condition Tolerances for Section 3.3
    Steady-State Wet Coil Cooling Mode Tests and Section 3.4 Dry Coil
                           Cooling Mode Tests
------------------------------------------------------------------------
                                      Test operating     Test condition
                                      tolerance \1\      tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F
    Entering temperature..........                2.0                0.5
    Leaving temperature...........                2.0  .................
Indoor wet-bulb, [deg]F
    Entering temperature..........                1.0            \2\ 0.3
    Leaving temperature...........            \2\ 1.0  .................
Outdoor dry-bulb, [deg]F
    Entering temperature..........                2.0                0.5
    Leaving temperature...........            \3\ 2.0  .................
Outdoor wet-bulb, [deg]F
    Entering temperature..........                1.0            \4\ 0.3
    Leaving temperature...........            \3\ 1.0  .................
External resistance to airflow,                  0.05           \5\ 0.02
 inches of water..................
Electrical voltage, % of rdg......                2.0                1.5
Nozzle pressure drop, % of rdg....                2.0  .................
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Only applies during wet coil tests; does not apply during steady-
  state, dry coil cooling mode tests.
\3\ Only applies when using the outdoor air enthalpy method.
\4\ Only applies during wet coil cooling mode tests where the unit
  rejects condensate to the outdoor coil.
\5\ Only applies when testing non-ducted units.

    e. For air conditioners and heat pumps having a constant-air-
volume-rate indoor blower, the five additional steps listed below 
are required if the average of the measured external static 
pressures exceeds the applicable sections 3.1.4 minimum (or target) 
external static pressure ([Delta]Pmin) by 0.03 inches of 
water or more.
    (1) Measure the average power consumption of the indoor blower 
motor (Efan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the 30-minute interval used for determining capacity.
    (2) After completing the 30-minute interval and while 
maintaining the same test conditions, adjust the exhaust fan of the 
airflow measuring apparatus until the external static pressure 
increases to approximately [Delta]P1 + 
([Delta]P1-[Delta]Pmin).
    (3) After re-establishing steady readings of the fan motor power 
and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    (4) Approximate the average power consumption of the indoor 
blower motor at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.015

    (5) Increase the total space cooling capacity, 
Qc\k\(T), by the quantity (Efan,1-
Efan,min), when expressed on a Btu/h basis. Decrease the 
total electrical power, Ec\k\(T), by the same fan power 
difference, now expressed in watts.

3.4 Test Procedures for the Steady-State Dry-Coil Cooling-Mode 
Tests (the C, C1, C2, and G1 Tests)

    a. Except for the modifications noted in this section, conduct 
the steady-state dry coil cooling mode tests as specified in section 
3.3 of this appendix for wet coil tests. Prior to recording data 
during the steady-state dry coil test, operate the unit at least one 
hour after achieving dry coil conditions. Drain the drain pan and 
plug the drain opening. Thereafter, the drain pan should remain 
completely dry.
    b. Denote the resulting total space cooling capacity and 
electrical power derived from the test as Qss,dry and 
Ess,dry. With regard to a section 3.3 deviation, do not 
adjust Qss,dry for duct losses (i.e., do not apply 
section 7.3.3.3 of ANSI/ASHRAE 37-2009). In preparing for the 
section 3.5 cyclic tests of this appendix, record the average 
indoor-side air volume rate, VI, specific heat of the air, Cp,a 
(expressed on dry air basis), specific volume of the air at the 
nozzles, v'n, humidity ratio at the nozzles, 
Wn, and either pressure difference or velocity pressure 
for the flow nozzles. For units having a variable-speed indoor 
blower (that provides either a constant or variable air volume rate) 
that will or may be tested during the cyclic dry coil cooling mode 
test with the indoor blower turned off (see section 3.5 of this 
appendix), include the electrical power used by the indoor blower 
motor among the recorded parameters from the 30-minute test.
    c. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TR05JA17.016

    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-

[[Page 1497]]

state dry-coil test and the subsequent cyclic dry-coil test are the 
same, set FCD*= 1.

3.5 Test Procedures for the Cyclic Dry-Coil Cooling-Mode Tests (the 
D, D1, D2, and I1 Tests)

    After completing the steady-state dry-coil test, remove the 
outdoor air enthalpy method test apparatus, if connected, and begin 
manual OFF/ON cycling of the unit's compressor. The test set-up 
should otherwise be identical to the set-up used during the steady-
state dry coil test. When testing heat pumps, leave the reversing 
valve during the compressor OFF cycles in the same position as used 
for the compressor ON cycles, unless automatically changed by the 
controls of the unit. For units having a variable-speed indoor 
blower, the manufacturer has the option of electing at the outset 
whether to conduct the cyclic test with the indoor blower enabled or 
disabled. Always revert to testing with the indoor blower disabled 
if cyclic testing with the fan enabled is unsuccessful.
    a. For all cyclic tests, the measured capacity must be adjusted 
for the thermal mass stored in devices and connections located 
between measured points. Follow the procedure outlined in section 
7.4.3.4.5 of ASHRAE 116-2010 (incorporated by reference, see Sec.  
430.3) to ensure any required measurements are taken.
    b. For units having a single-speed or two-capacity compressor, 
cycle the compressor OFF for 24 minutes and then ON for 6 minutes 
([Delta][tau]cyc,dry = 0.5 hours). For units having a 
variable-speed compressor, cycle the compressor OFF for 48 minutes 
and then ON for 12 minutes ([Delta][tau]cyc,dry = 1.0 
hours). Repeat the OFF/ON compressor cycling pattern until the test 
is completed. Allow the controls of the unit to regulate cycling of 
the outdoor fan. If an upturned duct is used, measure the dry-bulb 
temperature at the inlet of the device at least once every minute 
and ensure that its test operating tolerance is within 1.0 [deg]F 
for each compressor OFF period.
    c. Sections 3.5.1 and 3.5.2 of this appendix specify airflow 
requirements through the indoor coil of ducted and non-ducted indoor 
units, respectively. In all cases, use the exhaust fan of the 
airflow measuring apparatus (covered under section 2.6 of this 
appendix) along with the indoor blower of the unit, if installed and 
operating, to approximate a step response in the indoor coil 
airflow. Regulate the exhaust fan to quickly obtain and then 
maintain the flow nozzle static pressure difference or velocity 
pressure at the same value as was measured during the steady-state 
dry coil test. The pressure difference or velocity pressure should 
be within 2 percent of the value from the steady-state dry coil test 
within 15 seconds after airflow initiation. For units having a 
variable-speed indoor blower that ramps when cycling on and/or off, 
use the exhaust fan of the airflow measuring apparatus to impose a 
step response that begins at the initiation of ramp up and ends at 
the termination of ramp down.
    d. For units having a variable-speed indoor blower, conduct the 
cyclic dry coil test using the pull-thru approach described below if 
any of the following occur when testing with the fan operating:
    (1) The test unit automatically cycles off;
    (2) Its blower motor reverses; or
    (3) The unit operates for more than 30 seconds at an external 
static pressure that is 0.1 inches of water or more higher than the 
value measured during the prior steady-state test.
    For the pull-thru approach, disable the indoor blower and use 
the exhaust fan of the airflow measuring apparatus to generate the 
specified flow nozzles static pressure difference or velocity 
pressure. If the exhaust fan cannot deliver the required pressure 
difference because of resistance created by the unpowered indoor 
blower, temporarily remove the indoor blower.
    e. Conduct three complete compressor OFF/ON cycles with the test 
tolerances given in Table 10 satisfied. Calculate the degradation 
coefficient CD for each complete cycle. If all three 
CD values are within 0.02 of the average CD 
then stability has been achieved, and the highest CD 
value of these three shall be used. If stability has not been 
achieved, conduct additional cycles, up to a maximum of eight cycles 
total, until stability has been achieved between three consecutive 
cycles. Once stability has been achieved, use the highest 
CD value of the three consecutive cycles that establish 
stability. If stability has not been achieved after eight cycles, 
use the highest CD from cycle one through cycle eight, or 
the default CD, whichever is lower.
    f. With regard to the Table 10 parameters, continuously record 
the dry-bulb temperature of the air entering the indoor and outdoor 
coils during periods when air flows through the respective coils. 
Sample the water vapor content of the indoor coil inlet air at least 
every 2 minutes during periods when air flows through the coil. 
Record external static pressure and the air volume rate indicator 
(either nozzle pressure difference or velocity pressure) at least 
every minute during the interval that air flows through the indoor 
coil. (These regular measurements of the airflow rate indicator are 
in addition to the required measurement at 15 seconds after flow 
initiation.) Sample the electrical voltage at least every 2 minutes 
beginning 30 seconds after compressor start-up. Continue until the 
compressor, the outdoor fan, and the indoor blower (if it is 
installed and operating) cycle off.
    g. For ducted units, continuously record the dry-bulb 
temperature of the air entering (as noted above) and leaving the 
indoor coil. Or if using a thermopile, continuously record the 
difference between these two temperatures during the interval that 
air flows through the indoor coil. For non-ducted units, make the 
same dry-bulb temperature measurements beginning when the compressor 
cycles on and ending when indoor coil airflow ceases.
    h. Integrate the electrical power over complete cycles of length 
[Delta][tau]cyc,dry. For ducted blower coil systems 
tested with the unit's indoor blower operating for the cycling test, 
integrate electrical power from indoor blower OFF to indoor blower 
OFF. For all other ducted units and for non-ducted units, integrate 
electrical power from compressor OFF to compressor OFF. (Some cyclic 
tests will use the same data collection intervals to determine the 
electrical energy and the total space cooling. For other units, 
terminate data collection used to determine the electrical energy 
before terminating data collection used to determine total space 
cooling.)

  Table 10--Test Operating and Test Condition Tolerances for Cyclic Dry
                         Coil Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature,\2\             2.0             0.5
 [deg]F.................................
Indoor entering wet-bulb temperature,     ..............           (\3\)
 [deg]F.................................
Outdoor entering dry-bulb                            2.0             0.5
 temperature,\2\ [deg]F.................
External resistance to airflow,\2\                  0.05  ..............
 inches of water........................
Airflow nozzle pressure difference or                2.0         \4\ 2.0
 velocity pressure,\2\ % of reading.....
Electrical voltage,\5\ % of rdg.........             2.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow apply from 30
  seconds after achieving full speed until ramp down begins.
\3\ Shall at no time exceed a wet-bulb temperature that results in
  condensate forming on the indoor coil.
\4\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state dry coil test.
\5\ Applies during the interval when at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating except for the first 30 seconds after compressor start-up.


[[Page 1498]]

    If the Table 10 tolerances are satisfied over the complete 
cycle, record the measured electrical energy consumption as 
ecyc,dry and express it in units of watt-hours. Calculate 
the total space cooling delivered, qcyc,dry, in units of 
Btu using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.017

Where,

VI, Cp,a, vn' (or vn), 
Wn, and FCD* are the values recorded during 
the section 3.4 dry coil steady-state test and
Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at time [tau], [deg]F.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at time [tau], [deg]F.
[tau]1 = for ducted units, the elapsed time when airflow 
is initiated through the indoor coil; for non-ducted units, the 
elapsed time when the compressor is cycled on, hr.
[tau]2 = the elapsed time when indoor coil airflow 
ceases, hr.

    Adjust the total space cooling delivered, qcyc,dry, 
according to calculation method outlined in section 7.4.3.4.5 of 
ASHRAE 116-2010 (incorporated by reference, see Sec.  430.3).

3.5.1 Procedures When Testing Ducted Systems

    The automatic controls that are installed in the test unit must 
govern the OFF/ON cycling of the air moving equipment on the indoor 
side (exhaust fan of the airflow measuring apparatus and the indoor 
blower of the test unit). For ducted coil-only systems rated based 
on using a fan time-delay relay, control the indoor coil airflow 
according to the OFF delay listed by the manufacturer in the 
certification report. For ducted units having a variable-speed 
indoor blower that has been disabled (and possibly removed), start 
and stop the indoor airflow at the same instances as if the fan were 
enabled. For all other ducted coil-only systems, cycle the indoor 
coil airflow in unison with the cycling of the compressor. If air 
damper boxes are used, close them on the inlet and outlet side 
during the OFF period. Airflow through the indoor coil should stop 
within 3 seconds after the automatic controls of the test unit (act 
to) de-energize the indoor blower. For ducted coil-only systems 
(excluding the special case where a variable-speed fan is 
temporarily removed), increase ecyc,dry by the quantity,
[GRAPHIC] [TIFF OMITTED] TR05JA17.018

    and decrease qcyc,dry by,
    [GRAPHIC] [TIFF OMITTED] TR05JA17.019
    
where VIs is the average indoor air volume rate from the 
section 3.4 dry coil steady-state test and is expressed in units of 
cubic feet per minute of standard air (scfm). For units having a 
variable-speed indoor blower that is disabled during the cyclic 
test, increase ecyc,dry and decrease qcyc,dry 
based on:
a. The product of [[tau]2 - [tau]1] and the 
indoor blower power measured during or following the dry coil 
steady-state test; or,
b. The following algorithm if the indoor blower ramps its speed when 
cycling.

    (1) Measure the electrical power consumed by the variable-speed 
indoor blower at a minimum of three operating conditions: At the 
speed/air volume rate/external static pressure that was measured 
during the steady-state test, at operating conditions associated 
with the midpoint of the ramp-up interval, and at conditions 
associated with the midpoint of the ramp-down interval. For these 
measurements, the tolerances on the airflow volume or the external 
static pressure are the same as required for the section 3.4 steady-
state test.
    (2) For each case, determine the fan power from measurements 
made over a minimum of 5 minutes.
    (3) Approximate the electrical energy consumption of the indoor 
blower if it had operated during the cyclic test using all three 
power measurements. Assume a linear profile during the ramp 
intervals. The manufacturer must provide the durations of the ramp-
up and ramp-down intervals. If the test setup instructions included 
with the unit by the manufacturer specifies a ramp interval that 
exceeds 45 seconds, use a 45-second ramp interval nonetheless when 
estimating the fan energy.

3.5.2 Procedures When Testing Non-Ducted Indoor Units

    Do not use airflow prevention devices when conducting cyclic 
tests on non-ducted indoor units. Until the last OFF/ON compressor 
cycle, airflow through the indoor coil must cycle off and on in 
unison with the compressor. For the last OFF/ON compressor cycle--
the one used to determine ecyc,dry and 
qcyc,dry--use the exhaust fan of the airflow measuring 
apparatus and the indoor blower of the test unit to have indoor 
airflow start 3 minutes prior to compressor cut-on and end three 
minutes after compressor cutoff. Subtract the electrical energy used 
by the indoor blower during the 3 minutes prior to compressor cut-on 
from the integrated electrical energy, ecyc,dry. Add the 
electrical energy used by the indoor blower during the 3 minutes 
after compressor cutoff to the integrated cooling capacity, 
qcyc,dry. For the case where the non-ducted indoor unit 
uses a variable-speed indoor blower which is disabled during the 
cyclic test, correct ecyc,dry and qcyc,dry 
using the same approach as prescribed in section 3.5.1 of this 
appendix for ducted units having a disabled variable-speed indoor 
blower.

3.5.3 Cooling-Mode Cyclic-Degradation Coefficient Calculation

    Use the two dry-coil tests to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. Append ``(k=2)'' to the 
coefficient if it corresponds to a two-capacity unit cycling at high 
capacity. If the two optional tests are conducted but yield a tested 
CD\c\ that exceeds the default CD\c\ or if the two optional tests 
are not conducted, assign CD\c\ the default value of 0.25 for 
variable-speed compressor systems and outdoor units with no match, 
and 0.20 for all other systems. The default value for two-capacity 
units cycling at high capacity, however, is the low-capacity 
coefficient, i.e., CD\c\(k=2) = CD\c\. 
Evaluate CD\c\ using the above results and those from the 
section 3.4 dry-coil steady-state test.
[GRAPHIC] [TIFF OMITTED] TR05JA17.020


where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.021


the average energy efficiency ratio during the cyclic dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR05JA17.022


[[Page 1499]]


the average energy efficiency ratio during the steady-state dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR05JA17.023


the cooling load factor dimensionless

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

3.6 Heating Mode Tests for Different Types of Heat Pumps, Including 
Heating-Only Heat Pumps

3.6.1 Tests for a Heat Pump Having a Single-Speed Compressor and Fixed 
Heating Air Volume Rate

    This set of tests is for single-speed-compressor heat pumps that 
do not have a heating minimum air volume rate or a heating 
intermediate air volume rate that is different than the heating full 
load air volume rate. Conduct the optional high temperature cyclic 
(H1C) test to determine the heating mode cyclic-degradation 
coefficient, CD\h\. If this optional test is conducted 
but yields a tested CD\h\ that exceeds the default 
CD\h\ or if the optional test is not conducted, assign 
CD\h\ the default value of 0.25. Test conditions for the 
four tests are specified in Table 10.

  Table 11--Heating Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor Blower, a Constant Air Volume Rate Indoor
                                                               Blower, or No Indoor Blower
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                         Air entering indoor unit temperature        Air entering outdoor unit
                                                       ([deg]F)                        temperature  ([deg]F)
          Test description           ----------------------------------------------------------------------------         Heating air volume rate
                                         Dry bulb              Wet bulb              Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H1 Test (required, steady)..........              70  60 \(max)\................              47              43  Heating Full-load.\1\
H1C Test (optional, cyclic).........              70  60 \(max)\................              47              43  (\2\)
H2 Test (required)..................              70  60 \(max)\................              35              33  Heating Full-load.\1\
H3 Test (required, steady)..........              70  60 \(max)\................              17              15  Heating Full-load.\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4 of this appendix.
\2\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the H1 Test.

3.6.2 Tests for a Heat Pump Having a Single-Speed Compressor and a 
Single Indoor Unit Having Either (1) a Variable Speed, Variable-Air-
Rate Indoor Blower Whose Capacity Modulation Correlates With Outdoor 
Dry Bulb Temperature or (2) Multiple Indoor Blowers

    Conduct five tests: Two high temperature tests (H12 
and H11), one frost accumulation test (H22), 
and two low temperature tests (H32 and H31). 
Conducting an additional frost accumulation test (H21) is 
optional. Conduct the optional high temperature cyclic 
(H1C1) test to determine the heating mode cyclic-
degradation coefficient, CD\h\. If this optional test is 
conducted but yields a tested CD\h\ that exceeds the 
default CD\h\ or if the optional test is not conducted, 
assign CD\h\ the default value of 0.25. Test conditions 
for the seven tests are specified in Table 12. If the optional 
H21 test is not performed, use the following equations to 
approximate the capacity and electrical power of the heat pump at 
the H21 test conditions:
[GRAPHIC] [TIFF OMITTED] TR05JA17.024

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

[[Page 1500]]



       Table 12--Table Heating Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.6.2 Indoor Unit Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                         Air entering indoor unit temperature        Air entering outdoor unit
                                                       ([deg]F)                        temperature  ([deg]F)
          Test description           ----------------------------------------------------------------------------         Heating air volume rate
                                         Dry bulb              Wet bulb              Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H12 Test (required, steady).........              70  60 \(max)\................              47              43  Heating Full-load.\1\
H11 Test (required, steady).........              70  60 \(max)\................              47              43  Heating Minimum.\2\
H1C1 Test (optional, cyclic)........              70  60 \(max)\................              47              43  (\3\)
H22 Test (required).................              70  60 \(max)\................              35              33  Heating Full-load.\1\
H21 Test (optional).................              70  60 \(max)\................              35              33  Heating Minimum.\2\
H32 Test (required, steady).........              70  60 \(max)\................              17              15  Heating Full-load.\1\
H31 Test (required, steady).........              70  60 \(max)\................              17              15  Heating Minimum.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4 of this appendix.
\2\ Defined in section 3.1.4.5 of this appendix.
\3\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the H11 test.

3.6.3 Tests for a Heat Pump Having a Two-Capacity Compressor (see 
section 1.2 of this appendix, Definitions), Including Two-Capacity, 
Northern Heat Pumps (see section 1.2 of this appendix, Definitions)

    a. Conduct one maximum temperature test (H01), two 
high temperature tests (H12and H11), one frost 
accumulation test (H22), and one low temperature test 
(H32). Conduct an additional frost accumulation test 
(H21) and low temperature test (H31) if both 
of the following conditions exist:
    (1) Knowledge of the heat pump's capacity and electrical power 
at low compressor capacity for outdoor temperatures of 37 [deg]F and 
less is needed to complete the section 4.2.3 of this appendix 
seasonal performance calculations; and
    (2) The heat pump's controls allow low-capacity operation at 
outdoor temperatures of 37 [deg]F and less.
    If the above two conditions are met, an alternative to 
conducting the H21 frost accumulation is to use the 
following equations to approximate the capacity and electrical 
power:
[GRAPHIC] [TIFF OMITTED] TR05JA17.306

    Determine the quantities Qh\k=1\ (47) and Eh\k=1\ (47) from the 
H11 test and evaluate them according to section 3.7 of 
this appendix. Determine the quantities Qh\k=1\ (17) and Eh\k=1\ 
(17) from the H31 test and evaluate them according to 
section 3.10 of this appendix.
    b. Conduct the optional high temperature cyclic test 
(H1C1) to determine the heating mode cyclic-degradation 
coefficient, CD\h\. If this optional test is conducted 
but yields a tested CD\h\ that exceeds the default 
CD\h\ or if the optional test is not conducted, assign 
CD\h\ the default value of 0.25. If a two-capacity heat 
pump locks out low capacity operation at lower outdoor temperatures, 
conduct the high temperature cyclic test (H1C 2) to 
determine the high-capacity heating mode cyclic-degradation 
coefficient, CD\h\ (k=2). If this optional test at high 
capacity is conducted but yields a tested CD\h\ (k = 2) 
that exceeds the default CD\h\ (k = 2) or if the optional 
test is not conducted, assign CD\h\ the default value. 
The default CD\h\ (k=2) is the same value as determined 
or assigned for the low-capacity cyclic-degradation coefficient, 
CD\h\ [or equivalently, CD\h\ (k=1)]. Table 13 
specifies test conditions for these nine tests.

                                    Table 13--Heating Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      Air entering indoor unit           Air entering outdoor unit
                                        temperature  ([deg]F)              temperature  ([deg]F)          Compressor
       Test description        ----------------------------------------------------------------------      capacity          Heating air volume rate
                                   Dry bulb           Wet bulb           Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)...              70  60 \(max)\..........              62            56.5  Low..............   Heating Minimum.\1\
H12 Test (required, steady)...              70  60 \(max)\..........              47              43  High.............   Heating Full-Load.\2\
H1C2 Test (optional \7\,                    70  60 \(max)\..........              47              43  High.............  (\3\)
 cyclic).
H11 Test (required)...........              70  60 \(max)\..........              47              43  Low..............   Heating Minimum.\1\
H1C1 Test (optional, cyclic)..              70  60 \(max)\..........              47              43  Low..............  (\4\)
H22 Test (required)...........              70  60 \(max)\..........              35              33  High.............   Heating Full-Load.\2\
H21 Test \5 6\ (required).....              70  60 \(max)\..........              35              33  Low..............   Heating Minimum.\1\
H32 Test (required, steady)...              70  60 \(max)\..........              17              15  High.............   Heating Full-Load.\2\
H31 Test \5\ (required,                     70  60 \(max)\..........              17              15  Low..............   Heating Minimum.\1\
 steady).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Defined in section 3.1.4.4 of this appendix.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.3 HSPF calculations.
\6\ If table note #5 applies, the section 3.6.3 equations for Qh\k=1\ (35) and Eh\k=1\ (17) may be used in lieu of conducting the H21 test.

[[Page 1501]]

 
\7\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures.

3.6.4 Tests for a Heat Pump Having a Variable-Speed Compressor

    a. Conduct one maximum temperature test (H01), two 
high temperature tests (H1N and H11), one 
frost accumulation test (H2V), and one low temperature 
test (H32). Conducting one or both of the following tests 
is optional: An additional high temperature test (H12) 
and an additional frost accumulation test (H22). If 
desired, conduct the optional maximum temperature cyclic 
(H0C1) test to determine the heating mode cyclic-
degradation coefficient, CD\h\. If this optional test is 
conducted but yields a tested CD\h\ that exceeds the 
default CD\h\ or if the optional test is not conducted, 
assign CD\h\ the default value of 0.25. Test conditions 
for the eight tests are specified in Table 14. The compressor shall 
operate at the same heating full speed, measured by RPM or power 
input frequency (Hz), for the H12, H22 and 
H32 tests. For a cooling/heating heat pump, the 
compressor shall operate for the H1N test at a speed, 
measured by RPM or power input frequency (Hz), no lower than the 
speed used in the A2 test if the tested H12 
heating capacity is less than the tested cooling capacity in 
A2 test. The compressor shall operate at the same heating 
minimum speed, measured by RPM or power input frequency (Hz), for 
the H01, H1C1, and H11 tests. 
Determine the heating intermediate compressor speed cited in Table 
14 using the heating mode full and minimum compressors speeds and:
[GRAPHIC] [TIFF OMITTED] TR05JA17.025

Where a tolerance on speed of plus 5 percent or the next higher 
inverter frequency step from the calculated value is allowed.
    b. If the H12 test is conducted, set the 47 [deg]F 
capacity and power input values used for calculation of HSPF equal 
to the measured values for that test:
[GRAPHIC] [TIFF OMITTED] TR05JA17.313

Where:

    Qhcalck=2(47) and Ehcalck=2(47) are the 
capacity and power input representing full-speed operation at 47 
[deg]F for the HSPF calculations,
    Qhk=2(47) is the capacity measured in the 
H12 test, and
    Ehk=2(47) is the power input measured in the 
H12 test.
    Evaluate the quantities Qhk=2(47) and from Ehk=2(47) according 
to section 3.7.
    Otherwise, if the H1N test is conducted using the 
same compressor speed (RPM or power input frequency) as the 
H32 test, set the 47[emsp14][deg]F capacity and power 
input values used for calculation of HSPF equal to the measured 
values for that test:
[GRAPHIC] [TIFF OMITTED] TR05JA17.307


Where:

Qhcalck=2(47) and Ehcalck=2(47) are the capacity and power input 
representing full-speed operation at 47[emsp14][deg]F for the HSPF 
calculations,
Qhk=N(47) is the capacity measured in the H1N test, and
Ehk=N(47) is the power input measured in the H1N test.

    Evaluate the quantities Qhk=N(47) and from Ehk=N(47) according 
to section 3.7.
    Otherwise (if no high temperature test is conducted using the 
same speed (RPM or power input frequency) as the H32 
test), calculate the 47[emsp14][deg]F capacity and power input 
values used for calculation of HSPF as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.308


Where:

Qhcalck=2(47) and Ehcalck=2(47) are the capacity and power input 
representing full-speed operation at 47[emsp14][deg]F for the HSPF 
calculations,
Qhk=2(17) is the capacity measured in the H32 
test,
Ehk=2(17) is the power input measured in the 
H32 test,
CSF is the capacity slope factor, equal to 0.0204/[deg]F for split 
systems and 0.0262/[deg]F for single-package systems, and
PSF is the Power Slope Factor, equal to 0.00455/[deg]F.

    c. If the H22 test is not done, use the following 
equations to approximate the capacity and electrical power at the 
H22 test conditions:
[GRAPHIC] [TIFF OMITTED] TR05JA17.309


Where:

Qhcalck=2(47) and Ehcalck=2(47) are the 
capacity and power input representing full-speed operation at 47 
[deg]F for the HSPF

[[Page 1502]]

calculations,calculated as described in section b above.
Qhk=2(17) and Ehk=2(17) are the capacity and 
power input measured in the H32 test.
    d. Determine the quantities Qhk=2(17) and Ehk=2(17) from the 
H32 test, determine the quantities Qhk=2(5) and Ehk=2(5) 
from the H42 test, and evaluate all four according to 
section 3.10.

                                   Table 14--Heating Mode Test Conditions for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Air entering indoor unit temperature      Air entering outdoor unit
                                                   ([deg]F)                      temperature ([deg]F)                                 Heating air volume
         Test description         -------------------------------------------------------------------------     Compressor speed             rate
                                      Dry bulb             Wet bulb            Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 test (required, steady)......              70  60\(max)\..............              62            56.5  Heating minimum........  Heating minimum.\1\
H12 test (optional, steady)......              70  60\(max)\..............              47              43  Heating full \4\.......  Heating full-
                                                                                                                                      load.\3\
H11 test (required, steady)......              70  60\(max)\..............              47              43  Heating minimum........  Heating minimum.\1\
H1N test (required, steady)......              70  60\(max)\..............              47              43  Heating full...........  Heating full-
                                                                                                                                      load.\3\
H1C1 test (optional, cyclic).....              70  60\(max)\..............              47              43  Heating minimum........  (\2\)
H22 test (optional)..............              70  60\(max)\..............              35              33  Heating full \4\.......  Heating full-
                                                                                                                                      load.\3\
H2V test (required)..............              70  60\(max)\..............              35              33  Heating intermediate...  Heating
                                                                                                                                      intermediate.\5\
H32 test (required, steady)......              70  60\(max)\..............              17              15  Heating full...........  Heating full-
                                                                                                                                      load.\3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured
  during the H11 test.
\3\ Defined in section 3.1.4.4 of this appendix.
\4\ The same compressor speed used in the H32 test. The H12 test is not needed if the H1N test uses this same compressor speed.
\5\ Defined in section 3.1.4.6 of this appendix.

3.6.5 Additional Test for a Heat Pump Having a Heat Comfort Controller

    Test any heat pump that has a heat comfort controller (see 
section 1.2 of this appendix, Definitions) according to section 
3.6.1, 3.6.2, or 3.6.3, whichever applies, with the heat comfort 
controller disabled. Additionally, conduct the abbreviated test 
described in section 3.1.10 of this appendix with the heat comfort 
controller active to determine the system's maximum supply air 
temperature. (Note: Heat pumps having a variable speed compressor 
and a heat comfort controller are not covered in the test procedure 
at this time.)

3.6.6 Heating Mode Tests for Northern Heat Pumps With Triple-Capacity 
Compressors.

    Test triple-capacity, northern heat pumps for the heating mode 
as follows:
    a. Conduct one maximum-temperature test (H01), two 
high-temperature tests (H12 and H11), one 
frost accumulation test (H22), two low-temperature tests 
(H32, H33), and one minimum-temperature test 
(H43). Conduct an additional frost accumulation test 
(H21) and low-temperature test (H31) if both 
of the following conditions exist: (1) Knowledge of the heat pump's 
capacity and electrical power at low compressor capacity for outdoor 
temperatures of 37[emsp14][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[emsp14][deg]F and less. If the above two conditions are met, 
an alternative to conducting the H21 frost accumulation 
test to determine Qh\k=1\(35) and Ehk=1(35) is to use the following 
equations to approximate this capacity and electrical power:
[GRAPHIC] [TIFF OMITTED] TR05JA17.310

    In evaluating the above equations, determine the quantities 
Qhk=1(47) from the H11 test and evaluate them according 
to section 3.7 of this appendix. Determine the quantities Qhk=1(17) 
and Eh\k=1\(17) from the H31 test and evaluate them 
according to section 3.10 of this appendix. Use the paired values of 
Qh\k=1\(35) and Eh\k=1\(35) derived from conducting the 
H21 frost accumulation test and evaluated as specified in 
section 3.9.1 of this appendix or use the paired values calculated 
using the above default equations, whichever contribute to a higher 
Region IV HSPF based on the DHRmin.
    b. Conducting a frost accumulation test (H23) with 
the heat pump operating at its booster capacity is optional. If this 
optional test is not conducted, determine Qh\k=3\(35) and Ehk=3(35) 
using the following equations to approximate this capacity and 
electrical power:
[GRAPHIC] [TIFF OMITTED] TR05JA17.311

Where:

[[Page 1503]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.026

    Determine the quantities Qhk=2(47) and Ehk=2(47) from the 
H12 test and evaluate them according to section 3.7 of 
this appendix. Determine the quantities Qhk=2(35) and Ehk=2(35) from 
the H22 test and evaluate them according to section 3.9.1 
of this appendix. Determine the quantities Qhk=2(17) and Ehk=2(17) 
from the H32 test, determine the quantities Qh\k=3\(17) 
and Ehk=3(17) from the H33 test, and determine the 
quantities Qhk=3(5) and Ehk=3(5) from the H43 test. 
Evaluate all six quantities according to section 3.10 of this 
appendix. Use the paired values of Qhk=3(35) and Ehk=3(35) derived 
from conducting the H23 frost accumulation test and 
calculated as specified in section 3.9.1 of this appendix or use the 
paired values calculated using the above default equations, 
whichever contribute to a higher Region IV HSPF2 based on the 
DHRmin.
    c. Conduct the optional high-temperature cyclic test 
(H1C1) to determine the heating mode cyclic-degradation 
coefficient, CD\h\. A default value for CD\h\ 
may be used in lieu of conducting the cyclic. The default value of 
CD\h\ is 0.25. If a triple-capacity heat pump locks out 
low capacity operation at lower outdoor temperatures, conduct the 
high-temperature cyclic test (H1C2) to determine the 
high-capacity heating mode cyclic-degradation coefficient, 
CD\h\ (k=2). The default CD\h\ (k=2) is the 
same value as determined or assigned for the low-capacity cyclic-
degradation coefficient, CD\h\ [or equivalently, 
CD\h\ (k=1)]. Finally, if a triple-capacity heat pump 
locks out both low and high capacity operation at the lowest outdoor 
temperatures, conduct the low-temperature cyclic test 
(H3C3) to determine the booster-capacity heating mode 
cyclic-degradation coefficient, CD\h\ (k=3). The default 
CD\h\ (k=3) is the same value as determined or assigned 
for the high-capacity cyclic-degradation coefficient, 
CD\h\ [or equivalently, CD\h\ (k=2)]. Table 15 
specifies test conditions for all 13 tests.

                                   Table 15--Heating Mode Test Conditions for Units With a Triple-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Air entering indoor unit    Air entering outdoor
                                               temperature [deg]F    unit  temperature [deg]F
             Test description             ----------------------------------------------------      Compressor capacity        Heating air volume rate
                                             Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..............           70    60\(max)\           62         56.5  Low.........................  Heating Minimum.\1\
H12 Test (required, steady)..............           70    60\(max)\           47           43  High........................  Heating Full-Load.\2\
H1C2 Test (optional,\8\ 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 (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 Test5 6 (optional, cyclic)..........           70    60\(max)\           17           15  Booster.....................  (\7\).
H32 Test (required, steady)..............           70    60\(max)\           17           15  High........................  Heating Full-Load.\2\
H31 Test\5\ (required, steady)...........           70    60\(max)\           17           15  Low.........................  Heating Minimum.\1\
H43 Test (required, steady)..............           70    60\(max)\            5     3\(max)\  Booster.....................  Heating Full-Load.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Defined in section 3.1.4.4 of this appendix.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.6 HSPF2 calculations.
\6\ If table note \5\ applies, the section 3.6.6 equations for Qh\k=1\(35) and Eh\k=1\(17) may be used in lieu of conducting the H21 test.
\7\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H33 test.
\8\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures.

3.6.7 Tests for a Heat Pump Having a Single Indoor Unit Having Multiple 
Indoor Blowers and Offering Two Stages of Compressor Modulation

    Conduct the heating mode tests specified in section 3.6.3 of 
this appendix.

3.7 Test Procedures for Steady-State Maximum Temperature and High 
Temperature Heating Mode Tests (the H01, H1, H12, H11, and H1N 
Tests)

    a. For the pretest interval, operate the test room 
reconditioning apparatus and the heat pump until equilibrium 
conditions are maintained for at least 30 minutes at the specified 
section 3.6 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the heat 
pump to obtain and then maintain the indoor air volume rate and/or 
the external static pressure specified for the particular test. 
Continuously record the dry-bulb temperature of the air entering the 
indoor coil, and the dry-bulb temperature and water vapor content of 
the air entering the outdoor coil. Refer to section 3.11 of this 
appendix for additional requirements that depend on the selected 
secondary test method. After satisfying the pretest equilibrium 
requirements, make the measurements specified in Table 3 of ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) for the 
indoor air enthalpy method and the user-selected secondary method. 
Make said Table 3 measurements at equal intervals that span 5 
minutes or less. Continue data sampling until a 30-minute period 
(e.g., seven consecutive 5-minute samples) is reached where the test 
tolerances specified in Table 16 are satisfied. For those 
continuously recorded parameters,

[[Page 1504]]

use the entire data set for the 30-minute interval when evaluating 
Table 16 compliance. Determine the average electrical power 
consumption of the heat pump over the same 30-minute interval.

 Table 16--Test Operating and Test Condition Tolerances for Section 3.7
            and Section 3.10 Steady-State Heating Mode Tests
------------------------------------------------------------------------
                                      Test operating     Test condition
                                      tolerance \1\      tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F:
    Entering temperature..........                2.0                0.5
    Leaving temperature...........                2.0  .................
Indoor wet-bulb, [deg]F:
    Entering temperature..........                1.0  .................
    Leaving temperature...........                1.0  .................
Outdoor dry-bulb, [deg]F:
    Entering temperature..........                2.0                0.5
    Leaving temperature...........            \2\ 2.0  .................
Outdoor wet-bulb, [deg]F:
    Entering temperature..........                1.0                0.3
    Leaving temperature...........            \2\ 1.0  .................
External resistance to airflow,                  0.05           \3\ 0.02
 inches of water..................
Electrical voltage, % of rdg......                2.0                1.5
Nozzle pressure drop, % of rdg....                2.0  .................
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Only applies when the Outdoor Air Enthalpy Method is used.
\3\ Only applies when testing non-ducted units.

    b. Calculate indoor-side total heating capacity as specified in 
sections 7.3.4.1 and 7.3.4.3 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). To calculate capacity, use the averages 
of the measurements (e.g. inlet and outlet dry bulb temperatures 
measured at the psychrometers) that are continuously recorded for 
the same 30-minute interval used as described above to evaluate 
compliance with test tolerances. Do not adjust the parameters used 
in calculating capacity for the permitted variations in test 
conditions. Assign the average space heating capacity and electrical 
power over the 30-minute data collection interval to the variables 
Qh\k\ and Eh\k\(T) respectively. The ``T'' and superscripted ``k'' 
are the same as described in section 3.3 of this appendix. 
Additionally, for the heating mode, use the superscript to denote 
results from the optional H1N test, if conducted.
    c. For coil-only system heat pumps, increase Qh\k\(T) by
    [GRAPHIC] [TIFF OMITTED] TR05JA17.028
    
where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm). 
During the 30-minute data collection interval of a high temperature 
test, pay attention to preventing a defrost cycle. Prior to this 
time, allow the heat pump to perform a defrost cycle if 
automatically initiated by its own controls. As in all cases, wait 
for the heat pump's defrost controls to automatically terminate the 
defrost cycle. Heat pumps that undergo a defrost should operate in 
the heating mode for at least 10 minutes after defrost termination 
prior to beginning the 30-minute data collection interval. For some 
heat pumps, frost may accumulate on the outdoor coil during a high 
temperature test. If the indoor coil leaving air temperature or the 
difference between the leaving and entering air temperatures 
decreases by more than 1.5[emsp14][deg]F over the 30-minute data 
collection interval, then do not use the collected data to determine 
capacity. Instead, initiate a defrost cycle. Begin collecting data 
no sooner than 10 minutes after defrost termination. Collect 30 
minutes of new data during which the Table 16 test tolerances are 
satisfied. In this case, use only the results from the second 30-
minute data collection interval to evaluate Qh\k\(47) and Eh\k\(47).
    d. If conducting the cyclic heating mode test, which is 
described in section 3.8 of this appendix, record the average 
indoor-side air volume rate, Vi, specific heat of the air, 
Cp,a (expressed on dry air basis), specific volume of the 
air at the nozzles, vn' (or vn), humidity 
ratio at the nozzles, Wn, and either pressure difference 
or velocity pressure for the flow nozzles. If either or both of the 
below criteria apply, determine the average, steady-state, 
electrical power consumption of the indoor blower motor 
(Efan,1):
    (1) The section 3.8 cyclic test will be conducted and the heat 
pump has a variable-speed indoor blower that is expected to be 
disabled during the cyclic test; or
    (2) The heat pump has a (variable-speed) constant-air volume-
rate indoor blower and during the steady-state test the average 
external static pressure ([Delta]P1) exceeds the 
applicable section 3.1.4.4 minimum (or targeted) external static 
pressure ([Delta]Pmin) by 0.03 inches of water or more.
    Determine Efan,1 by making measurements during the 
30-minute data collection interval, or immediately following the 
test and prior to changing the test conditions. When the above ``2'' 
criteria applies, conduct the following four steps after determining 
Efan,1 (which corresponds to [Delta]P1):
    (i) While maintaining the same test conditions, adjust the 
exhaust fan of the airflow measuring apparatus until the external 
static pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    (ii) After re-establishing steady readings for fan motor power 
and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    (iii) Approximate the average power consumption of the indoor 
blower motor if the 30-minute test had been conducted at 
[Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.029


[[Page 1505]]


    (iv) 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, Ehk(T) by the 
same fan power difference, now expressed in watts.
    e. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TR05JA17.030

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

3.8 Test Procedures for the Cyclic Heating Mode Tests (the H0C1, 
H1C, H1C1 and H1C2 Tests)

    a. Except as noted below, conduct the cyclic heating mode test 
as specified in section 3.5 of this appendix. As adapted to the 
heating mode, replace section 3.5 references to ``the steady-state 
dry coil test'' with ``the heating mode steady-state test conducted 
at the same test conditions as the cyclic heating mode test.'' Use 
the test tolerances in Table 17 rather than Table 10. Record the 
outdoor coil entering wet-bulb temperature according to the 
requirements given in section 3.5 of this appendix for the outdoor 
coil entering dry-bulb temperature. Drop the subscript ``dry'' used 
in variables cited in section 3.5 of this appendix when referring to 
quantities from the cyclic heating mode test. Determine the total 
space heating delivered during the cyclic heating test, 
qcyc, as specified in section 3.5 of this appendix except 
for making the following changes:
    (1) When evaluating Equation 3.5-1, use the values of Vi, 
Cp,a,vn', (or vn), and 
Wn that were recorded during the section 3.7 steady-state 
test conducted at the same test conditions.
    (2) Calculate [Gamma] using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.031
    
where FCD* is the value recorded during the section 3.7 steady-state 
test conducted at the same test condition.
    b. For ducted coil-only system heat pumps (excluding the special 
case where a variable-speed fan is temporarily removed), increase 
qcyc by the amount calculated using Equation 3.5-3. 
Additionally, increase ecyc by the amount calculated 
using Equation 3.5-2. In making these calculations, use the average 
indoor air volume rate (Vis) determined from the section 
3.7 steady-state heating mode test conducted at the same test 
conditions.
    c. For non-ducted heat pumps, subtract the electrical energy 
used by the indoor blower during the 3 minutes after compressor 
cutoff from the non-ducted heat pump's integrated heating capacity, 
qcyc.
    d. If a heat pump defrost cycle is manually or automatically 
initiated immediately prior to or during the OFF/ON cycling, operate 
the heat pump continuously until 10 minutes after defrost 
termination. After that, begin cycling the heat pump immediately or 
delay until the specified test conditions have been re-established. 
Pay attention to preventing defrosts after beginning the cycling 
process. For heat pumps that cycle off the indoor blower during a 
defrost cycle, make no effort here to restrict the air movement 
through the indoor coil while the fan is off. Resume the OFF/ON 
cycling while conducting a minimum of two complete compressor OFF/ON 
cycles before determining qcyc and ecyc.

3.8.1 Heating Mode Cyclic-Degradation Coefficient Calculation

    Use the results from the required cyclic test and the required 
steady-state test that were conducted at the same test conditions to 
determine the heating mode cyclic-degradation coefficient 
CD\h\. Add ``(k=2)'' to the coefficient if it corresponds 
to a two-capacity unit cycling at high capacity. For the below 
calculation of the heating mode cyclic degradation coefficient, do 
not include the duct loss correction from section 7.3.3.3 of ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) in 
determining Qh\k\(Tcyc) (or qcyc). If the 
optional cyclic test is conducted but yields a tested 
CD\h\ that exceeds the default CD\h\ or if the 
optional test is not conducted, assign CD\h\ the default 
value of 0.25. The default value for two-capacity units cycling at 
high capacity, however, is the low-capacity coefficient, i.e., 
CD\h\ (k=2) = CD\h\. The tested 
CD\h\ is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.032

where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.033

the average coefficient of performance during the cyclic heating 
mode test, dimensionless.

[[Page 1506]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.034

the average coefficient of performance during the steady-state 
heating mode test conducted at the same test conditions--i.e., same 
outdoor dry bulb temperature, Tcyc, and speed/capacity, 
k, if applicable--as specified for the cyclic heating mode test, 
dimensionless.
[GRAPHIC] [TIFF OMITTED] TR05JA17.035

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

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

    Table 17--Test Operating and Test Condition Tolerances for Cyclic
                           Heating Mode Tests
------------------------------------------------------------------------
                                      Test operating     Test condition
                                      tolerance \1\      tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb                          2.0                0.5
 temperature,\2\ [deg]F...........
Indoor entering wet-bulb                          1.0  .................
 temperature,\2\ [deg]F...........
Outdoor entering dry-bulb                         2.0                0.5
 temperature,\2\ [deg]F...........
Outdoor entering wet-bulb                         2.0                1.0
 temperature,\2\ [deg]F...........
External resistance to air-                      0.05  .................
 flow,\2\ inches of water.........
Airflow nozzle pressure difference                2.0            \3\ 2.0
 or velocity pressure,\2\% of
 reading..........................
Electrical voltage,\4\ % of rdg...                2.0                1.5
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow shall apply
  from 30 seconds after achieving full speed until ramp down begins.
\3\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state test conducted
  at the same test conditions.
\4\ Applies during the interval that at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating, except for the first 30 seconds after compressor start-up.

3.9 Test Procedures for Frost Accumulation Heating Mode Tests (the 
H2, H22, H2V, and H21 tests)

    a. Confirm that the defrost controls of the heat pump are set as 
specified in section 2.2.1 of this appendix. Operate the test room 
reconditioning apparatus and the heat pump for at least 30 minutes 
at the specified section 3.6 test conditions before starting the 
``preliminary'' test period. The preliminary test period must 
immediately precede the ``official'' test period, which is the 
heating and defrost interval over which data are collected for 
evaluating average space heating capacity and average electrical 
power consumption.
    b. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals less than one hour, the preliminary 
test period starts at the termination of an automatic defrost cycle 
and ends at the termination of the next occurring automatic defrost 
cycle. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals exceeding one hour, the preliminary 
test period must consist of a heating interval lasting at least one 
hour followed by a defrost cycle that is either manually or 
automatically initiated. In all cases, the heat pump's own controls 
must govern when a defrost cycle terminates.
    c. The official test period begins when the preliminary test 
period ends, at defrost termination. The official test period ends 
at the termination of the next occurring automatic defrost cycle. 
When testing a heat pump that uses a time-adaptive defrost control 
system (see section 1.2 of this appendix, Definitions), however, 
manually initiate the defrost cycle that ends the official test 
period at the instant indicated by instructions provided by the 
manufacturer. If the heat pump has not undergone a defrost after 6 
hours, immediately conclude the test and use the results from the 
full 6-hour period to calculate the average space heating capacity 
and average electrical power consumption.
    For heat pumps that turn the indoor blower off during the 
defrost cycle, take steps to cease forced airflow through the indoor 
coil and block the outlet duct whenever the heat pump's controls 
cycle off the indoor blower. If it is installed, use the outlet 
damper box described in section 2.5.4.1 of this appendix to affect 
the blocked outlet duct.
    d. Defrost termination occurs when the controls of the heat pump 
actuate the first change in converting from defrost operation to 
normal heating operation. Defrost initiation occurs when the 
controls of the heat pump first alter its normal heating operation 
in order to eliminate possible accumulations of frost on the outdoor 
coil.
    e. To constitute a valid frost accumulation test, satisfy the 
test tolerances specified in Table 18 during both the preliminary 
and official test periods. As noted in Table 18, test operating 
tolerances are specified for two sub-intervals:
    (1) When heating, except for the first 10 minutes after the 
termination of a defrost cycle (sub-interval H, as described in 
Table 18) and
    (2) When defrosting, plus these same first 10 minutes after 
defrost termination (sub-interval D, as described in Table 18). 
Evaluate compliance with Table 18 test condition tolerances and the 
majority of the test operating tolerances using the averages from 
measurements recorded only during sub-interval H. Continuously 
record the dry bulb temperature of the air entering the indoor coil, 
and the dry bulb temperature and water vapor content of the air 
entering the outdoor coil. Sample the remaining parameters listed in 
Table 18 at equal intervals that span 5 minutes or less.
    f. For the official test period, collect and use the following 
data to calculate average space heating capacity and electrical 
power. During heating and defrosting intervals when the controls of 
the heat pump have the indoor blower on, continuously record the

[[Page 1507]]

dry-bulb temperature of the air entering (as noted above) and 
leaving the indoor coil. If using a thermopile, continuously record 
the difference between the leaving and entering dry-bulb 
temperatures during the interval(s) that air flows through the 
indoor coil. For coil-only system heat pumps, determine the 
corresponding cumulative time (in hours) of indoor coil airflow, 
[Delta][tau]a. Sample measurements used in calculating 
the air volume rate (refer to sections 7.7.2.1 and 7.7.2.2 of ANSI/
ASHRAE 37-2009) at equal intervals that span 10 minutes or less. 
(Note: In the first printing of ANSI/ASHRAE 37-2009, the second IP 
equation for Qmi should read:) Record the electrical 
energy consumed, expressed in watt-hours, from defrost termination 
to defrost termination, eDEF\k\(35), as well as the 
corresponding elapsed time in hours, [Delta][tau]FR.

        Table 18--Test Operating and Test Condition Tolerances for Frost Accumulation Heating Mode Tests
----------------------------------------------------------------------------------------------------------------
                                                                   Test operating tolerance \1\   Test condition
                                                                 --------------------------------  tolerance \1\
                                                                  Sub-interval H  Sub-interval D    Sub-interval
                                                                        \2\             \3\            H \2\
----------------------------------------------------------------------------------------------------------------
Indoor entering dry-bulb temperature, [deg]F....................             2.0         \4\ 4.0             0.5
Indoor entering wet-bulb temperature, [deg]F....................             1.0  ..............  ..............
Outdoor entering dry-bulb temperature, [deg]F...................             2.0            10.0             1.0
Outdoor entering wet-bulb temperature, [deg]F...................             1.5  ..............             0.5
External resistance to airflow, inches of water.................            0.05  ..............        \5\ 0.02
Electrical voltage, % of rdg....................................             2.0  ..............             1.5
----------------------------------------------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Applies when the heat pump is in the heating mode, except for the first 10 minutes after termination of a
  defrost cycle.
\3\ Applies during a defrost cycle and during the first 10 minutes after the termination of a defrost cycle when
  the heat pump is operating in the heating mode.
\4\ For heat pumps that turn off the indoor blower during the defrost cycle, the noted tolerance only applies
  during the 10 minute interval that follows defrost termination.
\5\ Only applies when testing non-ducted heat pumps.

3.9.1 Average Space Heating Capacity and Electrical Power Calculations

    a. Evaluate average space heating capacity, Qh\k\(35), when 
expressed in units of Btu per hour, using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.036

Where,

Vi = the average indoor air volume rate measured during sub-interval 
H, cfm.
Cp,a = 0.24 + 0.444 [middot] Wn, the constant 
pressure specific heat of the air-water vapor mixture that flows 
through the indoor coil and is expressed on a dry air basis, Btu/
lbmda [middot] [deg]F.
vn' = specific volume of the air-water vapor mixture at 
the nozzle, ft\3\/lbmmx.
Wn = humidity ratio of the air-water vapor mixture at the 
nozzle, lbm of water vapor per lbm of dry air.
[Delta][tau]FR = [tau]2 - [tau]1, 
the elapsed time from defrost termination to defrost termination, 
hr.
[GRAPHIC] [TIFF OMITTED] TR05JA17.312

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

    To account for the effect of duct losses between the outlet of 
the indoor unit and the section 2.5.4 dry-bulb temperature grid, 
adjust Qh\k\(35) in accordance with section 7.3.4.3 of ANSI/ASHRAE 
37-2009 (incorporated by reference, see Sec.  430.3).
    b. Evaluate average electrical power, Eh\k\(35), when expressed 
in units of watts, using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.037

    For coil-only system heat pumps, increase Qh\k\(35) by,
    [GRAPHIC] [TIFF OMITTED] TR05JA17.038
    
and increase Eh\k\(35) by,
[GRAPHIC] [TIFF OMITTED] TR05JA17.039

where Vis is the average indoor air volume rate measured 
during the frost accumulation heating mode test and is expressed in 
units of cubic feet per minute of standard air (scfm).
    c. For heat pumps having a constant-air-volume-rate indoor 
blower, the five additional steps listed below are required if the 
average of the external static pressures measured during sub-
interval H exceeds the applicable section 3.1.4.4, 3.1.4.5, or 
3.1.4.6 minimum (or targeted) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more:
    (1) Measure the average power consumption of the indoor blower 
motor (Efan,1) and record the corresponding external

[[Page 1508]]

static pressure ([Delta]P1) during or immediately 
following the frost accumulation heating mode test. Make the 
measurement at a time when the heat pump is heating, except for the 
first 10 minutes after the termination of a defrost cycle.
    (2) After the frost accumulation heating mode test is completed 
and while maintaining the same test conditions, adjust the exhaust 
fan of the airflow measuring apparatus until the external static 
pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    (3) After re-establishing steady readings for the fan motor 
power and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    (4) Approximate the average power consumption of the indoor 
blower motor had the frost accumulation heating mode test been 
conducted at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.040

    (5) Decrease the total heating capacity, Qh\k\(35), by the 
quantity [(Efan,1-Efan,min) [middot] 
([Delta][tau] a/[Delta][tau] FR], when 
expressed on a Btu/h basis. Decrease the total electrical power, 
Eh\k\(35), by the same quantity, now expressed in watts.

3.9.2 Demand Defrost Credit

    a. Assign the demand defrost credit, Fdef, that is 
used in section 4.2 of this appendix to the value of 1 in all cases 
except for heat pumps having a demand-defrost control system (see 
section 1.2 of this appendix, Definitions). For such qualifying heat 
pumps, evaluate Fdef using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.041

where:
[Delta][tau]def = the time between defrost terminations 
(in hours) or 1.5, whichever is greater. A value of 6 must be 
assigned to [Delta][tau]def if this limit is reached 
during a frost accumulation test and the heat pump has not completed 
a defrost cycle.
[Delta][tau]max = maximum time between defrosts as 
allowed by the controls (in hours) or 12, whichever is less, as 
provided in the certification report.

    b. For two-capacity heat pumps and for section 3.6.2 units, 
evaluate the above equation using the [Delta][tau]def 
that applies based on the frost accumulation test conducted at high 
capacity and/or at the heating full-load air volume rate. For 
variable-speed heat pumps, evaluate [Delta][tau]def based 
on the required frost accumulation test conducted at the 
intermediate compressor speed.

3.10 Test Procedures for Steady-State Low Temperature Heating Mode 
Tests (the H3, H32, and H31 Tests)

    Except for the modifications noted in this section, conduct the 
low temperature heating mode test using the same approach as 
specified in section 3.7 of this appendix for the maximum and high 
temperature tests. After satisfying the section 3.7 requirements for 
the pretest interval but before beginning to collect data to 
determine Qh\k\(17) and Eh\k\(17), conduct a defrost cycle. This 
defrost cycle may be manually or automatically initiated. The 
defrost sequence must be terminated by the action of the heat pump's 
defrost controls. Begin the 30-minute data collection interval 
described in section 3.7 of this appendix, from which Qh\k\(17) and 
Eh\k\(17) are determined, no sooner than 10 minutes after defrost 
termination. Defrosts should be prevented over the 30-minute data 
collection interval.

3.11 Additional Requirements for the Secondary Test Methodst

3.11.1 If Using the Outdoor Air Enthalpy Method as the Secondary Test 
Method

    a. For all cooling mode and heating mode tests, first conduct a 
test without the outdoor air-side test apparatus described in 
section 2.10.1 of this appendix connected to the outdoor unit 
(``free outdoor air'' test).
    b. For the first section 3.2 steady-state cooling mode test and 
the first section 3.6 steady-state heating mode test, conduct a 
second test in which the outdoor-side apparatus is connected 
(``ducted outdoor air'' test). No other cooling mode or heating mode 
tests require the ducted outdoor air test so long as the unit 
operates the outdoor fan during all cooling mode steady-state tests 
at the same speed and all heating mode steady-state tests at the 
same speed. If using more than one outdoor fan speed for the cooling 
mode steady-state tests, however, conduct the ducted outdoor air 
test for each cooling mode test where a different fan speed is first 
used. This same requirement applies for the heating mode tests.

3.11.1.1 Free Outdoor Air Test

    a. For the free outdoor air test, connect the indoor air-side 
test apparatus to the indoor coil; do not connect the outdoor air-
side test apparatus. Allow the test room reconditioning apparatus 
and the unit being tested to operate for at least one hour. After 
attaining equilibrium conditions, measure the following quantities 
at equal intervals that span 5 minutes or less:
    (1) The section 2.10.1 evaporator and condenser temperatures or 
pressures;
    (2) Parameters required according to the indoor air enthalpy 
method.
    Continue these measurements until a 30-minute period (e.g., 
seven consecutive 5-minute samples) is obtained where the Table 9 or 
Table 16, whichever applies, test tolerances are satisfied.
    b. For cases where a ducted outdoor air test is not required per 
section 3.11.1.b of this appendix, the free outdoor air test 
constitutes the ``official'' test for which validity is not based on 
comparison with a secondary test.
    c. For cases where a ducted outdoor air test is required per 
section 3.11.1.b of this appendix, the following conditions must be 
met for the free outdoor air test to constitute a valid ``official'' 
test:
    (1) Achieve the energy balance specified in section 3.1.1 of 
this appendix for the ducted outdoor air test (i.e., compare the 
capacities determined using the indoor air enthalpy method and the 
outdoor air enthalpy method).
    (2) The capacities determined using the indoor air enthalpy 
method from the ducted outdoor air and free outdoor tests must agree 
within 2 percent.

3.11.1.2 Ducted Outdoor Air Test

    a. The test conditions and tolerances for the ducted outdoor air 
test are the same as specified for the free outdoor air test 
described in Section 3.11.1.1 of this appendix.
    b. After collecting 30 minutes of steady-state data during the 
free outdoor air test, connect the outdoor air-side test apparatus 
to the unit for the ducted outdoor air test. Adjust the exhaust fan 
of the outdoor airflow measuring apparatus until averages for the 
evaporator and condenser temperatures, or the saturated temperatures 
corresponding to the measured pressures, agree within 0.5 [deg]F of the averages achieved during the free outdoor 
air test. Collect 30 minutes of steady-state data after re-
establishing equilibrium conditions.
    c. During the ducted outdoor air test, at intervals of 5 minutes 
or less, measure the parameters required according to the indoor air 
enthalpy method and the outdoor air enthalpy method for the 
prescribed 30 minutes.
    d. For cooling mode ducted outdoor air tests, calculate capacity 
based on outdoor air-enthalpy measurements as specified in sections 
7.3.3.2 and 7.3.3.3 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see

[[Page 1509]]

Sec.  430.3). For heating mode ducted tests, calculate heating 
capacity based on outdoor air-enthalpy measurements as specified in 
sections 7.3.4.2 and 7.3.3.4.3 of the same ANSI/ASHRAE Standard. 
Adjust the outdoor-side capacity according to section 7.3.3.4 of 
ANSI/ASHRAE 37-2009 to account for line losses when testing split 
systems. As described in section 8.6.2 of ANSI/ASHRAE 37-2009, use 
the outdoor air volume rate as measured during the ducted outdoor 
air tests to calculate capacity for checking the agreement with the 
capacity calculated using the indoor air enthalpy method.

3.11.2 If Using the Compressor Calibration Method as the Secondary Test 
Method

    a. Conduct separate calibration tests using a calorimeter to 
determine the refrigerant flow rate. Or for cases where the 
superheat of the refrigerant leaving the evaporator is less than 
5[emsp14][deg]F, use the calorimeter to measure total capacity 
rather than refrigerant flow rate. Conduct these calibration tests 
at the same test conditions as specified for the tests in this 
appendix. Operate the unit for at least one hour or until obtaining 
equilibrium conditions before collecting data that will be used in 
determining the average refrigerant flow rate or total capacity. 
Sample the data at equal intervals that span 5 minutes or less. 
Determine average flow rate or average capacity from data sampled 
over a 30-minute period where the Table 9 (cooling) or the Table 16 
(heating) tolerances are satisfied. Otherwise, conduct the 
calibration tests according to sections 5, 6, 7, and 8 of ASHRAE 
23.1-2010 (incorporated by reference, see Sec.  430.3); sections 5, 
6, 7, 8, 9, and 11 of ASHRAE 41.9-2011 (incorporated by reference, 
see Sec.  430.3); and section 7.4 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3).
    b. Calculate space cooling and space heating capacities using 
the compressor calibration method measurements as specified in 
section 7.4.5 and 7.4.6 respectively, of ANSI/ASHRAE 37-2009.

3.11.3 If Using the Refrigerant-Enthalpy Method as the Secondary Test 
Method

    Conduct this secondary method according to section 7.5 of ANSI/
ASHRAE 37-2009. Calculate space cooling and heating capacities using 
the refrigerant-enthalpy method measurements as specified in 
sections 7.5.4 and 7.5.5, respectively, of the same ASHRAE Standard.

3.12 Rounding of Space Conditioning Capacities for Reporting 
Purposes

    a. When reporting rated capacities, round them off as specified 
in Sec.  430.23 (for a single unit) and in 10 CFR 429.16 (for a 
sample).
    b. For the capacities used to perform the calculations in 
section 4 of this appendix, however, round only to the nearest 
integer.

3.13 Laboratory Testing to Determine Off Mode Average Power Ratings

    Voltage tolerances: As a percentage of reading, test operating 
tolerance shall be 2.0 percent and test condition tolerance shall be 
1.5 percent (see section 1.2 of this appendix for definitions of 
these tolerances).
    Conduct one of the following tests: If the central air 
conditioner or heat pump lacks a compressor crankcase heater, 
perform the test in section 3.13.1 of this appendix; if the central 
air conditioner or heat pump has a compressor crankcase heater that 
lacks controls and is not self-regulating, perform the test in 
section 3.13.1 of this appendix; if the central air conditioner or 
heat pump has a crankcase heater with a fixed power input controlled 
with a thermostat that measures ambient temperature and whose 
sensing element temperature is not affected by the heater, perform 
the test in section 3.13.1 of this appendix; if the central air 
conditioner or heat pump has a compressor crankcase heater equipped 
with self-regulating control or with controls for which the sensing 
element temperature is affected by the heater, perform the test in 
section 3.13.2 of this appendix.

3.13.1 This Test Determines the Off Mode Average Power Rating for 
Central Air Conditioners and Heat Pumps That Lack a Compressor 
Crankcase Heater, or Have a Compressor Crankcase Heating System That 
Can Be Tested Without Control of Ambient Temperature During the Test. 
This Test Has No Ambient Condition Requirements

    a. Test Sample Set-up and Power Measurement: For coil-only 
systems, provide a furnace or modular blower that is compatible with 
the system to serve as an interface with the thermostat (if used for 
the test) and to provide low-voltage control circuit power. Make all 
control circuit connections between the furnace (or modular blower) 
and the outdoor unit as specified by the manufacturer's installation 
instructions. Measure power supplied to both the furnace or modular 
blower and power supplied to the outdoor unit. Alternatively, 
provide a compatible transformer to supply low-voltage control 
circuit power, as described in section 2.2.d of this appendix. 
Measure transformer power, either supplied to the primary winding or 
supplied by the secondary winding of the transformer, and power 
supplied to the outdoor unit. For blower coil and single-package 
systems, make all control circuit connections between components as 
specified by the manufacturer's installation instructions, and 
provide power and measure power supplied to all system components.
    b. Configure Controls: Configure the controls of the central air 
conditioner or heat pump so that it operates as if connected to a 
building thermostat that is set to the OFF position. Use a 
compatible building thermostat if necessary to achieve this 
configuration. For a thermostat-controlled crankcase heater with a 
fixed power input, bypass the crankcase heater thermostat if 
necessary to energize the heater.
    c. Measure P2x: If the unit has a crankcase heater time delay, 
make sure that time delay function is disabled or wait until delay 
time has passed. Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P2x, 
the heating season total off mode power.
    d. Measure Px for coil-only split systems and for blower coil 
split systems for which a furnace or a modular blower is the 
designated air mover: Disconnect all low-voltage wiring for the 
outdoor components and outdoor controls from the low-voltage 
transformer. Determine the average power from non-zero value data 
measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px. This power measurement does not 
include line power supplied to the outdoor unit. It is the line 
power supplied to the air mover, or, if a compatible transformer is 
used instead of an air mover, it is the line power supplied to the 
transformer primary coil. If a compatible transformer is used 
instead of an air mover and power output of the low-voltage 
secondary circuit is measured, Px is zero.
    e. Calculate P2: Set the number of compressors equal to the 
unit's number of single-stage compressors plus 1.75 times the unit's 
number of compressors that are not single-stage.
    For single-package systems and blower coil split systems for 
which the designated air mover is not a furnace or modular blower, 
divide the heating season total off mode power (P2x) by the number 
of compressors to calculate P2, the heating season per-compressor 
off mode power. Round P2 to the nearest watt. The expression for 
calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.042

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the heating season total 
off mode power (P2x) and divide by the number of compressors to 
calculate P2, the heating season per-compressor off mode power. 
Round P2 to the nearest watt. The expression for calculating P2 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.043

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

[[Page 1510]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.044

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the shoulder season total 
off mode power (P1x) and divide by the number of compressors to 
calculate P1, the shoulder season per-compressor off mode power. 
Round P1 to the nearest watt. The expression for calculating P1 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.045

3.13.2 This Test Determines the Off Mode Average Power Rating for 
Central Air Conditioners and Heat Pumps for Which Ambient Temperature 
Can Affect the Measurement of Crankcase Heater Power

    a. Test Sample Set-up and Power Measurement: Set up the test and 
measurement as described in section 3.13.1.a of this appendix.
    b. Configure Controls: Position a temperature sensor to measure 
the outdoor dry-bulb temperature in the air between 2 and 6 inches 
from the crankcase heater control temperature sensor or, if no such 
temperature sensor exists, position it in the air between 2 and 6 
inches from the crankcase heater. Utilize the temperature 
measurements from this sensor for this portion of the test 
procedure. Configure the controls of the central air conditioner or 
heat pump so that it operates as if connected to a building 
thermostat that is set to the OFF position. Use a compatible 
building thermostat if necessary to achieve this configuration.
    Conduct the test after completion of the B, B1, or 
B2 test. Alternatively, start the test when the outdoor 
dry-bulb temperature is at 82 [deg]F and the temperature of the 
compressor shell (or temperature of each compressor's shell if there 
is more than one compressor) is at least 81 [deg]F. Then adjust the 
outdoor temperature at a rate of change of no more than 20 [deg]F 
per hour and achieve an outdoor dry-bulb temperature of 72 [deg]F. 
Maintain this temperature within 2 [deg]F while making 
the power measurement, as described in section 3.13.2.c of this 
appendix.
    c. Measure P1x: If the unit has a crankcase heater time delay, 
make sure that time delay function is disabled or wait until delay 
time has passed. Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P1x, 
the shoulder season total off mode power. For units with crankcase 
heaters which operate during this part of the test and whose 
controls cycle or vary crankcase heater power over time, the test 
period shall consist of three complete crankcase heater cycles or 18 
hours, whichever comes first. Designate the average power over the 
test period as P1x, the shoulder season total off mode power.
    d. Reduce outdoor temperature: Approach the target outdoor dry-
bulb temperature by adjusting the outdoor temperature at a rate of 
change of no more than 20 [deg]F per hour. This target temperature 
is five degrees Fahrenheit less than the temperature specified by 
the manufacturer in the DOE Compliance Certification Database at 
which the crankcase heater turns on. Maintain the target temperature 
within 2 [deg]F while making the power measurement, as 
described in section 3.13.2.e of this appendix.
    e. Measure P2x: If the unit has a crankcase heater time delay, 
make sure that time delay function is disabled or wait until delay 
time has passed. Determine the average non-zero power of the non-
operating central air conditioner or heat pump over a 5-minute 
interval and designate it as P2x, the heating season total off mode 
power. For units with crankcase heaters whose controls cycle or vary 
crankcase heater power over time, the test period shall consist of 
three complete crankcase heater cycles or 18 hours, whichever comes 
first. Designate the average power over the test period as P2x, the 
heating season total off mode power.
    f. Measure Px for coil-only split systems and for blower coil 
split systems for which a furnace or modular blower is the 
designated air mover: Disconnect all low-voltage wiring for the 
outdoor components and outdoor controls from the low-voltage 
transformer. Determine the average power from non-zero value data 
measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px.. This power measurement does 
not include line power supplied to the outdoor unit. It is the line 
power supplied to the air mover, or, if a compatible transformer is 
used instead of an air mover, it is the line power supplied to the 
transformer primary coil. If a compatible transformer is used 
instead of an air mover and power output of the low-voltage 
secondary circuit is measured, Px is zero.
    g. Calculate P1:
    Set the number of compressors equal to the unit's number of 
single-stage compressors plus 1.75 times the unit's number of 
compressors that are not single-stage.
    For single-package systems and blower coil split systems for 
which the air mover is not a furnace or modular blower, divide the 
shoulder season total off mode power (P1x) by the number of 
compressors to calculate P1, the shoulder season per-compressor off 
mode power. Round to the nearest watt. The expression for 
calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.046

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the shoulder season total 
off mode power (P1x) and divide by the number of compressors to 
calculate P1, the shoulder season per-compressor off mode power. 
Round to the nearest watt. The expression for calculating P1 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.047

    h. Calculate P2:
    Determine the number of compressors as described in section 
3.13.2.g of this appendix.
    For single-package systems and blower coil split systems for 
which the air mover is not a furnace, divide the heating season 
total off mode power (P2x) by the number of compressors to calculate 
P2, the heating season per-compressor off mode power. Round to the 
nearest watt. The expression for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.048

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the heating season total 
off mode power (P2x) and divide by the number of compressors to 
calculate P2, the heating season per-compressor off mode power. 
Round to the nearest watt. The expression for calculating P2 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.049

4. Calculations of Seasonal Performance Descriptors

4.1 Seasonal Energy Efficiency Ratio (SEER) Calculations. SEER must 
be calculated as follows: For equipment covered under sections 
4.1.2, 4.1.3, and 4.1.4 of this appendix, evaluate the seasonal 
energy efficiency ratio,
[GRAPHIC] [TIFF OMITTED] TR05JA17.050


[[Page 1511]]


where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.051

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

    Additionally, for sections 4.1.2, 4.1.3, and 4.1.4 of this 
appendix, use a building cooling load, BL(Tj). When 
referenced, evaluate BL(Tj) for cooling using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.052

where:
    Qck=2(95) = the space cooling capacity 
determined from the A2 test and calculated as specified 
in section 3.3 of this appendix, Btu/h.
1.1 = sizing factor, dimensionless.

    The temperatures 95 [deg]F and 65 [deg]F in the building load 
equation represent the selected outdoor design temperature and the 
zero-load base temperature, respectively.

4.1.1 SEER Calculations for a Blower Coil System Having a Single-Speed 
Compressor and Either a Fixed-Speed Indoor Blower or a Constant-Air-
Volume-Rate Indoor Blower, or a Coil-Only System Air Conditioner or 
Heat Pump

    a. Evaluate the seasonal energy efficiency ratio, expressed in 
units of Btu/watt-hour, using:

SEER = PLF(0.5) * EERB

where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.053

PLF(0.5) = 1 - 0.5 [middot] CD\c\, the part-load 
performance factor evaluated at a cooling load factor of 0.5, 
dimensionless.
    b. Refer to section 3.3 of this appendix regarding the 
definition and calculation of Qc(82) and 
Ec(82). Evaluate the cooling mode cyclic degradation 
factor CD\c\ as specified in section 3.5.3 of this 
appendix.

4.1.2 SEER Calculations for an Air Conditioner or Heat Pump Having a 
Single-Speed Compressor and a Variable-Speed Variable-Air-Volume-Rate 
Indoor Blower

4.1.2.1 Units Covered by Section 3.2.2.1 of This Appendix Where Indoor 
Blower Capacity Modulation Correlates With the Outdoor Dry Bulb 
Temperature

    The manufacturer must provide information on how the indoor air 
volume rate or the indoor blower speed varies over the outdoor 
temperature range of 67[emsp14][deg]F to 102[emsp14][deg]F. 
Calculate SEER using Equation 4.1-1. Evaluate the quantity 
qc(Tj)/N in Equation 4.1-1 using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.054

where:

[[Page 1512]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.055

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

    a. For the space cooling season, assign nj/N as 
specified in Table 19. Use Equation 4.1-2 to calculate the building 
load, BL(Tj). Evaluate Qc(Tj) 
using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.056

where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.057

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the cooling minimum air volume rate, 
Btu/h.
[GRAPHIC] [TIFF OMITTED] TR05JA17.058

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling full-load air volume rate, 
Btu/h.

    b. For units where indoor blower speed is the primary control 
variable, FPc\k=1\ denotes the fan speed used during the 
required A1 and B1 tests (see section 3.2.2.1 
of this appendix), FPck=2 denotes the fan speed used 
during the required A2 and B2 tests, and 
FPc(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPc's are similarly defined only now being expressed in 
terms of air volume rates rather than fan speeds. Refer to sections 
3.2.2.1, 3.1.4 to 3.1.4.2, and 3.3 of this appendix regarding the 
definitions and calculations of Qc\k=1\(82), 
Qc\k=1\(95), Qck=2(82), and 
Qck=2(95).
[GRAPHIC] [TIFF OMITTED] TR05JA17.059

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

    c. The quantities X(Tj) and nj/N are the 
same quantities as used in Equation 4.1.2-1. Evaluate the cooling 
mode cyclic degradation factor CD\c\ as specified in 
section 3.5.3 of this appendix.
    d. Evaluate Ec(Tj) using,

[[Page 1513]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.060

    e. The parameters FPc\k=1\, and FPck=2, 
and FPc(Tj) are the same quantities that are 
used when evaluating Equation 4.1.2-2. Refer to sections 3.2.2.1, 
3.1.4 to 3.1.4.2, and 3.3 of this appendix regarding the definitions 
and calculations of Ec\k=1\(82), Ec\k=1\(95), 
Eck=2(82), and Eck=2(95).
    4.1.2.2 Units Covered by Section 3.2.2.2 of This Appendix Where 
Indoor Blower Capacity Modulation Is Used To Adjust the Sensible to 
Total Cooling Capacity Ratio. Calculate SEER as specified in section 
4.1.1 of this appendix.

4.1.3 SEER Calculations for an Air Conditioner or Heat Pump Having a 
Two-Capacity Compressor

    Calculate SEER using Equation 4.1-1. Evaluate the space cooling 
capacity, Qc\k=1\ (Tj), and electrical power 
consumption, Ec\k=1\ (Tj), of the test unit 
when operating at low compressor capacity and outdoor temperature 
Tj using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.061

[GRAPHIC] [TIFF OMITTED] TR05JA17.062

where Qc\k=1\ (82) and Ec\k=1\ (82) are 
determined from the B1 test, Qc\k=1\ (67) and 
Ec\k=1\ (67) are determined from the F1 test, 
and all four quantities are calculated as specified in section 3.3 
of this appendix. Evaluate the space cooling capacity, 
Qck=2 (Tj), and electrical power consumption, 
Eck=2 (Tj), of the test unit when operating at 
high compressor capacity and outdoor temperature Tj 
using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.063

[GRAPHIC] [TIFF OMITTED] TR05JA17.064

where Qck=2(95) and Eck=2(95) are determined 
from the A2 test, Qck=2(82), and 
Eck=2(82), are determined from the B2test, and 
all are calculated as specified in section 3.3 of this appendix.
    The calculation of Equation 4.1-1 quantities 
qc(Tj)/N and ec(Tj)/N 
differs depending on whether the test unit would operate at low 
capacity (section 4.1.3.1 of this appendix), cycle between low and 
high capacity (section 4.1.3.2 of this appendix), or operate at high 
capacity (sections 4.1.3.3 and 4.1.3.4 of this appendix) in 
responding to the building load. For units that lock out low 
capacity operation at higher outdoor temperatures, the outdoor 
temperature at which the unit locks out must be that specified by 
the manufacturer in the certification report so that the appropriate 
equations are used. Use Equation 4.1-2 to calculate the building 
load, BL(Tj), for each temperature bin.

4.1.3.1 Steady-State Space Cooling Capacity at Low Compressor Capacity 
Is Greater Than or Equal to the Building Cooling Load at Temperature 
Tj, Qc\k=1\(Tj) >=BL(Tj)

[[Page 1514]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.065

where:
X\k=1\(Tj) = BL(Tj)/
Qc\k=1\(Tj), the cooling mode low capacity 
load factor for temperature bin j, dimensionless.
PLFj = 1 - CD\c\ [middot] [1 - 
X\k=1\(Tj)], the part load factor, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR05JA17.066

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qc\k=1\(Tj) and 
Ec\k=1\(Tj). Evaluate the cooling mode cyclic 
degradation factor CD\c\ as specified in section 3.5.3 of 
this appendix.

                Table 19--Distribution of Fractional Hours Within Cooling Season Temperature Bins
----------------------------------------------------------------------------------------------------------------
                                                                                                  Fraction of of
                                                                        Bin       Representative       total
                          Bin number, j                             temperature     temperature     temperature
                                                                   range [deg]F   for bin [deg]F  bin hours, nj/
                                                                                                         N
----------------------------------------------------------------------------------------------------------------
1...............................................................           65-69              67           0.214
2...............................................................           70-74              72           0.231
3...............................................................           75-79              77           0.216
4...............................................................           80-84              82           0.161
5...............................................................           85-89              87           0.104
6...............................................................           90-94              92           0.052
7...............................................................           95-99              97           0.018
8...............................................................         100-104             102           0.004
----------------------------------------------------------------------------------------------------------------

4.1.3.2 Unit Alternates Between High (k=2) and Low (k=1) Compressor 
Capacity To Satisfy the Building Cooling Load at Temperature 
Tj, Qc\k=1\(Tj) BL(Tj) 
Qck=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.067

[GRAPHIC] [TIFF OMITTED] TR05JA17.068


[[Page 1515]]


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

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qc\k=1\(Tj) and 
Ec\k=1\(Tj). Use Equations 4.1.3-3 and 4.1.3-
4, respectively, to evaluate Qck=2(Tj) and 
Eck=2(Tj).

4.1.3.3 Unit Only Operates at High (k=2) Compressor Capacity at 
Temperature Tj and Its Capacity Is Greater Than the Building 
Cooling Load, BL(Tj) Qck=2(Tj). This 
section applies to units that lock out low compressor capacity 
operation at higher outdoor temperatures.
[GRAPHIC] [TIFF OMITTED] TR05JA17.069

where:
Xk=2(Tj) = BL(Tj)/
Qck=2(Tj), the cooling mode high capacity load 
factor for temperature bin j, dimensionless.
PLFj = 1 - CDc(k = 2) * [1 - Xk=2(Tj) the part 
load factor, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR05JA17.070

4.1.3.4 Unit Must Operate Continuously at High (k=2) Compressor 
Capacity at Temperature Tj, BL(Tj) 
>=Qck=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.071

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qck=2(Tj) and 
Eck=2(Tj).

4.1.4 SEER Calculations for an Air Conditioner or Heat Pump Having a 
Variable-Speed Compressor

    Calculate SEER using Equation 4.1-1. Evaluate the space cooling 
capacity, Qc\k=1\(Tj), and electrical power 
consumption, Ec\k=1\(Tj), of the test unit 
when operating at minimum compressor speed and outdoor temperature 
Tj. Use,
[GRAPHIC] [TIFF OMITTED] TR05JA17.072

[GRAPHIC] [TIFF OMITTED] TR05JA17.073

    where Qc\k=1\(82) and Ec\k=1\(82) are 
determined from the B1 test, Qc\k=1\(67) and 
Ec\k=1\(67) are determined from the F1 test, and all four 
quantities are calculated as specified in section 3.3 of this 
appendix.
    Evaluate the space cooling capacity, 
Qck=2(Tj), and electrical power consumption, 
Eck=2(Tj), of the test unit when operating at 
full compressor speed and outdoor temperature Tj. Use 
Equations 4.1.3-3 and 4.1.3-4, respectively, where 
Qck=2(95) and Eck=2(95) are determined from 
the A2 test, Qck=2(82) and 
Eck=2(82) are determined from the B2 test, and 
all four quantities are calculated as specified in section 3.3 of 
this appendix. Calculate the space cooling capacity, 
Qc\k=v\(Tj), and electrical power consumption, 
Ec\k=v\(Tj), of the test unit when operating 
at outdoor temperature Tj and the intermediate compressor 
speed used during the section 3.2.4 (and Table 8) EV test 
of this appendix using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.074

[GRAPHIC] [TIFF OMITTED] TR05JA17.075


[[Page 1516]]


    where Qc\k=v\(87) and Ec\k=v\(87) are 
determined from the EV test and calculated as specified 
in section 3.3 of this appendix. Approximate the slopes of the k=v 
intermediate speed cooling capacity and electrical power input 
curves, MQ and ME, as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.076

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

4.1.4.1 Steady-State Space Cooling Capacity When Operating at Minimum 
Compressor Speed Is Greater Than or Equal to the Building Cooling Load 
at Temperature Tj, Qc\k=1\(Tj) 
>=BL(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.077

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

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qc\k=l\ (Tj) and 
Ec\k=l\ (Tj). Evaluate the cooling mode cyclic 
degradation factor CD\c\ as specified in section 3.5.3 of 
this appendix.

4.1.4.2 Unit Operates at an Intermediate Compressor Speed (k=i) In 
Order To Match the Building Cooling Load at Temperature 
Tj,Qc\k=1\(Tj) BL(Tj) 
Qck=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.078

where:
Qc\k=i\(Tj) = BL(Tj), the space 
cooling capacity delivered by the unit in matching the building load 
at temperature Tj, Btu/h. The matching occurs with the 
unit operating at compressor speed k = i.
[GRAPHIC] [TIFF OMITTED] TR05JA17.079

EER\k=i\(Tj) = the steady-state energy efficiency ratio 
of the test unit when operating at a compressor speed of k = i and 
temperature Tj, Btu/h per W.

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. For each temperature bin where the 
unit operates at an intermediate compressor speed, determine the 
energy efficiency ratio EER\k=i\(Tj) using,

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

    For each unit, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TR05JA17.080


[[Page 1517]]


where:
T1 = the outdoor temperature at which the unit, when 
operating at minimum compressor speed, provides a space cooling 
capacity that is equal to the building load 
(Qck=l(Tl) = BL(T1)), 
[deg]F. Determine T1 by equating Equations 4.1.3-1 and 
4.1-2 and solving for outdoor temperature.
Tv = the outdoor temperature at which the unit, when 
operating at the intermediate compressor speed used during the 
section 3.2.4 EV test of this appendix, provides a space 
cooling capacity that is equal to the building load 
(Qck=v(Tv) = BL(Tv)), 
[deg]F. Determine Tv by equating Equations 4.1.4-3 and 
4.1-2 and solving for outdoor temperature.
T2 = the outdoor temperature at which the unit, when 
operating at full compressor speed, provides a space cooling 
capacity that is equal to the building load 
(Qck=2(T2) = BL(T2)), 
[deg]F. Determine T2 by equating Equations 4.1.3-3 and 
4.1-2 and solving for outdoor temperature.
[GRAPHIC] [TIFF OMITTED] TR05JA17.081

4.1.4.3 Unit Must Operate Continuously at Full (k=2) Compressor Speed 
at Temperature Tj, BL(Tj) 
>=Qck=2(Tj). Evaluate the Equation 
4.1-1 Quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.082

as specified in section 4.1.3.4 of this appendix with the 
understanding that Qck=2(Tj) and 
Eck=2(Tj) correspond to full 
compressor speed operation and are derived from the results of the 
tests specified in section 3.2.4 of this appendix.

4.1.5 SEER Calculations for an Air Conditioner or Heat Pump Having a 
Single Indoor Unit With Multiple Indoor Blowers

    Calculate SEER using Eq. 4.1-1, where qc(Tj)/N and 
ec(Tj)/N are evaluated as specified in the applicable 
subsection.

4.1.5.1 For Multiple Indoor Blower Systems That Are Connected to a 
Single, Single-Speed Outdoor Unit

    a. Calculate the space cooling capacity, Qck=1(Tj), 
and electrical power consumption, Eck=1(Tj), of the test 
unit when operating at the cooling minimum air volume rate and 
outdoor temperature Tj using the equations given in 
section 4.1.2.1 of this appendix. Calculate the space cooling 
capacity, Qck=2(Tj), and electrical power consumption, 
Eck=2(Tj), of the test unit when operating at the cooling 
full-load air volume rate and outdoor temperature Tj 
using the equations given in section 4.1.2.1 of this appendix. In 
evaluating the section 4.1.2.1 equations, determine the quantities 
Qck=1(82) and Eck=1(82) from the B1 test, 
Qck=1(95) and Eck=1(95) from the Al test, 
Qck=2(82) and Eck=2(82) from the B2 test, 
andQck=2(95) and Eck=2(95) from the A2 test. 
Evaluate all eight quantities as specified in section 3.3 of this 
appendix. Refer to section 3.2.2.1 and Table 6 of this appendix for 
additional information on the four referenced laboratory tests.
    b. Determine the cooling mode cyclic degradation coefficient, 
CDc, as per sections 3.2.2.1 and 3.5 to 3.5.3 of this 
appendix. Assign this same value to CDc(K=2).
    c. Except for using the above values of Qck=1(Tj), 
Eck=1(Tj), Eck=2(Tj), Qck=2(Tj), 
CDc, and CDc (K=2), calculate the quantities 
qc(Tj)/N and ec(Tj)/N as 
specified in section 4.1.3.1 of this appendix for cases where 
Qck=1(Tj) >=BL(Tj). For all other outdoor bin 
temperatures, Tj, calculate qc(Tj)/N and 
ec(Tj)/N as specified in section 4.1.3.3 of this appendix 
if Qck=2(Tj) >BL (Tj) or as specified in 
section 4.1.3.4 of this appendix if Qck=2(Tj) 
<=BL(Tj).

4.1.5.2 Unit Operates at an Intermediate Compressor Speed (k=i) In 
Order To Match the Building Cooling Load at Temperature 
Tj,Qck=1(Tj) 
j) ck=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.083

where,
Qck=i(Tj) = BL(Tj), the 
space cooling capacity delivered by the unit in matching the 
building load at temperature Tj, Btu/h. The matching 
occurs with the unit operating at compressor speed k = i.
[GRAPHIC] [TIFF OMITTED] TR05JA17.084


[[Page 1518]]


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

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. For each temperature bin where the 
unit operates at an intermediate compressor speed, determine the 
energy efficiency ratio EERk=i(Tj) using the 
following equations,
    For each temperature bin where 
Qck=1(Tj) j) 
ck=v(Tj),
[GRAPHIC] [TIFF OMITTED] TR05JA17.085

    For each temperature bin where 
Qck=v(Tj) <=BL(Tj) 
ck=2(Tj),
[GRAPHIC] [TIFF OMITTED] TR05JA17.086

Where:
EERk=1(Tj) is the steady-state energy 
efficiency ratio of the test unit when operating at minimum 
compressor speed and temperature Tj, Btu/h per W, calculated using 
capacity Qck=1(Tj) calculated using 
Equation 4.1.4-1 and electrical power consumption 
Eck=1(Tj) calculated using Equation 
4.1.4-2;
EERk=v(Tj) is the steady-state 
energy efficiency ratio of the test unit when operating at 
intermediate compressor speed and temperature Tj, Btu/h per W, 
calculated using capacity Qck=v(Tj) 
calculated using Equation 4.1.4-3 and electrical power consumption 
Eck=v(Tj) calculated using Equation 
4.1.4-4;
EERk=2(Tj) is the steady-state energy 
efficiency ratio of the test unit when operating at full compressor 
speed and temperature Tj, Btu/h per W, calculated using capacity 
Qck=2(Tj) and electrical power 
consumption Eck=2(Tj), both 
calculated as described in section 4.1.4; and
BL(Tj) is the building cooling load at temperature 
Tj, Btu/h.

4.2 Heating Seasonal Performance Factor (HSPF) Calculations

    Unless an approved alternative efficiency determination method 
is used, as set forth in 10 CFR 429.70(e), HSPF must be calculated 
as follows: Six generalized climatic regions are depicted in Figure 
1 and otherwise defined in Table 20. For each of these regions and 
for each applicable standardized design heating requirement, 
evaluate the heating seasonal performance factor using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.087

where:
e2(Tj)/N = The ratio of the electrical energy consumed by 
the heat pump during periods of the space heating season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
heating season (N), W. For heat pumps having a heat comfort 
controller, this ratio may also include electrical energy used by 
resistive elements to maintain a minimum air delivery temperature 
(see 4.2.5).
RH(Tj)/N = The ratio of the electrical energy used for 
resistive space heating during periods when the outdoor temperature 
fell within the range represented by bin temperature Tj 
to the total number of hours in the heating season (N), W. Except as 
noted in section 4.2.5 of this appendix, resistive space heating is 
modeled as being used to meet that portion of the building load that 
the heat pump does not meet because of insufficient capacity or 
because the heat pump automatically turns off at the lowest outdoor 
temperatures. For heat pumps having a heat comfort controller, all 
or part of the electrical energy used by resistive heaters at a 
particular bin temperature may be reflected in eh(Tj)/N 
(see section 4.2.5 of this appendix).
Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are ``binned'' such that calculations are only 
performed based one temperature within the bin. Bins of 5 [deg]F are 
used.
nj/N= Fractional bin hours for the heating season; the 
ratio of the number of hours during the heating season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
heating season, dimensionless. Obtain nj/N values from 
Table 20.
j = the bin number, dimensionless.
J = for each generalized climatic region, the total number of 
temperature bins, dimensionless. Referring to Table 20, J is the 
highest bin number (j) having a nonzero entry for the fractional bin 
hours for the generalized climatic region of interest.
Fdef = the demand defrost credit described in section 
3.9.2 of this appendix, dimensionless.
BL(Tj) = the building space conditioning load 
corresponding to an outdoor temperature of Tj; the 
heating season building load also depends on the generalized 
climatic region's outdoor design temperature and the design heating 
requirement, Btu/h.

                                Table 20--Generalized Climatic Region Information
----------------------------------------------------------------------------------------------------------------
                                                                     Region No.
                                   -----------------------------------------------------------------------------
                                         I            II          III           IV           V            VI
----------------------------------------------------------------------------------------------------------------
Heating Load Hours, HLH...........          750        1,250        1,750        2,250        2,750       *2,750
Outdoor Design Temperature, TOD...           37           27           17            5          -10           30
----------------------------------------------------------------------------------------------------------------

[[Page 1519]]

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

    Evaluate the building heating load using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.088
    
Where:

TOD = the outdoor design temperature, [deg]F. An outdoor 
design temperature is specified for each generalized climatic region 
in Table 20.
C = 0.77, a correction factor which tends to improve the agreement 
between calculated and measured building loads, dimensionless.
DHR = the design heating requirement (see section 1.2 of this 
appendix, Definitions), Btu/h.

    Calculate the minimum and maximum design heating requirements 
for each generalized climatic region as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.089

where Qh\k\(47) is expressed in units of Btu/h and otherwise defined 
as follows:
    a. For a single-speed heat pump tested as per section 3.6.1 of 
this appendix, Qh\k\(47) = Qh(47), the space heating capacity 
determined from the H1 test.
    b. For a section 3.6.2 single-speed heat pump or a two-capacity 
heat pump not covered by item d, Qh\k\(47) = Qhk=2(47), the space 
heating capacity determined from the H1 or H12 test.
    c. For a variable-speed heat pump, Qh\k\(47) = Qhk=N(47), the 
space heating capacity determined from the H1N test.
    d. For two-capacity, northern heat pumps (see section 1.2 of 
this appendix, Definitions), Q\k\h(47) = Q\k=1\h(47), the space 
heating capacity determined from the H11 test.
    For all heat pumps, HSPF accounts for the heating delivered and 
the energy consumed by auxiliary resistive elements when operating 
below the balance point. This condition occurs when the building 
load exceeds the space heating capacity of the heat pump condenser. 
For HSPF calculations

[[Page 1520]]

for all heat pumps, see either section 4.2.1, 4.2.2, 4.2.3, or 4.2.4 
of this appendix, whichever applies.
    For heat pumps with heat comfort controllers (see section 1.2 of 
this appendix, Definitions), HSPF also accounts for resistive 
heating contributed when operating above the heat-pump-plus-comfort-
controller balance point as a result of maintaining a minimum supply 
temperature. For heat pumps having a heat comfort controller, see 
section 4.2.5 of this appendix for the additional steps required for 
calculating the HSPF.

           Table 21--Standardized Design Heating Requirements
                                 [Btu/h]
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
 5,000
 10,000
 15,000
 20,000
 25,000
 30,000
 35,000
 40,000
 50,000
 60,000
 70,000
 80,000
 90,000
100,000
110,000
130,000
------------------------------------------------------------------------

4.2.1 Additional Steps for Calculating the HSPF of a Blower Coil System 
Heat Pump Having a Single-Speed Compressor and Either a Fixed-Speed 
Indoor Blower or a Constant-Air-Volume-Rate Indoor Blower Installed, or 
a Coil-Only System Heat Pump
[GRAPHIC] [TIFF OMITTED] TR05JA17.090

[GRAPHIC] [TIFF OMITTED] TR05JA17.091

Where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.092

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

    Use Equation 4.2-2 to determine BL(Tj). Obtain 
fractional bin hours for the heating season, nj/N, from 
Table 20. Evaluate the heating mode cyclic degradation factor 
CD\h\ as specified in section 3.8.1 of this appendix.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.093
    
Where:
Toff = the outdoor temperature when the compressor is 
automatically shut off, [deg]F. (If no such temperature exists, 
Tj is always greater than Toff and 
Ton).
Ton = the outdoor temperature when the compressor is 
automatically turned back on, if applicable, following an automatic 
shut-off, [deg]F.

    Calculate Qh(Tj) and Eh(Tj) using,
    [GRAPHIC] [TIFF OMITTED] TR05JA17.094
    

[[Page 1521]]


[GRAPHIC] [TIFF OMITTED] TR05JA17.095

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

4.2.2 Additional Steps for Calculating the HSPF of a Heat Pump Having a 
Single-Speed Compressor and a Variable-Speed, Variable-Air-Volume-Rate 
Indoor Blower

    The manufacturer must provide information about how the indoor 
air volume rate or the indoor blower speed varies over the outdoor 
temperature range of 65[emsp14][deg]F to -23[emsp14][deg]F. 
Calculate the quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.096

in Equation 4.2-1 as specified in section 4.2.1 of this appendix 
with the exception of replacing references to the H1C test and 
section 3.6.1 of this appendix with the H1C1 test and 
section 3.6.2 of this appendix. In addition, evaluate the space 
heating capacity and electrical power consumption of the heat pump 
Qh(Tj) and Eh(Tj) using
[GRAPHIC] [TIFF OMITTED] TR05JA17.097

[GRAPHIC] [TIFF OMITTED] TR05JA17.098

where the space heating capacity and electrical power consumption at 
both low capacity (k=1) and high capacity (k=2) at outdoor 
temperature Tj are determined using
[GRAPHIC] [TIFF OMITTED] TR05JA17.099

[GRAPHIC] [TIFF OMITTED] TR05JA17.100

    For units where indoor blower speed is the primary control 
variable, FPhk=1 denotes the fan speed used during the required 
H11 and H31 tests (see Table 12), FPhk=2 
denotes the fan speed used during the required H12, 
H22, and H32 tests, and FPh(Tj) 
denotes the fan speed used by the unit when the outdoor temperature 
equals Tj. For units where indoor air volume rate is the 
primary control variable, the three FPh's are similarly defined only 
now being expressed in terms of air volume rates rather than fan 
speeds. Determine Qhk=1(47) and Ehk=1(47) from the H11 
test, and Qhk=2(47) and Ehk=2(47) from the H12 test. 
Calculate all four quantities as specified in section 3.7 of this 
appendix. Determine Qhk=1(35) and Ehk=1(35) as specified in section 
3.6.2 of this appendix; determine Qhk=2(35) and Ehk=2(35) and from 
the H22 test and the calculation specified in section 3.9 
of this appendix. Determine Qhk=1(17) and Ehk=1(17) from the 
H31 test, and Qhk=2(17) and Ehk=2(17) from the 
H32 test. Calculate all four quantities as specified in 
section 3.10 of this appendix.

[[Page 1522]]

4.2.3 Additional Steps for Calculating the HSPF of a Heat Pump Having a 
Two-Capacity Compressor

    The calculation of the Equation 4.2-1 quantities differ 
depending upon whether the heat pump would operate at low capacity 
(section 4.2.3.1 of this appendix), cycle between low and high 
capacity (section 4.2.3.2 of this appendix), or operate at high 
capacity (sections 4.2.3.3 and 4.2.3.4 of this appendix) in 
responding to the building load. For heat pumps that lock out low 
capacity operation at low outdoor temperatures, the outdoor 
temperature at which the unit locks out must be that specified by 
the manufacturer in the certification report so that the appropriate 
equations can be selected.
[GRAPHIC] [TIFF OMITTED] TR05JA17.101

    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TR05JA17.102

    b. Evaluate the space heating capacity and electrical power 
consumption (Qhk=2(Tj) and Ehk=2 (Tj)) of the 
heat pump when operating at high compressor capacity and outdoor 
temperature Tj by solving Equations 4.2.2-3 and 4.2.2-4, 
respectively, for k=2. Determine Qhk=1(62) and Ehk=1(62) from the 
H01 test, Qhk=1(47) and Ehk=1(47) from the H11 
test, and Qhk=2(47) and Ehk=2(47) from the H12 test. 
Calculate all six quantities as specified in section 3.7 of this 
appendix. Determine Qhk=2(35) and Ehk=2(35) from the H22 
test and, if required as described in section 3.6.3 of this 
appendix, determine Qhk=1(35) and Ehk=1(35) from the H21 
test. Calculate the required 35[emsp14][deg]F quantities as 
specified in section 3.9 of this appendix. Determine Qhk=2(17) and 
Ehk=2(17) from the H32 test and, if required as described 
in section 3.6.3 of this appendix, determine Qhk=1(17) and Ehk=1(17) 
from the H31 test. Calculate the required 
17[emsp14][deg]F quantities as specified in section 3.10 of this 
appendix.

4.2.3.1 Steady-State Space Heating Capacity When Operating at Low 
Compressor Capacity is Greater Than or Equal to the Building Heating 
Load at Temperature Tj, Qhk=1(Tj) 
>=BL(Tj)


    [GRAPHIC] [TIFF OMITTED] TR05JA17.103
    
    [GRAPHIC] [TIFF OMITTED] TR05JA17.104
    
Where:
Xk=1(Tj) = BL(Tj)/Qhk=1(Tj), the 
heating mode low capacity load factor for temperature bin j, 
dimensionless.
PLFj = 1 - CD\h\ [middot] [ 1 - 
Xk=1(Tj) ], the part load factor, dimensionless.
[delta]'(Tj) = the low temperature cutoff factor, 
dimensionless.

    Evaluate the heating mode cyclic degradation factor 
CD\h\ as specified in section 3.8.1 of this appendix.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.105
    

[[Page 1523]]


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

4.2.3.2 Heat Pump Alternates Between High (k=2) and Low (k=1) 
Compressor Capacity To Satisfy the Building Heating Load at a 
Temperature Tj, Qhk=1(Tj) j) 
j)
[GRAPHIC] [TIFF OMITTED] TR05JA17.106

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

    Determine the low temperature cut-out factor, 
[delta]'(Tj), using Equation 4.2.3-3.

4.2.3.3 Heat Pump Only Operates at High (k=2) Compressor Capacity at 
Temperature Tj and its Capacity Is Greater Than the Building 
Heating Load, BL(Tj) j)

    This section applies to units that lock out low compressor 
capacity operation at low outdoor temperatures.
[GRAPHIC] [TIFF OMITTED] TR05JA17.107

Where:

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

    If the H1C2 test described in section 3.6.3 and Table 
13 of this appendix is not conducted, set CD\h\ (k=2) 
equal to the default value specified in section 3.8.1 of this 
appendix.
    Determine the low temperature cut-out factor, 
[delta](Tj), using Equation 4.2.3-3.

4.2.3.4 Heat Pump Must Operate Continuously at High (k=2) Compressor 
Capacity at Temperature Tj, BL(Tj) 
>=Qhk=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.108


[[Page 1524]]



4.2.4 Additional Steps for Calculating the HSPF of a Heat Pump Having a 
Variable-Speed Compressor

    Calculate HSPF using Equation 4.2-1. Evaluate the space heating 
capacity, Qhk=1(Tj), and electrical power consumption, 
Ehk=1(Tj), of the heat pump when operating at minimum 
compressor speed and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TR05JA17.109

[GRAPHIC] [TIFF OMITTED] TR05JA17.110

where Qhk=1(62) and Ehk=1(62) are determined from the H01 
test, Qhk=1(47) and Ehk=1(47) are determined from the H11 
test, and all four quantities are calculated as specified in section 
3.7 of this appendix.
    Evaluate the space heating capacity, Qhk=2(Tj), and 
electrical power consumption, Ehk=2(Tj), of the heat pump 
when operating at full compressor speed and outdoor temperature 
Tj by solving Equations 4.2.2-3 and 4.2.2-4, 
respectively, for k=2. For Equation 4.2.2-3, use 
Qhcalck=2(47) to represent Qhk=2(47), and for Equation 
4.2.2-4, use Ehcalck=2(47) to represent 
Ehcalck=2(47)--evaluate Qhcalck=2(47) and 
Ehcalck=2(47) as specified in section 3.6.4b of this 
appendix.
[GRAPHIC] [TIFF OMITTED] TR05JA17.111

[GRAPHIC] [TIFF OMITTED] TR05JA17.112

where Qh\k=v\(35) and Eh\k=v\(35) are determined from the 
H2V test and calculated as specified in section 3.9 of 
this appendix. Approximate the slopes of the k=v intermediate speed 
heating capacity and electrical power input curves, MQ 
and ME, as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.113


[[Page 1525]]



4.2.4.1 Steady-State Space Heating Capacity When Operating at Minimum 
Compressor Speed Is Greater Than or Equal to the Building Heating Load 
at Temperature Tj, Qhk=1(Tj >=BL(Tj)

    Evaluate the Equation 4.2-1 quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.114
    
as specified in section 4.2.3.1 of this appendix. Except now use 
Equations 4.2.4-1 and 4.2.4-2 to evaluate Qhk=1(Tj) and 
Ehk=1(Tj), respectively, and replace section 4.2.3.1 
references to ``low capacity'' and section 3.6.3 of this appendix 
with ``minimum speed'' and section 3.6.4 of this appendix. Also, the 
last sentence of section 4.2.3.1 of this appendix does not apply.

4.2.4.2 Heat Pump Operates at an Intermediate Compressor Speed (k=i) in 
Order To Match the Building Heating Load at a Temperature 
Tj, Qhk=1(Tj) j) 
j)
[GRAPHIC] [TIFF OMITTED] TR05JA17.115

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

    For each temperature bin where the heat pump operates at an 
intermediate compressor speed, determine COP\k=i\(Tj) 
using the following equations,
    For each temperature bin where Qhk=1(Tj) 
j) j),
[GRAPHIC] [TIFF OMITTED] TR05JA17.116

    For each temperature bin where Qh\k=v\(Tj) 
<=BL(Tj) j),
[GRAPHIC] [TIFF OMITTED] TR05JA17.117

Where:
COPhk=1(Tj) is the steady-state coefficient of 
performance of the heat pump when operating at minimum compressor 
speed and temperature Tj, dimensionless, calculated using capacity 
Qhk=1(Tj) calculated using Equation 4.2.4-1 and 
electrical power consumption Ehk=1(Tj) calculated using 
Equation 4.2.4-2;
COPh\k=v\(Tj) is the steady-state coefficient of 
performance of the heat pump when operating at intermediate 
compressor speed and temperature Tj, dimensionless, calculated using 
capacity Qh\k=v\(Tj) calculated using Equation 4.2.4-3 
and electrical power consumption Eh\k=v\(Tj) calculated 
using Equation 4.2.4-4;
COPhk=2(Tj) is the steady-state coefficient of 
performance of the heat pump when operating at full compressor speed 
and temperature Tj, dimensionless, calculated using capacity 
Qhk=2(Tj) and electrical power consumption 
Ehk=2(Tj), both calculated as described in section 4.2.4; 
and
BL(Tj) is the building heating load at temperature 
Tj, Btu/h.

4.2.4.3 Heat Pump Must Operate Continuously at Full (k=2) Compressor 
Speed at Temperature Tj, BL(Tj) 
>=Qhk=2(Tj)

    Evaluate the Equation 4.2-1 Quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.118
    
as specified in section 4.2.3.4 of this appendix with the 
understanding that Qhk=2(Tj) and Ehk=2(Tj) 
correspond to full compressor speed operation and are derived from 
the results of the specified section 3.6.4 tests of this appendix.

4.2.5 Heat Pumps Having a Heat Comfort Controller

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

[[Page 1526]]

4.2.5.1 Blower Coil System Heat Pump Having a Heat Comfort Controller: 
Additional Steps for Calculating the HSPF of a Heat Pump Having a 
Single-Speed Compressor and Either a Fixed-Speed Indoor Blower or a 
Constant-Air-Volume-Rate Indoor Blower Installed, or a Coil-Only System 
Heat Pump

    Calculate the space heating capacity and electrical power of the 
heat pump without the heat comfort controller being active as 
specified in section 4.2.1 of this appendix (Equations 4.2.1-4 and 
4.2.1-5) for each outdoor bin temperature, Tj, that is 
listed in Table 20. Denote these capacities and electrical powers by 
using the subscript ``hp'' instead of ``h.'' Calculate the mass flow 
rate (expressed in pounds-mass of dry air per hour) and the specific 
heat of the indoor air (expressed in Btu/lbmda [middot] 
[deg]F) from the results of the H1 test using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.119

where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 20, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.120

    Evaluate eh(Tj/N), RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 of this appendix. For each bin 
calculation, use the space heating capacity and electrical power 
from Case 1 or Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9 of this appendix), determine Qh(Tj) and 
Eh(Tj) as specified in section 4.2.1 of this appendix 
(i.e., Qh(Tj) = Qhp(Tj) and 
Ehp(Tj) = Ehp(Tj)). 
Note: Even though To(Tj) >=Tcc, 
resistive heating may be required; evaluate Equation 4.2.1-2 for all 
bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) >Tcc, determine 
Qh(Tj) and Eh(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.121


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

4.2.5.2 Heat Pump Having a Heat Comfort Controller: Additional Steps 
for Calculating the HSPF of a Heat Pump Having a Single-Speed 
Compressor and a Variable-Speed, Variable-Air-Volume-Rate Indoor Blower

    Calculate the space heating capacity and electrical power of the 
heat pump without the heat comfort controller being active as 
specified in section 4.2.2 of this appendix (Equations 4.2.2-1 and 
4.2.2-2) for each outdoor bin temperature, Tj, that is 
listed in Table 20. Denote these capacities and electrical powers by 
using the subscript ``hp'' instead of ``h.'' Calculate the mass flow 
rate (expressed in pounds-mass of dry air per hour) and the specific 
heat of the indoor air (expressed in Btu/lbmda [middot] 
[deg]F) from the results of the H12 test using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.122

where ViS, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 20, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.123

    Evaluate eh(Tj)/N, RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 of this appendix with the exception of 
replacing references to the H1C test and section 3.6.1 of this 
appendix with the H1C1 test and section 3.6.2 of this 
appendix. For each bin calculation, use the space heating capacity 
and electrical power from Case 1 or Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC

[[Page 1527]]

(the maximum supply temperature determined according to section 
3.1.9 of this appendix), determine Qh(Tj) and 
Eh(Tj) as specified in section 4.2.2 of this appendix 
(i.e. Qh(Tj) = Qhp(Tj) and 
Eh(Tj) = Ehp(Tj)). Note: Even 
though To(Tj) >=TCC, resistive 
heating may be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) TCC, determine 
Qh(Tj) and Eh(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.124


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

4.2.5.3 Heat Pumps Having a Heat Comfort Controller: Additional Steps 
for Calculating the HSPF of a Heat Pump Having a Two-Capacity 
Compressor

    Calculate the space heating capacity and electrical power of the 
heat pump without the heat comfort controller being active as 
specified in section 4.2.3 of this appendix for both high and low 
capacity and at each outdoor bin temperature, Tj, that is 
listed in Table 20. Denote these capacities and electrical powers by 
using the subscript ``hp'' instead of ``h.'' For the low capacity 
case, calculate the mass flow rate (expressed in pounds-mass of dry 
air per hour) and the specific heat of the indoor air (expressed in 
Btu/lbmda [middot] [deg]F) from the results of the 
H11 test using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.125

where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 20, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil when operating at low capacity using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.126

    Repeat the above calculations to determine the mass flow rate 
(mdak=2) and the specific heat of the indoor air 
(Cp,dak=2) when operating at high capacity by using the 
results of the H12 test. For each outdoor bin temperature 
listed in Table 20, calculate the nominal temperature of the air 
leaving the heat pump condenser coil when operating at high capacity 
using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.127

    Evaluate eh(Tj)/N, RH(Tj)/N, 
Xk=1(Tj), and/or 
Xk=2(Tj), PLFj, and 
[delta]'(Tj) or [delta]''(Tj) as specified in 
section 4.2.3.1. 4.2.3.2, 4.2.3.3, or 4.2.3.4 of this appendix, 
whichever applies, for each temperature bin. To evaluate these 
quantities, use the low-capacity space heating capacity and the low-
capacity electrical power from Case 1 or Case 2, whichever applies; 
use the high-capacity space heating capacity and the high-capacity 
electrical power from Case 3 or Case 4, whichever applies.
    Case 1. For outdoor bin temperatures where 
Tok=1(Tj) is equal to or greater 
than TCC (the maximum supply temperature determined 
according to section 3.1.9 of this appendix), determine 
Qhk=1(Tj) and Ehk=1(Tj) 
as specified in section 4.2.3 of this appendix (i.e., 
Qhk=1(Tj) = 
Qhpk=1(Tj) and 
Ehk=1(Tj) = 
Ehpk=1(Tj).

    Note: Even though Tok=1(Tj) 
>=TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.

    Case 2. For outdoor bin temperatures where 
Tok=1(Tj) TCC, determine 
Qhk=1(Tj) and Ehk=1(Tj) 
using,

[[Page 1528]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.128


    Note: Even though Tok=1(Tj) 
>=Tcc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.

    Case 3. For outdoor bin temperatures where 
Tok=2(Tj) is equal to or greater 
than TCC, determine Qhk=2(Tj) and 
Ehk=2(Tj) as specified in section 4.2.3 of 
this appendix (i.e., Qhk=2(Tj) = 
Qhpk=2(Tj) and 
Ehk=2(Tj) = 
Ehpk=2(Tj)).

    Note: Even though Tok=2(Tj) 
CC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.

    Case 4. For outdoor bin temperatures where 
Tok=2(Tj) CC, 
determine Qhk=2(Tj) and 
Ehk=2(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.129


    Note: Even though Tok=2(Tj) 
cc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.

4.2.5.4 Heat Pumps Having a Heat Comfort Controller: Additional Steps 
for Calculating the HSPF of a Heat Pump Having a Variable-Speed 
Compressor. [Reserved]

4.2.6 Additional Steps for Calculating the HSPF of a Heat Pump Having a 
Triple-Capacity Compressor

    The only triple-capacity heat pumps covered are triple-capacity, 
northern heat pumps. For such heat pumps, the calculation of the Eq. 
4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.130

differ depending on whether the heat pump would cycle on and off at 
low capacity (section 4.2.6.1 of this appendix), cycle on and off at 
high capacity (section 4.2.6.2 of this appendix), cycle on and off 
at booster capacity (section 4.2.6.3 of this appendix), cycle 
between low and high capacity (section 4.2.6.4 of this appendix), 
cycle between high and booster capacity (section 4.2.6.5 of this 
appendix), operate continuously at low capacity (4.2.6.6 of this 
appendix), operate continuously at high capacity (section 4.2.6.7 of 
this appendix), operate continuously at booster capacity (section 
4.2.6.8 of this appendix), or heat solely using resistive heating 
(also section 4.2.6.8 of this appendix) in responding to the 
building load. As applicable, the manufacturer must supply 
information regarding the outdoor temperature range at which each 
stage of compressor capacity is active. As an informative example, 
data may be submitted in this manner: At the low (k=1) compressor 
capacity, the outdoor temperature range of operation is 
40[emsp14][deg]F <= T <= 65[emsp14][deg]F; At the high (k=2) 
compressor capacity, the outdoor temperature range of operation is 
20[emsp14][deg]F <= T <= 50[emsp14][deg]F; At the booster (k=3) 
compressor capacity, the outdoor temperature range of operation is -
20[emsp14][deg]F <= T <= 30[emsp14][deg]F.
    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using the equations given in 
section 4.2.3 of this appendix for Qhk=1(Tj) 
and Ehk=1 (Tj)) In evaluating the section 
4.2.3 equations, Determine Qhk=1(62) and 
Ehk=1(62) from the H01 test, 
Qhk=1(47) and Ehk=1(47) from the 
H11 test, and Qhk=2(47) and 
Ehk=2(47) from the H12 test. Calculate all 
four quantities as specified in section 3.7 of this appendix. If, in 
accordance with section 3.6.6 of this appendix, the H31 
test is conducted, calculate Qhk=1(17) and 
Ehk=1(17) as specified in section 3.10 of this appendix 
and determine Qhk=1(35) and Ehk=1(35) as 
specified in section 3.6.6 of this appendix.
    b. Evaluate the space heating capacity and electrical power 
consumption (Qhk=2(Tj) and Ehk=2 
(Tj)) of the heat pump when operating at high compressor 
capacity and outdoor temperature Tj by solving Equations 4.2.2-3 and 
4.2.2-4, respectively, for k=2. Determine Qhk=1(62) and 
Ehk=1(62) from the H01 test, 
Qhk=1(47) and Ehk=1(47) from the 
H11 test, and Qhk=2(47) and 
Ehk=2(47) from the H12 test, evaluated as 
specified in section 3.7 of this appendix. Determine the equation 
input for Qhk=2(35) and Ehk=2(35) from the 
H22, evaluated as specified in section 3.9.1 of this 
appendix. Also, determine Qhk=2(17) and 
Ehk=2(17) from the H32 test, evaluated as 
specified in section 3.10 of this appendix.
    c. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at booster compressor 
capacity and outdoor temperature Tj using

[[Page 1529]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.131

Determine Qhk=3(17) and Ehk=3(17) from the 
H33 test and determine Qhk=2(5) and 
Ehk=3(5) from the H43 test. Calculate all four 
quantities as specified in section 3.10 of this appendix. Determine 
the equation input for Qhk=3(35) and Ehk=3(35) 
as specified in section 3.6.6 of this appendix. 4.2.6.1 Steady-State 
Space Heating Capacity when Operating at Low Compressor Capacity is 
Greater than or Equal to the Building Heating Load at Temperature 
Tj, Qhk=1(Tj) >=BL(Tj)., 
and the heat pump permits low compressor capacity at Tj.
    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.132
    
using Eqs. 4.2.3-1 and 4.2.3-2, respectively. Determine the equation 
inputs Xk=1(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.1 of this 
appendix. In calculating the part load factor, PLFj, use 
the low-capacity cyclic-degradation coefficient CD\h\, 
[or equivalently, CDh(k=1)] determined in 
accordance with section 3.6.6 of this appendix.

4.2.6.2 Heat Pump Only Operates at High (k=2) Compressor Capacity at 
Temperature Tj and Its Capacity Is Greater Than or Equal to 
the Building Heating Load, BL(Tj) 
k=2(Tj)

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.133
    
as specified in section 4.2.3.3 of this appendix. Determine the 
equation inputs Xk=2(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.3 of this 
appendix. In calculating the part load factor, PLFj, use 
the high-capacity cyclic-degradation coefficient, 
CD\h\(k=2) determined in accordance with section 3.6.6 of 
this appendix.

4.2.6.3 Heat Pump Only Operates at High (k=3) Compressor Capacity at 
Temperature Tj and Its Capacity Is Greater Than or Equal to 
the Building Heating Load, BL(Tj) 
<=Qhk=3(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.134

where:
Xk=3(Tj) = BL(Tj)/Qhk=3 (Tj) and PLFj = 1-CDh (k = 3) * [1-Xk=3 (Tj)
Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3. Use the booster-capacity 
cyclic-degradation coefficient, CD\h\(k=3) determined in 
accordance with section 3.6.6 of this appendix.

4.2.6.4 Heat Pump Alternates Between High (k=2) and Low (k=1) 
Compressor Capacity to Satisfy the Building Heating Load at a 
Temperature Tj, Qhk=1(Tj) 
j) k=2(Tj)

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.135
    

[[Page 1530]]


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

4.2.6.5 Heat Pump Alternates Between High (k=2) and Booster (k=3) 
Compressor Capacity To Satisfy the Building Heating Load at a 
Temperature Tj, Qhk=2(Tj) 
j) k=3(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.136

and Xk=3(Tj) = Xk=2(Tj) 
= the heating mode, booster capacity load factor for temperature bin 
j, dimensionless. Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3.

4.2.6.6 Heat Pump Only Operates at Low (k=1) Capacity at Temperature 
Tj and Its Capacity Is Less Than the Building Heating Load, 
BL(Tj) > Qhk=1(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.137

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

4.2.6.7 Heat Pump Only Operates at High (k=2) Capacity at Temperature 
Tj and Its Capacity Is Less Than the Building Heating Load, BL(Tj) > 
Qhk=2(Tj)

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.138
    
as specified in section 4.2.3.4 of this appendix. Calculate 
[delta]''(Tj) using the equation given in section 4.2.3.4 of this 
appendix.

4.2.6.8 Heat Pump Only Operates at Booster (k=3) Capacity at 
Temperature Tj and Its Capacity Is Less Than the Building Heating Load, 
BL(Tj) > Qhk=3(Tj) or the System 
Converts to Using Only Resistive Heating
[GRAPHIC] [TIFF OMITTED] TR05JA17.139

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

4.2.7 Additional Steps for Calculating the HSPF of a Heat Pump Having a 
Single Indoor Unit With Multiple Indoor Blowers

    The calculation of the Eq. 4.2-1 quantities eh(Tj)/N 
and RH(Tj)/N are evaluated as specified in the applicable 
subsection.

4.2.7.1 For Multiple Indoor Blower Heat Pumps That Are Connected to a 
Singular, Single-Speed Outdoor Unit

    a. Calculate the space heating capacity, Qhk=1(Tj), 
and electrical power consumption, Ehk=1(Tj), of the heat 
pump when operating at the heating minimum air volume rate and 
outdoor temperature Tj using Eqs. 4.2.2-3 and 4.2.2-4, 
respectively. Use these same equations to calculate the space 
heating capacity, Qhk=2(Tj) and electrical power 
consumption, Ehk=2(Tj), of the test unit when operating 
at the heating full-load air volume rate and outdoor temperature 
Tj. In evaluating Eqs. 4.2.2-3 and 4.2.2- 4, determine 
the quantities Qhk=1(47) and Ehk=1(47) from 
the H11 test; determine Qhk=2 (47) and 
Ehk=2(47) from the H12 test. Evaluate all four 
quantities according to section 3.7 of this appendix. Determine the 
quantities Qhk=1(35) and Ehk=1(35) as 
specified in section 3.6.2 of this appendix. Determine 
Qhk=2(35) and Ehk=2(35) from the 
H22 frost accumulation test as calculated according to 
section 3.9.1 of this appendix. Determine the quantities 
Qhk=1(17) and Ehk=1(17) from the 
H31 test, and Qhk=2(17) and 
Ehk=2(17) from the H32 test. Evaluate all four 
quantities according to section 3.10 of this appendix. Refer to 
section 3.6.2 and Table 12 of this appendix for additional 
information on the referenced laboratory tests.
    b. Determine the heating mode cyclic degradation coefficient, 
CDh, as per sections

[[Page 1531]]

3.6.2 and 3.8 to 3.8.1 of this appendix. Assign this same value to 
CDh(k = 2).
    c. Except for using the above values of Qhk=1(Tj), 
Ehk=1(Tj),Qhk=2(Tj),Ehk=2(Tj), CDh, 
and CDh(k = 2), calculate the quantities eh(Tj)/N as 
specified in section 4.2.3.1 of this appendix for cases where 
Qhk=1(Tj) >= BL(Tj). For all other outdoor bin 
temperatures, Tj, calculate eh(Tj)/N and RHh(Tj)/N as 
specified in section 4.2.3.3 of this appendix if 
Qhk=2(Tj) > BL(Tj) or as specified in section 4.2.3.4 of 
this appendix if Qhk=2(Tj) <= BL(Tj).

4.2.7.2 For Multiple Indoor Blower Heat Pumps Connected to Either a 
Single Outdoor Unit With a Two-capacity Compressor or to Two Separate 
Single-Speed Outdoor Units of Identical Model, calculate the quantities 
eh(Tj)/N and RH(Tj)/N as specified in section 
4.2.3 of this appendix.

4.3 Calculations of Off-mode Power Consumption

    For central air conditioners and heat pumps with a cooling 
capacity of:
    Less than 36,000 Btu/h, determine the off mode represented 
value, PW,OFF, with the following equation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.140

greater than or equal to 36,000 Btu/h, calculate the capacity 
scaling factor according to:
[GRAPHIC] [TIFF OMITTED] TR05JA17.141

where QC(95) is the total cooling capacity at the A or A2 
test condition, and determine the off mode represented value, 
PW,OFF, with the following equation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.142

4.4 Rounding of SEER and HSPF for Reporting Purposes

    After calculating SEER according to section 4.1 of this appendix 
and HSPF according to section 4.2 of this appendix round the values 
off as specified per Sec.  430.23(m) of title 10 of the Code of 
Federal Regulations.
[GRAPHIC] [TIFF OMITTED] TR05JA17.143


[[Page 1532]]


[GRAPHIC] [TIFF OMITTED] TR05JA17.144


    Table 22--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
                                           Cooling load    Heating load
             Climatic region                hours CLHR      hours HLHR
------------------------------------------------------------------------
I.......................................           2,400             750
II......................................           1,800           1,250
III.....................................           1,200           1,750
IV......................................             800           2,250
Rating Values...........................           1,000           2,080
V.......................................             400           2,750
VI......................................             200           2,750
------------------------------------------------------------------------

4.5 Calculations of the SHR, Which Should Be Computed for Different 
Equipment Configurations and Test Conditions Specified in Table 23

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

    The SHR is defined and calculated as follows:

[[Page 1533]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.145

Where both the total and sensible cooling capacities are determined 
from the same cooling mode test and calculated from data collected 
over the same 30-minute data collection interval.

4.6 Calculations of the Energy Efficiency Ratio (EER).

    Calculate the energy efficiency ratio using.
    [GRAPHIC] [TIFF OMITTED] TR05JA17.146
    
where Qck(T) and Eck(T) are the space cooling capacity and 
electrical power consumption determined from the 30-minute data 
collection interval of the same steady-state wet coil cooling mode 
test and calculated as specified in section 3.3 of this appendix. 
Add the letter identification for each steady-state test as a 
subscript (e.g., EERA2) to differentiate among the resulting EER 
values.

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

Appendix M1 to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Central Air Conditioners and Heat Pumps

    Prior to January 1, 2023, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of central air conditioners and central air 
conditioning heat pumps must be based on the results of testing 
pursuant to appendix M of this subpart.
    On or after January 1, 2023, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of central air conditioners and central air 
conditioning heat pumps must be based on the results of testing 
pursuant to this appendix.

1 Scope and Definitions

1.1 Scope

    This test procedure provides a method of determining SEER2, 
EER2, HSPF2 and PW,OFF for central air conditioners and 
central air conditioning heat pumps including the following 
categories:
    (h) Split-system air conditioners, including single-split, 
multi-head mini-split, multi-split (including VRF), and multi-
circuit systems
    (i) Split-system heat pumps, including single-split, multi-head 
mini-split, multi-split (including VRF), and multi-circuit systems
    (j) Single-package air conditioners
    (k) Single-package heat pumps
    (l) Small-duct, high-velocity systems (including VRF)
    (m) Space-constrained products--air conditioners
    (n) Space-constrained products--heat pumps
    For the purposes of this appendix, the Department of Energy 
incorporates by reference specific sections of several industry 
standards, as listed in Sec.  430.3. In cases where there is a 
conflict, the language of the test procedure in this appendix takes 
precedence over the incorporated standards.
    All section references refer to sections within this appendix 
unless otherwise stated.

1.2 Definitions

    Airflow-control settings are programmed or wired control system 
configurations that control a fan to achieve discrete, differing 
ranges of airflow--often designated for performing a specific 
function (e.g., cooling, heating, or constant circulation)--without 
manual adjustment other than interaction with a user-operable 
control (i.e., a thermostat) that meets the manufacturer 
specifications for installed-use. For the purposes of this appendix, 
manufacturer specifications for installed-use are those found in the 
product literature shipped with the unit.
    Air sampling device is an assembly consisting of a manifold with 
several branch tubes with multiple sampling holes that draws an air 
sample from a critical location from the unit under test (e.g. 
indoor air inlet, indoor air outlet, outdoor air inlet, etc.).
    Airflow prevention device denotes a device that prevents airflow 
via natural convection by mechanical means, such as an air damper 
box, or by means of changes in duct height, such as an upturned 
duct.
    Aspirating psychrometer is a piece of equipment with a monitored 
airflow section that draws uniform airflow through the measurement 
section and has probes for measurement of air temperature and 
humidity.
    Blower coil indoor unit means an indoor unit either with an 
indoor blower housed with the coil or with a separate designated air 
mover such as a furnace or a modular blower (as defined in appendix 
AA to this subpart).
    Blower coil system refers to a split system that includes one or 
more blower coil indoor units.
    Cased coil means a coil-only indoor unit with external 
cabinetry.
    Ceiling-mount blower coil system means a split system for which 
a) the outdoor unit has a certified cooling capacity less than or 
equal to 36,000 Btu/h; b) the indoor unit(s) is/are shipped with 
manufacturer-supplied installation instructions that specify to 
secure the indoor unit only to the ceiling, within a furred-down 
space, or above a dropped ceiling of the conditioned space, with 
return air directly to the bottom of the unit without ductwork, or 
through the furred-down space, or optional insulated return air 
plenum that is shipped with the indoor unit; c) the installed height 
of the indoor unit is no more than 12 inches (not including 
condensate drain lines) and the installed depth (in the direction of 
airflow) of the indoor unit is no more than 30 inches; and d) supply 
air is discharged horizontally.
    Coefficient of Performance (COP) means the ratio of the average 
rate of space heating delivered to the average rate of electrical 
energy consumed by the heat pump. Determine these rate quantities 
from a single test or, if derived via interpolation, determine at a 
single set of operating conditions. COP is a dimensionless quantity. 
When determined for a ducted coil-only system, COP must be 
calculated using the default values for heat output and power input 
of a fan motor specified in sections 3.7 and 3.9.1 of this appendix.
    Coil-only indoor unit means an indoor unit that is distributed 
in commerce without an indoor blower or separate designated air 
mover. A coil-only indoor unit installed in the field relies on a 
separately installed furnace or a modular blower for indoor air 
movement.

[[Page 1534]]

    Coil-only system means a system that includes only (one or more) 
coil-only indoor units.
    Condensing unit removes the heat absorbed by the refrigerant to 
transfer it to the outside environment and consists of an outdoor 
coil, compressor(s), and air moving device.
    Constant-air-volume-rate indoor blower means a fan that varies 
its operating speed to provide a fixed air-volume-rate from a ducted 
system.
    Continuously recorded, when referring to a dry bulb measurement, 
dry bulb temperature used for test room control, wet bulb 
temperature, dew point temperature, or relative humidity 
measurements, means that the specified value must be sampled at 
regular intervals that are equal to or less than 15 seconds.
    Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating 
interval consisting of one ON period and one OFF period, and as its 
denominator the total cooling that would be delivered, given the 
same ambient conditions, had the unit operated continuously at its 
steady-state, space-cooling capacity for the same total time (ON + 
OFF) interval.
    Crankcase heater means any electrically powered device or 
mechanism for intentionally generating heat within and/or around the 
compressor sump volume. Crankcase heater control may be achieved 
using a timer or may be based on a change in temperature or some 
other measurable parameter, such that the crankcase heater is not 
required to operate continuously. A crankcase heater without 
controls operates continuously when the compressor is not operating.
    Cyclic Test means a test where the unit's compressor is cycled 
on and off for specific time intervals. A cyclic test provides half 
the information needed to calculate a degradation coefficient.
    Damper box means a short section of duct having an air damper 
that meets the performance requirements of section 2.5.7 of this 
appendix.
    Degradation coefficient (CD) means a parameter used in 
calculating the part load factor. The degradation coefficient for 
cooling is denoted by CD\c\. The degradation coefficient 
for heating is denoted by CD\h\.
    Demand-defrost control system means a system that defrosts the 
heat pump outdoor coil-only when measuring a predetermined 
degradation of performance. The heat pump's controls either:
    (1) Monitor one or more parameters that always vary with the 
amount of frost accumulated on the outdoor coil (e.g., coil to air 
differential temperature, coil differential air pressure, outdoor 
fan power or current, optical sensors) at least once for every ten 
minutes of compressor ON-time when space heating; or
    (2) Operate as a feedback system that measures the length of the 
defrost period and adjusts defrost frequency accordingly. In all 
cases, when the frost parameter(s) reaches a predetermined value, 
the system initiates a defrost. In a demand-defrost control system, 
defrosts are terminated based on monitoring a parameter(s) that 
indicates that frost has been eliminated from the coil. (Note: 
Systems that vary defrost intervals according to outdoor dry-bulb 
temperature are not demand-defrost systems.) A demand-defrost 
control system, which otherwise meets the requirements, may allow 
time-initiated defrosts if, and only if, such defrosts occur after 6 
hours of compressor operating time.
    Design heating requirement (DHR) predicts the space heating load 
of a residence when subjected to outdoor design conditions. 
Estimates for the minimum and maximum DHR are provided for six 
generalized U.S. climatic regions in section 4.2 of this appendix.
    Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor unit is maintained low 
enough that no condensate forms on the evaporator coil.
    Ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and delivers 
conditioned air to the indoor space through a duct(s). The air 
conditioner or heat pump may be either a split-system or a single-
package unit.
    Energy efficiency ratio (EER) means the ratio of the average 
rate of space cooling delivered to the average rate of electrical 
energy consumed by the air conditioner or heat pump. Determine these 
rate quantities from a single test or, if derived via interpolation, 
determine at a single set of operating conditions. EER is expressed 
in units of
[GRAPHIC] [TIFF OMITTED] TR05JA17.147

When determined for a ducted coil-only system, EER must include, 
from this appendix, the section 3.3 and 3.5.1 default values for the 
heat output and power input of a fan motor. The represented value of 
EER determined in accordance with appendix M1 is EER2.
    Evaporator coil means an assembly that absorbs heat from an 
enclosed space and transfers the heat to a refrigerant.
    Heat pump means a kind of central air conditioner that utilizes 
an indoor conditioning coil, compressor, and refrigerant-to-outdoor 
air heat exchanger to provide air heating, and may also provide air 
cooling, air dehumidifying, air humidifying, air circulating, and 
air cleaning.
    Heat pump having a heat comfort controller means a heat pump 
with controls that can regulate the operation of the electric 
resistance elements to assure that the air temperature leaving the 
indoor section does not fall below a specified temperature. Heat 
pumps that actively regulate the rate of electric resistance heating 
when operating below the balance point (as the result of a second 
stage call from the thermostat) but do not operate to maintain a 
minimum delivery temperature are not considered as having a heat 
comfort controller.
    Heating load factor (HLF) means the ratio having as its 
numerator the total heating delivered during a cyclic operating 
interval consisting of one ON period and one OFF period, and its 
denominator the heating capacity measured at the same test 
conditions used for the cyclic test, multiplied by the total time 
interval (ON plus OFF) of the cyclic-test.
    Heating season means the months of the year that require 
heating, e.g., typically, and roughly, October through April.
    Heating seasonal performance factor 2 (HSPF2) means the total 
space heating required during the heating season, expressed in Btu, 
divided by the total electrical energy consumed by the heat pump 
system during the same season, expressed in watt-hours. The HSPF2 
used to evaluate compliance with 10 CFR 430.32(c) is based on Region 
IV and the sampling plan stated in 10 CFR 429.16(a). HSPF2 is 
determined in accordance with appendix M1.
    Independent coil manufacturer (ICM) means a manufacturer that 
manufactures indoor units but does not manufacture single-package 
units or outdoor units.
    Indoor unit means a separate assembly of a split system that 
includes--
    (a) An arrangement of refrigerant-to-air heat transfer coil(s) 
for transfer of heat between the refrigerant and the indoor air,
    (b) A condensate drain pan, and may or may not include,
    (c) Sheet metal or plastic parts not part of external cabinetry 
to direct/route airflow over the coil(s),
    (d) A cooling mode expansion device,
    (e) External cabinetry, and
    (f) An integrated indoor blower (i.e. a device to move air 
including its associated motor). A separate designated air mover 
that may be a furnace or a modular blower (as defined in appendix AA 
to the subpart) may be considered to be part of the indoor unit. A 
service coil is not an indoor unit.
    Low-static blower coil system means a ducted multi-split or 
multi-head mini-split system for which all indoor units produce 
greater than 0.01 in. wc. and a maximum of 0.35 in. wc. external 
static pressure when operated at the cooling full-load air volume 
rate not exceeding 400 cfm per rated ton of cooling.
    Mid-static blower coil system means a ducted multi-split or 
multi-head mini-split system for which all indoor units produce 
greater than 0.20 in. wc. and a maximum of 0.65 in. wc. when 
operated at the cooling full-load air volume rate not exceeding 400 
cfm per rated ton of cooling.
    Minimum-speed-limiting variable-speed heat pump means a heat 
pump for which the compressor speed (represented by revolutions per 
minute or motor power input frequency) is higher than its value for 
operation in a 47[emsp14][deg]F ambient temperature for any bin 
temperature Tj for which the calculated heating load is 
less than the calculated intermediate-speed capacity.
    Mobile home blower coil system means a split system that 
contains an outdoor unit and an indoor unit that meet the following 
criteria:
    (1) Both the indoor and outdoor unit are shipped with 
manufacturer-supplied installation instructions that specify 
installation only in a mobile home with the home and equipment 
complying with HUD Manufactured Home Construction Safety Standard 24 
CFR part 3280;
    (2) The indoor unit cannot exceed 0.40 in. wc. when operated at 
the cooling full-load air

[[Page 1535]]

volume rate not exceeding 400 cfm per rated ton of cooling; and
    (3) The indoor and outdoor unit each must bear a label in at 
least \1/4\ inch font that reads ``For installation only in HUD 
manufactured home per Construction Safety Standard 24 CFR part 
3280.''
    Mobile home coil-only system means a coil-only split system that 
includes an outdoor unit and coil-only indoor unit that meet the 
following criteria:
    (1) The outdoor unit is shipped with manufacturer-supplied 
installation instructions that specify installation only for mobile 
homes that comply with HUD Manufactured Home Construction Safety 
Standard 24 CFR part 3280,
    (2) The coil-only indoor unit is shipped with manufacturer-
supplied installation instructions that specify installation only in 
or with a mobile home furnace, modular blower, or designated air 
mover that complies with HUD Manufactured Home Construction Safety 
Standard 24 CFR part 3280, and has dimensions no greater than 20'' 
wide, 34'' high and 21'' deep, and
    (3) The coil-only indoor unit and outdoor unit each has a label 
in at least \1/4\ inch font that reads ``For installation only in 
HUD manufactured home per Construction Safety Standard 24 CFR part 
3280.''
    Multi-head mini-split system means a split system that has one 
outdoor unit and that has two or more indoor units connected with a 
single refrigeration circuit. The indoor units operate in unison in 
response to a single indoor thermostat.
    Multiple-circuit (or multi-circuit) system means a split system 
that has one outdoor unit and that has two or more indoor units 
installed on two or more refrigeration circuits such that each 
refrigeration circuit serves a compressor and one and only one 
indoor unit, and refrigerant is not shared from circuit to circuit.
    Multiple-split (or multi-split) system means a split system that 
has one outdoor unit and two or more coil-only indoor units and/or 
blower coil indoor units connected with a single refrigerant 
circuit. The indoor units operate independently and can condition 
multiple zones in response to at least two indoor thermostats or 
temperature sensors. The outdoor unit operates in response to 
independent operation of the indoor units based on control input of 
multiple indoor thermostats or temperature sensors, and/or based on 
refrigeration circuit sensor input (e.g., suction pressure).
    Nominal capacity means the capacity that is claimed by the 
manufacturer on the product name plate. Nominal cooling capacity is 
approximate to the air conditioner cooling capacity tested at A or 
A2 condition. Nominal heating capacity is approximate to 
the heat pump heating capacity tested in the H1N test.
    Non-ducted indoor unit means an indoor unit that is designed to 
be permanently installed, mounted on room walls and/or ceilings, and 
that directly heats or cools air within the conditioned space.
    Normalized Gross Indoor Fin Surface (NGIFS) means the gross fin 
surface area of the indoor unit coil divided by the cooling capacity 
measured for the A or A2 Test, whichever applies.
    Off-mode power consumption means the power consumption when the 
unit is connected to its main power source but is neither providing 
cooling nor heating to the building it serves.
    Off-mode season means, for central air conditioners other than 
heat pumps, the shoulder season and the entire heating season; and 
for heat pumps, the shoulder season only.
    Outdoor unit means a separate assembly of a split system that 
transfers heat between the refrigerant and the outdoor air, and 
consists of an outdoor coil, compressor(s), an air moving device, 
and in addition for heat pumps, may include a heating mode expansion 
device, reversing valve, and/or defrost controls.
    Outdoor unit manufacturer (OUM) means a manufacturer of single-
package units, outdoor units, and/or both indoor units and outdoor 
units.
    Part-load factor (PLF) means the ratio of the cyclic EER (or COP 
for heating) to the steady-state EER (or COP), where both EERs (or 
COPs) are determined based on operation at the same ambient 
conditions.
    Seasonal energy efficiency ratio 2 (SEER2) means the total heat 
removed from the conditioned space during the annual cooling season, 
expressed in Btu's, divided by the total electrical energy consumed 
by the central air conditioner or heat pump during the same season, 
expressed in watt-hours. SEER2 is determined in accordance with 
appendix M1.
    Service coil means an arrangement of refrigerant-to-air heat 
transfer coil(s), condensate drain pan, sheet metal or plastic parts 
to direct/route airflow over the coil(s), which may or may not 
include external cabinetry and/or a cooling mode expansion device, 
distributed in commerce solely for replacing an uncased coil or 
cased coil that has already been placed into service, and that has 
been labeled ``for indoor coil replacement only'' on the nameplate 
and in manufacturer technical and product literature. The model 
number for any service coil must include some mechanism (e.g., an 
additional letter or number) for differentiating a service coil from 
a coil intended for an indoor unit.
    Shoulder season means the months of the year in between those 
months that require cooling and those months that require heating, 
e.g., typically, and roughly, April through May, and September 
through October.
    Single-package unit means any central air conditioner or heat 
pump that has all major assemblies enclosed in one cabinet.
    Single-split system means a split system that has one outdoor 
unit and one indoor unit connected with a single refrigeration 
circuit.
    Small-duct, high-velocity system means a split system for which 
all indoor units are blower coil indoor units that produce at least 
1.2 inches (of water column) of external static pressure when 
operated at the full-load air volume rate certified by the 
manufacturer of at least 220 scfm per rated ton of cooling.
    Split system means any central air conditioner or heat pump that 
has at least two separate assemblies that are connected with 
refrigerant piping when installed. One of these assemblies includes 
an indoor coil that exchanges heat with the indoor air to provide 
heating or cooling, while one of the others includes an outdoor coil 
that exchanges heat with the outdoor air. Split systems may be 
either blower coil systems or coil-only systems.
    Standard Air means dry air having a mass density of 0.075 lb/
ft\3\.
    Steady-state test means a test where the test conditions are 
regulated to remain as constant as possible while the unit operates 
continuously in the same mode.
    Temperature bin means the 5[emsp14][deg]F increments that are 
used to partition the outdoor dry-bulb temperature ranges of the 
cooling (>=65[emsp14][deg]F) and heating (<65[emsp14][deg]F) 
seasons.
    Test condition tolerance means the maximum permissible 
difference between the average value of the measured test parameter 
and the specified test condition.
    Test operating tolerance means the maximum permissible range 
that a measurement may vary over the specified test interval. The 
difference between the maximum and minimum sampled values must be 
less than or equal to the specified test operating tolerance.
    Tested combination means a multi-head mini-split, multi-split, 
or multi-circuit system having the following features:
    (1) The system consists of one outdoor unit with one or more 
compressors matched with between two and five indoor units;
    (2) The indoor units must:
    (i) Collectively, have a nominal cooling capacity greater than 
or equal to 95 percent and less than or equal to 105 percent of the 
nominal cooling capacity of the outdoor unit;
    (ii) Each represent the highest sales volume model family, if 
this is possible while meeting all the requirements of this section. 
If this is not possible, one or more of the indoor units may 
represent another indoor model family in order that all the other 
requirements of this section are met.
    (iii) Individually not have a nominal cooling capacity greater 
than 50 percent of the nominal cooling capacity of the outdoor unit, 
unless the nominal cooling capacity of the outdoor unit is 24,000 
Btu/h or less;
    (iv) Operate at fan speeds consistent with manufacturer's 
specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement while able to produce the same external static pressure 
at the exit of each outlet plenum when connected in a manifold 
configuration as required by the test procedure.
    (3) Where referenced, ``nominal cooling capacity'' means, for 
indoor units, the highest cooling capacity listed in published 
product literature for 95[emsp14][deg]F outdoor dry bulb temperature 
and 80[emsp14][deg]F dry bulb, 67[emsp14][deg]F wet bulb indoor 
conditions, and for outdoor units, the lowest cooling capacity 
listed in published product literature for these conditions. If 
incomplete or no operating conditions are published, use the highest 
(for indoor units) or lowest (for outdoor units) such cooling 
capacity available for sale.
    Time-adaptive defrost control system is a demand-defrost control 
system that measures the length of the prior defrost period(s) and 
uses that information to automatically determine when to initiate 
the next defrost cycle.

[[Page 1536]]

    Time-temperature defrost control systems initiate or evaluate 
initiating a defrost cycle only when a predetermined cumulative 
compressor ON-time is obtained. This predetermined ON-time is 
generally a fixed value (e.g., 30, 45, 90 minutes) although it may 
vary based on the measured outdoor dry-bulb temperature. The ON-time 
counter accumulates if controller measurements (e.g., outdoor 
temperature, evaporator temperature) indicate that frost formation 
conditions are present, and it is reset/remains at zero at all other 
times. In one application of the control scheme, a defrost is 
initiated whenever the counter time equals the predetermined ON-
time. The counter is reset when the defrost cycle is completed.
    In a second application of the control scheme, one or more 
parameters are measured (e.g., air and/or refrigerant temperatures) 
at the predetermined, cumulative, compressor ON-time. A defrost is 
initiated only if the measured parameter(s) falls within a 
predetermined range. The ON-time counter is reset regardless of 
whether or not a defrost is initiated. If systems of this second 
type use cumulative ON-time intervals of 10 minutes or less, then 
the heat pump may qualify as having a demand defrost control system 
(see definition).
    Triple-capacity, northern heat pump means a heat pump that 
provides two stages of cooling and three stages of heating. The two 
common stages for both the cooling and heating modes are the low 
capacity stage and the high capacity stage. The additional heating 
mode stage is the booster capacity stage, which offers the highest 
heating capacity output for a given set of ambient operating 
conditions.
    Triple-split system means a split system that is composed of 
three separate assemblies: An outdoor fan coil section, a blower 
coil indoor unit, and an indoor compressor section.
    Two-capacity (or two-stage) compressor system means a central 
air conditioner or heat pump that has a compressor or a group of 
compressors operating with only two stages of capacity. For such 
systems, low capacity means the compressor(s) operating at low 
stage, or at low load test conditions. The low compressor stage that 
operates for heating mode tests may be the same or different from 
the low compressor stage that operates for cooling mode tests. For 
such systems, high capacity means the compressor(s) operating at 
high stage, or at full load test conditions.
    Two-capacity, northern heat pump means a heat pump that has a 
factory or field-selectable lock-out feature to prevent space 
cooling at high-capacity. Two-capacity heat pumps having this 
feature will typically have two sets of ratings, one with the 
feature disabled and one with the feature enabled. The heat pump is 
a two-capacity northern heat pump only when this feature is enabled 
at all times. The certified indoor coil model number must reflect 
whether the ratings pertain to the lockout enabled option via the 
inclusion of an extra identifier, such as ``+LO''. When testing as a 
two-capacity, northern heat pump, the lockout feature must remain 
enabled for all tests.
    Uncased coil means a coil-only indoor unit without external 
cabinetry.
    Variable refrigerant flow (VRF) system means a multi-split 
system with at least three compressor capacity stages, distributing 
refrigerant through a piping network to multiple indoor blower coil 
units each capable of individual zone temperature control, through 
proprietary zone temperature control devices and a common 
communications network. Note: Single-phase VRF systems less than 
65,000 Btu/h are central air conditioners and central air 
conditioning heat pumps.
    Variable-speed compressor system means a central air conditioner 
or heat pump that has a compressor that uses a variable-speed drive 
to vary the compressor speed to achieve variable capacities. Wall-
mount blower coil system means a split system air conditioner or 
heat pump for which:
    (a) The outdoor unit has a certified cooling capacity less than 
or equal to 36,000 Btu/h;
    (b) The indoor unit(s) is/are shipped with manufacturer-supplied 
installation instructions that specify mounting only by:
    (1) Securing the back side of the unit to a wall within the 
conditioned space, or
    (2) Securing the unit to adjacent wall studs or in an enclosure, 
such as a closet, such that the indoor unit's front face is flush 
with a wall in the conditioned space;
    (c) Has front air return without ductwork and is not capable of 
horizontal air discharge; and
    (d) Has a height no more than 45 inches, a depth (perpendicular 
to the wall) no more than 22 inches (including tubing connections), 
and a width no more than 24 inches (parallel to the wall).
    Wet-coil test means a test conducted at test conditions that 
typically cause water vapor to condense on the test unit evaporator 
coil.

2 Testing Overview and Conditions

    (A) Test VRF systems using AHRI 1230-2010 (incorporated by 
reference, see Sec.  430.3) and appendix M. Where AHRI 1230-2010 
refers to the appendix C therein substitute the provisions of this 
appendix. In cases where there is a conflict, the language of the 
test procedure in this appendix takes precedence over AHRI 1230-
2010.
    For definitions use section 1 of appendix M and section 3 of 
AHRI 1230-2010. For rounding requirements, refer to Sec.  430.23(m). 
For determination of certified ratings, refer to Sec.  429.16 of 
this chapter.
    For test room requirements, refer to section 2.1 of this 
appendix. For test unit installation requirements refer to sections 
2.2.a, 2.2.b, 2.2.c, 2.2.1, 2.2.2, 2.2.3.a, 2.2.3.c, 2.2.4, 2.2.5, 
and 2.4 to 2.12 of this appendix, and sections 5.1.3 and 5.1.4 of 
AHRI 1230-2010. The ``manufacturer's published instructions,'' as 
stated in section 8.2 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3) and ``manufacturer's installation 
instructions'' discussed in this appendix mean the manufacturer's 
installation instructions that come packaged with or appear in the 
labels applied to the unit. This does not include online manuals. 
Installation instructions that appear in the labels applied to the 
unit take precedence over installation instructions that are shipped 
with the unit.
    For general requirements for the test procedure, refer to 
section 3.1 of this appendix, except for sections 3.1.3 and 3.1.4, 
which are requirements for indoor air volume and outdoor air volume. 
For indoor air volume and outdoor air volume requirements, refer 
instead to section 6.1.5 (except where section 6.1.5 refers to Table 
8, refer instead to Table 4 of this appendix) and 6.1.6 of AHRI 
1230-2010.
    For the test method, refer to sections 3.3 to 3.5 and 3.7 to 
3.13 of this appendix. For cooling mode and heating mode test 
conditions, refer to section 6.2 of AHRI 1230-2010. For calculations 
of seasonal performance descriptors, refer to section 4 of this 
appendix.
    (B) For systems other than VRF, only a subset of the sections 
listed in this test procedure apply when testing and determining 
represented values for a particular unit. Table 1 shows the sections 
of the test procedure that apply to each system. This table is meant 
to assist manufacturers in finding the appropriate sections of the 
test procedure; the appendix sections rather than the table provide 
the specific requirements for testing, and given the varied nature 
of available units, manufacturers are responsible for determining 
which sections apply to each unit tested based on the model 
characteristics. To use this table, first refer to the sections 
listed under ``all units''. Then refer to additional requirements 
based on:
    (1) System configuration(s),
    (2) The compressor staging or modulation capability, and
    (3) Any special features.
    Testing requirements for space-constrained products do not 
differ from similar equipment that is not space-constrained and thus 
are not listed separately in this table. Air conditioners and heat 
pumps are not listed separately in this table, but heating 
procedures and calculations apply only to heat pumps.

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[[Page 1540]]



2.1 Test Room Requirements.

    a. Test using two side-by-side rooms: An indoor test room and an 
outdoor test room. For multiple-split, single-zone-multi-coil or 
multi-circuit air conditioners and heat pumps, however, use as many 
indoor test rooms as needed to accommodate the total number of 
indoor units. These rooms must comply with the requirements 
specified in sections 8.1.2 and 8.1.3 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3).
    b. Inside these test rooms, use artificial loads during cyclic 
tests and frost accumulation tests, if needed, to produce stabilized 
room air temperatures. For one room, select an electric resistance 
heater(s) having a heating capacity that is approximately equal to 
the heating capacity of the test unit's condenser. For the second 
room, select a heater(s) having a capacity that is close to the 
sensible cooling capacity of the test unit's evaporator. Cycle the 
heater located in the same room as the test unit evaporator coil ON 
and OFF when the test unit cycles ON and OFF. Cycle the heater 
located in the same room as the test unit condensing coil ON and OFF 
when the test unit cycles OFF and ON.

2.2 Test Unit Installation Requirements.

    a. Install the unit according to section 8.2 of ANSI/ASHRAE 37-
2009 (incorporated by reference, see Sec.  430.3), subject to the 
following additional requirements:
    (1) When testing split systems, follow the requirements given in 
section 6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see 
Sec.  430.3). For the vapor refrigerant line(s), use the insulation 
included with the unit; if no insulation is provided, use insulation 
meeting the specifications for the insulation in the installation 
instructions included with the unit by the manufacturer; if no 
insulation is included with the unit and the installation 
instructions do not contain provisions for insulating the line(s), 
fully insulate the vapor refrigerant line(s) with vapor proof 
insulation having an inside diameter that matches the refrigerant 
tubing and a nominal thickness of at least 0.5 inches. For the 
liquid refrigerant line(s), use the insulation included with the 
unit; if no insulation is provided, use insulation meeting the 
specifications for the insulation in the installation instructions 
included with the unit by the manufacturer; if no insulation is 
included with the unit and the installation instructions do not 
contain provisions for insulating the line(s), leave the liquid 
refrigerant line(s) exposed to the air for air conditioners and heat 
pumps that heat and cool; or, for heating-only heat pumps, insulate 
the liquid refrigerant line(s) with insulation having an inside 
diameter that matches the refrigerant tubing and a nominal thickness 
of at least 0.5 inches. However, these requirements do not take 
priority over instructions for application of insulation for the 
purpose of improving refrigerant temperature measurement accuracy as 
required by sections 2.10.2 and 2.10.3 of this appendix. Insulation 
must be the same for the cooling and heating tests.
    (2) When testing split systems, if the indoor unit does not ship 
with a cooling mode expansion device, test the system using the 
device as specified in the installation instructions provided with 
the indoor unit. If none is specified, test the system using a fixed 
orifice or piston type expansion device that is sized appropriately 
for the system.
    (3) When testing triple-split systems (see section 1.2 of this 
appendix, Definitions), use the tubing length specified in section 
6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see Sec.  
430.3) to connect the outdoor coil, indoor compressor section, and 
indoor coil while still meeting the requirement of exposing 10 feet 
of the tubing to outside conditions;
    (4) When testing split systems having multiple indoor coils, 
connect each indoor blower coil unit to the outdoor unit using:
    (a) 25 feet of tubing, or
    (b) Tubing furnished by the manufacturer, whichever is longer.
    (5) When testing split systems having multiple indoor coils, 
expose at least 10 feet of the system interconnection tubing to the 
outside conditions. If they are needed to make a secondary 
measurement of capacity or for verification of refrigerant charge, 
install refrigerant pressure measuring instruments as described in 
section 8.2.5 of ANSI/ASHRAE 37-2009 (incorporated by reference, see 
Sec.  430.3). Section 2.10 of this appendix specifies which 
secondary methods require refrigerant pressure measurements and 
section 2.2.5.5 of this appendix discusses use of pressure 
measurements to verify charge. At a minimum, insulate the low-
pressure line(s) of a split system with insulation having an inside 
diameter that matches the refrigerant tubing and a nominal thickness 
of 0.5 inch.
    b. For units designed for both horizontal and vertical 
installation or for both up-flow and down-flow vertical 
installations, use the orientation for testing specified by the 
manufacturer in the certification report. Conduct testing with the 
following installed:
    (1) The most restrictive filter(s);
    (2) Supplementary heating coils; and
    (3) Other equipment specified as part of the unit, including all 
hardware used by a heat comfort controller if so equipped (see 
section 1 of this appendix, Definitions). For small-duct, high-
velocity systems, configure all balance dampers or restrictor 
devices on or inside the unit to fully open or lowest restriction.
    c. Testing a ducted unit without having an indoor air filter 
installed is permissible as long as the minimum external static 
pressure requirement is adjusted as stated in Table 4, note 3 (see 
section 3.1.4 of this appendix). Except as noted in section 3.1.10 
of this appendix, prevent the indoor air supplementary heating coils 
from operating during all tests. For uncased coils, create an 
enclosure using 1 inch fiberglass foil-faced ductboard having a 
nominal density of 6 pounds per cubic foot. Or alternatively, 
construct an enclosure using sheet metal or a similar material and 
insulating material having a thermal resistance (``R'' value) 
between 4 and 6 hr [middot] ft\2\ [middot] [deg]F/Btu. Size the 
enclosure and seal between the coil and/or drainage pan and the 
interior of the enclosure as specified in installation instructions 
shipped with the unit. Also seal between the plenum and inlet and 
outlet ducts.
    d. When testing a coil-only system, install a toroidal-type 
transformer to power the system's low-voltage components, complying 
with any additional requirements for the transformer mentioned in 
the installation manuals included with the unit by the system 
manufacturer. If the installation manuals do not provide 
specifications for the transformer, use a transformer having the 
following features:
    (1) A nominal volt-amp rating such that the transformer is 
loaded between 25 and 90 percent of this rating for the highest 
level of power measured during the off mode test (section 3.13 of 
this appendix);
    (2) Designed to operate with a primary input of 230 V, single 
phase, 60 Hz; and
    (3) That provides an output voltage that is within the specified 
range for each low-voltage component. Include the power consumption 
of the components connected to the transformer as part of the total 
system power consumption during the off mode tests; do not include 
the power consumed by the transformer when no load is connected to 
it.
    e. Test an outdoor unit with no match (i.e., that is not 
distributed in commerce with any indoor units) using a coil-only 
indoor unit with a single cooling air volume rate whose coil has:
    (1) Round tubes of outer diameter no less than 0.375 inches, and
    (2) A normalized gross indoor fin surface (NGIFS) no greater 
than 1.0 square inch per British thermal unit per hour (sq. in./Btu/
hr). NGIFS is calculated as follows:
    NGIFS = 2 x Lf x Wf x Nf / Qc(95)
where,

Lf = Indoor coil fin length in inches, also height of the 
coil transverse to the tubes.

Wf = Indoor coil fin width in inches, also depth of the 
coil.

Nf = Number of fins.

Qc = the measured space cooling capacity of the tested outdoor unit/
indoor unit combination as determined from the A2 or A 
Test whichever applies, Btu/h.

    f. If the outdoor unit or the outdoor portion of a single-
package unit has a drain pan heater to prevent freezing of defrost 
water, energize the heater, subject to control to de-energize it 
when not needed by the heater's thermostat or the unit's control 
system, for all tests.
    g. If pressure measurement devices are connected to a cooling/
heating heat pump refrigerant circuit, the refrigerant charge 
Mt that could potentially transfer out of the connected 
pressure measurement systems (transducers, gauges, connections, and 
lines) between operating modes must be less than 2 percent of the 
factory refrigerant charge listed on the nameplate of the outdoor 
unit. If the outdoor unit nameplate has no listed refrigerant 
charge, or the heat pump is shipped without a refrigerant charge, 
use a factory refrigerant charge equal to 30 ounces per ton of 
certified cooling capacity. Use Equation 2.2-1 to calculate 
Mt for heat pumps that have a single expansion device 
located in the outdoor unit to serve each indoor unit, and use 
Equation 2.2-2 to calculate Mt for heat pumps that have 
two expansion devices per indoor unit.

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where:

Vi (i=2,3,4 . . .) = the internal volume of the pressure 
measurement system (pressure lines, fittings, and gauge and/or 
transducer) at the location i (as indicated in Table 2), (cubic 
inches)

fi (i=5,6) = 0 if the pressure measurement system is 
pitched upwards from the pressure tap location to the gauge or 
transducer, 1 if it is not.

r = the density associated with liquid refrigerant at 100 [deg]F 
bubble point conditions (ounces per cubic inch)

                 Table 2--Pressure Measurement Locations
------------------------------------------------------------------------
                             Location
------------------------------------------------------------------------
Compressor Discharge.............................................      1
Between Outdoor Coil and Outdoor Expansion Valve(s)..............      2
Liquid Service Valve.............................................      3
Indoor Coil Inlet................................................      4
Indoor Coil Outlet...............................................      5
Common Suction Port (i.e., vapor service valve)..................      6
Compressor Suction...............................................      7
------------------------------------------------------------------------

    Calculate the internal volume of each pressure measurement 
system using internal volume reported for pressure transducers and 
gauges in product literature, if available. If such information is 
not available, use the value of 0.1 cubic inch internal volume for 
each pressure transducer, and 0.2 cubic inches for each pressure 
gauge.
    In addition, for heat pumps that have a single expansion device 
located in the outdoor unit to serve each indoor unit, the internal 
volume of the pressure system at location 2 (as indicated in Table 
2) must be no more than 1 cubic inches. Once the pressure 
measurement lines are set up, no change should be made until all 
tests are finished.

2.2.1 Defrost Control Settings

    Set heat pump defrost controls at the normal settings which most 
typify those encountered in generalized climatic region IV. (Refer 
to Figure 1 and Table 20 of section 4.2 of this appendix for 
information on region IV.) For heat pumps that use a time-adaptive 
defrost control system (see section 1.2 of this appendix, 
Definitions), the manufacturer must specify in the certification 
report the frosting interval to be used during frost accumulation 
tests and provide the procedure for manually initiating the defrost 
at the specified time.

2.2.2 Special Requirements for Units Having a Multiple-Speed Outdoor 
Fan

    Configure the multiple-speed outdoor fan according to the 
installation manual included with the unit by the manufacturer, and 
thereafter, leave it unchanged for all tests. The controls of the 
unit must regulate the operation of the outdoor fan during all lab 
tests except dry coil cooling mode tests. For dry coil cooling mode 
tests, the outdoor fan must operate at the same speed used during 
the required wet coil test conducted at the same outdoor test 
conditions.

2.2.3 Special Requirements for Multi-Split Air Conditioners and Heat 
Pumps and Ducted Systems Using a Single Indoor Section Containing 
Multiple Indoor Blowers That Would Normally Operate Using Two or More 
Indoor Thermostats

    Because these systems will have more than one indoor blower and 
possibly multiple outdoor fans and compressor systems, references in 
this test procedure to a singular indoor blower, outdoor fan, and/or 
compressor means all indoor blowers, all outdoor fans, and all 
compressor systems that are energized during the test.
    a. Additional requirements for multi-split air conditioners and 
heat pumps. For any test where the system is operated at part load 
(i.e., one or more compressors ``off'', operating at the 
intermediate or minimum compressor speed, or at low compressor 
capacity), the manufacturer must designate in the certification 
report the indoor coil(s) that are not providing heating or cooling 
during the test. For variable-speed systems, the manufacturer must 
designate in the certification report at least one indoor unit that 
is not providing heating or cooling for all tests conducted at 
minimum compressor speed. For all other part-load tests, the 
manufacturer must choose to turn off zero, one, two, or more indoor 
units. The chosen configuration must remain unchanged for all tests 
conducted at the same compressor speed/capacity. For any indoor coil 
that is not providing heating or cooling during a test, cease forced 
airflow through this indoor coil and block its outlet duct.
    b. Additional requirements for ducted split systems with a 
single indoor unit containing multiple indoor blowers (or for 
single-package units with an indoor section containing multiple 
indoor blowers) where the indoor blowers are designed to cycle on 
and off independently of one another and are not controlled such 
that all indoor blowers are modulated to always operate at the same 
air volume rate or speed. For any test where the system is operated 
at its lowest capacity--i.e., the lowest total air volume rate 
allowed when operating the single-speed compressor or when operating 
at low compressor capacity--turn off indoor blowers accounting for 
at least one-third of the full-load air volume rate unless prevented 
by the controls of the unit. In such cases, turn off as many indoor 
blowers as permitted by the unit's controls. Where more than one 
option exists for meeting this ``off'' requirement, the manufacturer 
must indicate in its certification report which indoor blower(s) are 
turned off. The chosen configuration shall remain unchanged for all 
tests conducted at the same lowest capacity configuration. For any 
indoor coil turned off during a test, cease forced airflow through 
any outlet duct connected to a switched-off indoor blower.
    c. For test setups where the laboratory's physical limitations 
require use of more than the required line length of 25 feet as 
listed in section 2.2.a.(4) of this appendix, then the actual 
refrigerant line length used by the laboratory may exceed the 
required length and the refrigerant line length correction factors 
in Table 4 of AHRI 1230-2010 are applied to the cooling capacity 
measured for each cooling mode test.

2.2.4 Wet-Bulb Temperature Requirements for the Air Entering the Indoor 
and Outdoor Coils

2.2.4.1 Cooling Mode Tests

    For wet-coil cooling mode tests, regulate the water vapor 
content of the air entering the indoor unit so that the wet-bulb 
temperature is as listed in Tables 5 to 8. As noted in these same 
tables, achieve a wet-bulb temperature during dry-coil cooling mode 
tests that results in no condensate forming on the indoor coil. 
Controlling the water vapor content of the air entering the outdoor 
side of the unit is not required for cooling mode tests except when 
testing:
    (1) Units that reject condensate to the outdoor coil during wet 
coil tests. Tables 5-8 list the applicable wet-bulb temperatures.
    (2) Single-package units where all or part of the indoor section 
is located in the outdoor test room. The average dew point 
temperature of the air entering the outdoor coil during wet coil 
tests must be within 3.0 [deg]F of the average dew point 
temperature of the air entering the indoor coil over the 30-minute 
data collection interval described in section 3.3 of this appendix. 
For dry coil tests on such units, it may be necessary to limit the 
moisture content of the air entering the outdoor coil of the unit to 
meet the requirements of section 3.4 of this appendix.

2.2.4.2 Heating Mode Tests

    For heating mode tests, regulate the water vapor content of the 
air entering the outdoor unit to the applicable wet-bulb temperature 
listed in Tables 12 to 15. The wet-bulb temperature entering the 
indoor side of the heat pump must not exceed 60 [deg]F. 
Additionally, if the Outdoor Air Enthalpy test method (section 
2.10.1 of this appendix) is used while testing a single-package heat 
pump where all or part of the outdoor section is located in the 
indoor test room, adjust the wet-bulb temperature for the air 
entering the indoor side to yield an indoor-side dew point 
temperature that is as close as reasonably possible to the dew point 
temperature of the outdoor-side entering air.

[[Page 1542]]

2.2.5 Additional Refrigerant Charging Requirements

2.2.5.1 Instructions to Use for Charging

    a. Where the manufacturer's installation instructions contain 
two sets of refrigerant charging criteria, one for field 
installations and one for lab testing, use the field installation 
criteria.
    b. For systems consisting of an outdoor unit manufacturer's 
outdoor section and indoor section with differing charging 
procedures, adjust the refrigerant charge per the outdoor 
installation instructions.
    c. For systems consisting of an outdoor unit manufacturer's 
outdoor unit and an independent coil manufacturer's indoor unit with 
differing charging procedures, adjust the refrigerant charge per the 
indoor unit's installation instructions. If instructions are 
provided only with the outdoor unit or are provided only with an 
independent coil manufacturer's indoor unit, then use the provided 
instructions.

2.2.5.2 Test(s) to Use for Charging

    a. Use the tests or operating conditions specified in the 
manufacturer's installation instructions for charging. The 
manufacturer's installation instructions may specify use of tests 
other than the A or A2 test for charging, but, unless the 
unit is a heating-only heat pump, determine the air volume rate by 
the A or A2 test as specified in section 3.1 of this 
appendix.
    b. If the manufacturer's installation instructions do not 
specify a test or operating conditions for charging or there are no 
manufacturer's instructions, use the following test(s):
    (1) For air conditioners or cooling and heating heat pumps, use 
the A or A2 test.
    (2) For cooling and heating heat pumps that do not operate in 
the H1 or H12 test (e.g. due to shut down by the unit 
limiting devices) when tested using the charge determined at the A 
or A2 test, and for heating-only heat pumps, use the H1 
or H12 test.

2.2.5.3 Parameters to Set and Their Target Values

    a. Consult the manufacturer's installation instructions 
regarding which parameters (e.g., superheat) to set and their target 
values. If the instructions provide ranges of values, select target 
values equal to the midpoints of the provided ranges.
    b. In the event of conflicting information between charging 
instructions (i.e., multiple conditions given for charge adjustment 
where all conditions specified cannot be met), follow the following 
hierarchy.
    (1) For fixed orifice systems:
    (i) Superheat
    (ii) High side pressure or corresponding saturation or dew-point 
temperature
    (iii) Low side pressure or corresponding saturation or dew-point 
temperature
    (iv) Low side temperature
    (v) High side temperature
    (vi) Charge weight
    (2) For expansion valve systems:
    (i) Subcooling
    (ii) High side pressure or corresponding saturation or dew-point 
temperature
    (iii) Low side pressure or corresponding saturation or dew-point 
temperature
    (iv) Approach temperature (difference between temperature of 
liquid leaving condenser and condenser average inlet air 
temperature)
    (v) Charge weight
    c. If there are no installation instructions and/or they do not 
provide parameters and target values, set superheat to a target 
value of 12[emsp14][deg]F for fixed orifice systems or set 
subcooling to a target value of 10[emsp14][deg]F for expansion valve 
systems.

2.2.5.4 Charging Tolerances

    a. If the manufacturer's installation instructions specify 
tolerances on target values for the charging parameters, set the 
values within these tolerances.
    b. Otherwise, set parameter values within the following test 
condition tolerances for the different charging parameters:
    11. Superheat: +/- 2.0[emsp14][deg]F
    12. Subcooling: +/- 2.0[emsp14][deg]F
    13. High side pressure or corresponding saturation or dew point 
temperature: +/- 4.0 psi or +/- 1.0[emsp14][deg]F
    14. Low side pressure or corresponding saturation or dew point 
temperature: +/- 2.0 psi or +/- 0.8[emsp14][deg]F
    15. High side temperature: +/- 2.0[emsp14][deg]F
    16. Low side temperature: +/- 2.0[emsp14][deg]F
    17. Approach temperature: +/- 1.0[emsp14][deg]F
    18. Charge weight: +/- 2.0 ounce

2.2.5.5 Special Charging Instructions

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

b. Single-Package Systems

    i. Unless otherwise directed by the manufacturer's installation 
instructions, install one or more refrigerant line pressure gauges 
during the setup of the unit, located depending on the parameters 
used to verify or set charge, as described:
    (1) Install a pressure gauge at the location of the service 
valve on the liquid line if charging is on the basis of subcooling, 
or high side pressure or corresponding saturation or dew point 
temperature;
    (2) Install a pressure gauge at the location of the service 
valve on the suction line if charging is on the basis of superheat, 
or low side pressure or corresponding saturation or dew point 
temperature.
    ii. Use methods for installing pressure gauge(s) at the required 
location(s) as indicated in manufacturer's instructions if 
specified.

2.2.5.6 Near-Azeotropic and Zeotropic Refrigerants

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

2.2.5.7 Adjustment of Charge Between Tests

    After charging the system as described in this test procedure, 
use the set refrigerant charge for all tests used to determine 
performance. Do not adjust the refrigerant charge at any point 
during testing. If measurements indicate that refrigerant charge has 
leaked during the test, repair the refrigerant leak, repeat any 
necessary set-up steps, and repeat all tests.

2.3 Indoor Air Volume Rates

    If a unit's controls allow for overspeeding the indoor blower 
(usually on a temporary basis), take the necessary steps to prevent 
overspeeding during all tests.

2.3.1 Cooling Tests

    a. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the requirements that 
are specified in section 3.1.4 of this appendix.
    b. Express the Cooling full-load air volume rate, the Cooling 
Minimum Air Volume Rate, and the Cooling Intermediate Air Volume 
Rate in terms of standard air.

2.3.2 Heating Tests

    a. Set indoor blower airflow-control settings (e.g., fan motor 
pin settings, fan motor speed) according to the requirements that 
are specified in section 3.1.4 of this appendix.
    b. Express the heating full-load air volume rate, the heating 
minimum air volume rate, the heating intermediate air volume rate, 
and the heating nominal air volume rate in terms of standard air.

2.4 Indoor Coil Inlet and Outlet Duct Connections

    Insulate and/or construct the outlet plenum as described in 
section 2.4.1 of this appendix and, if installed, the inlet plenum 
described in section 2.4.2 of this appendix with thermal insulation 
having a nominal overall resistance (R-value) of at least 19 
hr[middot]ft\2\ [deg]F/Btu.

2.4.1 Outlet Plenum for the Indoor Unit

    a. Attach a plenum to the outlet of the indoor coil. (Note: For 
some packaged systems, the indoor coil may be located in the outdoor 
test room.)
    b. For systems having multiple indoor coils, or multiple indoor 
blowers within a single indoor section, attach a plenum to each 
indoor coil or indoor blower outlet. In order to reduce the number 
of required airflow measurement apparatuses (section 2.6 of this 
appendix), each such apparatus may serve multiple outlet plenums 
connected to a single common duct leading to the apparatus. More 
than one indoor test room may be used, which may use one or more 
common ducts leading to one or more airflow measurement apparatuses 
within each test room that contains multiple indoor coils. At the 
plane where each plenum enters a common duct, install an adjustable 
airflow damper and use it to equalize the static pressure in each 
plenum. The outlet air temperature grid(s) (section 2.5.4 of this 
appendix) and airflow measuring apparatus shall be located 
downstream of the inlet(s) to the common duct(s). For multiple-
circuit (or multi-circuit) systems for which each indoor coil outlet 
is measured separately and its outlet plenum is not connected to a 
common duct connecting multiple outlet plenums,

[[Page 1543]]

install the outlet air temperature grid and airflow measuring 
apparatus at each outlet plenum.
    c. For small-duct, high-velocity systems, install an outlet 
plenum that has a diameter that is equal to or less than the value 
listed in Table 3. The limit depends only on the Cooling full-load 
air volume rate (see section 3.1.4.1.1 of this appendix) and is 
effective regardless of the flange dimensions on the outlet of the 
unit (or an air supply plenum adapter accessory, if installed in 
accordance with the manufacturer's installation instructions).
    d. Add a static pressure tap to each face of the (each) outlet 
plenum, if rectangular, or at four evenly distributed locations 
along the circumference of an oval or round plenum. Create a 
manifold that connects the four static pressure taps. Figure 9 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) 
shows allowed options for the manifold configuration. The cross-
sectional dimensions of plenum must be equal to the dimensions of 
the indoor unit outlet. See Figures 7a, 7b, and 7c of ANSI/ASHRAE 
37-2009 for the minimum length of the (each) outlet plenum and the 
locations for adding the static pressure taps for ducted blower coil 
indoor units and single-package systems. See Figure 8 of ANSI/ASHRAE 
37-2009 for coil-only indoor units.

Table 3--Size of Outlet Plenum for Small-Duct High-Velocity Indoor Units
------------------------------------------------------------------------
                                                       Maximum diameter*
       Cooling full-load air volume rate (scfm)         of outlet plenum
                                                            (inches)
------------------------------------------------------------------------
<=500................................................                  6
501 to 700...........................................                  7
701 to 900...........................................                  8
901 to 1100..........................................                  9
1101 to 1400.........................................                 10
1401 to 1750.........................................                 11
------------------------------------------------------------------------
* If the outlet plenum is rectangular, calculate its equivalent diameter
  using (4A/P,) where A is the cross-sectional area and P is the
  perimeter of the rectangular plenum, and compare it to the listed
  maximum diameter.

2.4.2 Inlet Plenum for the Indoor Unit

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

2.5 Indoor Coil Air Property Measurements and Airflow Prevention 
Devices.

    Follow instructions for indoor coil air property measurements as 
described in section 2.14 of this appendix, unless otherwise 
instructed in this section.
    a. Measure the dry-bulb temperature and water vapor content of 
the air entering and leaving the indoor coil. If needed, use an air 
sampling device to divert air to a sensor(s) that measures the water 
vapor content of the air. See section 5.3 of ANSI/ASHRAE 41.1-2013 
(incorporated by reference, see Sec.  430.3) for guidance on 
constructing an air sampling device. No part of the air sampling 
device or the tubing transferring the sampled air to the sensor must 
be within two inches of the test chamber floor, and the transfer 
tubing must be insulated. The sampling device may also be used for 
measurement of dry bulb temperature by transferring the sampled air 
to a remotely located sensor(s). The air sampling device and the 
remotely located temperature sensor(s) may be used to determine the 
entering air dry bulb temperature during any test. The air sampling 
device and the remotely located sensor(s) may be used to determine 
the leaving air dry bulb temperature for all tests except:
    (1) Cyclic tests; and
    (2) Frost accumulation tests.
    b. Install grids of temperature sensors to measure dry bulb 
temperatures of both the entering and leaving airstreams of the 
indoor unit. These grids of dry bulb temperature sensors may be used 
to measure average dry bulb temperature entering and leaving the 
indoor unit in all cases (as an alternative to the dry bulb sensor 
measuring the sampled air). The leaving airstream grid is required 
for measurement of average dry bulb temperature leaving the indoor 
unit for cyclic tests and frost accumulation tests. The grids are 
also required to measure the air temperature distribution of the 
entering and leaving airstreams as described in sections 3.1.8 of 
this appendix. Two such grids may be applied as a thermopile, to 
directly obtain the average temperature difference rather than 
directly measuring both entering and leaving average temperatures.
    c. Use of airflow prevention devices. Use an inlet and outlet 
air damper box, or use an inlet upturned duct and an outlet air 
damper box when conducting one or both of the cyclic tests listed in 
sections 3.2 and 3.6 of this appendix on ducted systems. If not 
conducting any cyclic tests, an outlet air damper box is required 
when testing ducted and non-ducted heat pumps that cycle off the 
indoor blower during defrost cycles and there is no other means for 
preventing natural or forced convection through the indoor unit when 
the indoor blower is off. Never use an inlet damper box or an inlet 
upturned duct when testing non-ducted indoor units. An inlet 
upturned duct is a length of ductwork installed upstream from the 
inlet such that the indoor duct inlet opening, facing upwards, is 
sufficiently high to prevent natural convection transfer out of the 
duct. If an inlet upturned duct is used, install a dry bulb 
temperature sensor near the inlet opening of the indoor duct at a 
centerline location not higher than the lowest elevation of the duct 
edges at the inlet, and ensure that any pair of 5-minute averages of 
the dry bulb temperature at this location, measured at least every 
minute during the compressor OFF period of the cyclic test, do not 
differ by more than 1.0[emsp14][deg]F.

2.5.1 Test Set-Up on the Inlet Side of the Indoor Coil: for Cases Where 
the Inlet Airflow Prevention Device is Installed

    a. Install an airflow prevention device as specified in section 
2.5.1.1 or 2.5.1.2 of this appendix, whichever applies.
    b. For an inlet damper box, locate the grid of entering air dry-
bulb temperature sensors, if used, and the air sampling device, or 
the sensor used to measure the water vapor content of the inlet air, 
at a location immediately upstream of the damper box inlet. For an 
inlet upturned duct, locate the grid of entering air dry-bulb 
temperature sensors, if used, and the air sampling device, or the 
sensor used to measure the water vapor content of the inlet air, at 
a location at least one foot downstream from the beginning of the 
insulated portion of the duct but before the static pressure 
measurement.
    2.5.1.1 If the section 2.4.2 inlet plenum is installed, 
construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the inlet 
plenum. Install the airflow prevention device upstream of the inlet 
plenum and construct ductwork connecting it to the inlet plenum. If 
needed, use an adaptor plate or a transition duct section to connect 
the airflow prevention device with the inlet plenum. Insulate the 
ductwork and inlet plenum with thermal insulation that has a nominal 
overall resistance (R-value) of at least 19 hr [middot] ft\2\ 
[middot] [deg]F/Btu.
    2.5.1.2 If the section 2.4.2 inlet plenum is not installed, 
construct the airflow prevention device having a cross-sectional 
flow area equal to or greater than the flow area of the air inlet of 
the indoor unit. Install the airflow prevention device immediately 
upstream of the inlet of the indoor unit. If needed, use an adaptor 
plate or a short transition duct section to connect the airflow 
prevention device with the unit's air inlet. Add static pressure 
taps at the center of each face of a rectangular airflow prevention 
device, or at four evenly distributed locations along the 
circumference of an oval or round airflow prevention device. Locate 
the pressure taps at a distance from the indoor unit inlet equal to 
0.5 times the square root of the cross sectional area of the indoor 
unit inlet. This location must be between the damper and the inlet 
of the indoor unit, if a damper is used. Make a manifold that 
connects the four static pressure taps using one of the 
configurations shown in Figure 9 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). Insulate the ductwork 
with thermal insulation that has a nominal overall resistance (R-
value) of at least 19 hr[middot]ft\2\[middot][deg]F/Btu.

[[Page 1544]]

2.5.2 Test Set-Up on the Inlet Side of the Indoor Unit: for Cases Where 
No Airflow Prevention Device is Installed

    If using the section 2.4.2 inlet plenum and a grid of dry bulb 
temperature sensors, mount the grid at a location upstream of the 
static pressure taps described in section 2.4.2 of this appendix, 
preferably at the entrance plane of the inlet plenum. If the section 
2.4.2 inlet plenum is not used (i.e. for non-ducted units) locate a 
grid approximately 6 inches upstream of the indoor unit inlet. In 
the case of a system having multiple non-ducted indoor units, do 
this for each indoor unit. Position an air sampling device, or the 
sensor used to measure the water vapor content of the inlet air, 
immediately upstream of the (each) entering air dry-bulb temperature 
sensor grid. If a grid of sensors is not used, position the entering 
air sampling device (or the sensor used to measure the water vapor 
content of the inlet air) as if the grid were present.

2.5.3 Indoor Coil Static Pressure Difference Measurement

    Fabricate pressure taps meeting all requirements described in 
section 6.5.2 of ANSI/ASHRAE 37-2009 (incorporated by reference, see 
Sec.  430.3) and illustrated in Figure 2A of AMCA 210-2007 
(incorporated by reference, see Sec.  430.3), however, if adhering 
strictly to the description in section 6.5.2 of ANSI/ASHRAE 37-2009, 
the minimum pressure tap length of 2.5 times the inner diameter of 
Figure 2A of AMCA 210-2007 is waived. Use a differential pressure 
measuring instrument that is accurate to within 0.01 
inches of water and has a resolution of at least 0.01 inches of 
water to measure the static pressure difference between the indoor 
coil air inlet and outlet. Connect one side of the differential 
pressure instrument to the manifolded pressure taps installed in the 
outlet plenum. Connect the other side of the instrument to the 
manifolded pressure taps located in either the inlet plenum or 
incorporated within the airflow prevention device. For non-ducted 
systems that are tested with multiple outlet plenums, measure the 
static pressure within each outlet plenum relative to the 
surrounding atmosphere.

2.5.4 Test Set-Up on the Outlet Side of the Indoor Coil

    a. Install an interconnecting duct between the outlet plenum 
described in section 2.4.1 of this appendix and the airflow 
measuring apparatus described below in section 2.6 of this appendix. 
The cross-sectional flow area of the interconnecting duct must be 
equal to or greater than the flow area of the outlet plenum or the 
common duct used when testing non-ducted units having multiple 
indoor coils. If needed, use adaptor plates or transition duct 
sections to allow the connections. To minimize leakage, tape joints 
within the interconnecting duct (and the outlet plenum). Construct 
or insulate the entire flow section with thermal insulation having a 
nominal overall resistance (R-value) of at least 19 
hr[middot]ft\2\[middot] [deg]F/Btu.
    b. Install a grid(s) of dry-bulb temperature sensors inside the 
interconnecting duct. Also, install an air sampling device, or the 
sensor(s) used to measure the water vapor content of the outlet air, 
inside the interconnecting duct. Locate the dry-bulb temperature 
grid(s) upstream of the air sampling device (or the in-duct 
sensor(s) used to measure the water vapor content of the outlet 
air). Turn off the sampler fan motor during the cyclic tests. Air 
leaving an indoor unit that is sampled by an air sampling device for 
remote water-vapor-content measurement must be returned to the 
interconnecting duct at a location:
    (1) Downstream of the air sampling device;
    (2) On the same side of the outlet air damper as the air 
sampling device; and
    (3) Upstream of the section 2.6 airflow measuring apparatus.

2.5.4.1 Outlet Air Damper Box Placement and Requirements

    If using an outlet air damper box (see section 2.5 of this 
appendix), the leakage rate from the combination of the outlet 
plenum, the closed damper, and the duct section that connects these 
two components must not exceed 20 cubic feet per minute when a 
negative pressure of 1 inch of water column is maintained at the 
plenum's inlet.

2.5.4.2 Procedures to Minimize Temperature Maldistribution

    Use these procedures if necessary to correct temperature 
maldistributions. Install a mixing device(s) upstream of the outlet 
air, dry-bulb temperature grid (but downstream of the outlet plenum 
static pressure taps). Use a perforated screen located between the 
mixing device and the dry-bulb temperature grid, with a maximum open 
area of 40 percent. One or both items should help to meet the 
maximum outlet air temperature distribution specified in section 
3.1.8 of this appendix. Mixing devices are described in sections 
5.3.2 and 5.3.3 of ANSI/ASHRAE 41.1-2013 and section 5.2.2 of ASHRAE 
41.2-1987 (RA 1992) (incorporated by reference, see Sec.  430.3).

2.5.4.3 Minimizing Air Leakage

    For small-duct, high-velocity systems, install an air damper 
near the end of the interconnecting duct, just prior to the 
transition to the airflow measuring apparatus of section 2.6 of this 
appendix. To minimize air leakage, adjust this damper such that the 
pressure in the receiving chamber of the airflow measuring apparatus 
is no more than 0.5 inch of water higher than the surrounding test 
room ambient. If applicable, in lieu of installing a separate 
damper, use the outlet air damper box of sections 2.5 and 2.5.4.1 of 
this appendix if it allows variable positioning. Also apply these 
steps to any conventional indoor blower unit that creates a static 
pressure within the receiving chamber of the airflow measuring 
apparatus that exceeds the test room ambient pressure by more than 
0.5 inches of water column.

2.5.5 Dry Bulb Temperature Measurement

    a. Measure dry bulb temperatures as specified in sections 4, 
5.3, 6, and 7 of ANSI/ASHRAE 41.1-2013 (incorporated by reference, 
see Sec.  430.3).
    b. Distribute the sensors of a dry-bulb temperature grid over 
the entire flow area. The required minimum is 9 sensors per grid.

2.5.6 Water Vapor Content Measurement

    Determine water vapor content by measuring dry-bulb temperature 
combined with the air wet-bulb temperature, dew point temperature, 
or relative humidity. If used, construct and apply wet-bulb 
temperature sensors as specified in sections 4, 5, 6, 7.2, 7.3, and 
7.4 of ASHRAE 41.6-2014 (incorporated by reference, see Sec.  
430.3). The temperature sensor (wick removed) must be accurate to 
within 0.2[emsp14][deg]F. If used, apply dew point 
hygrometers as specified in sections 4, 5, 6, 7.1, and 7.4 of ASHRAE 
41.6-2014. The dew point hygrometers must be accurate to within 
0.4[emsp14][deg]F when operated at conditions that 
result in the evaluation of dew points above 35[emsp14][deg]F. If 
used, a relative humidity (RH) meter must be accurate to within 
0.7% RH. Other means to determine the psychrometric 
state of air may be used as long as the measurement accuracy is 
equivalent to or better than the accuracy achieved from using a wet-
bulb temperature sensor that meets the above specifications.

2.5.7 Air Damper Box Performance Requirements

    If used (see section 2.5 of this appendix), the air damper 
box(es) must be capable of being completely opened or completely 
closed within 10 seconds for each action.

2.6 Airflow Measuring Apparatus

    a. Fabricate and operate an airflow measuring apparatus as 
specified in section 6.2 and 6.3 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). Place the static 
pressure taps and position the diffusion baffle (settling means) 
relative to the chamber inlet as indicated in Figure 12 of AMCA 210-
07 and/or Figure 14 of ASHRAE 41.2-1987 (RA 1992) (incorporated by 
reference, see Sec.  430.3). When measuring the static pressure 
difference across nozzles and/or velocity pressure at nozzle throats 
using electronic pressure transducers and a data acquisition system, 
if high frequency fluctuations cause measurement variations to 
exceed the test tolerance limits specified in section 9.2 and Table 
2 of ANSI/ASHRAE 37-2009, dampen the measurement system such that 
the time constant associated with response to a step change in 
measurement (time for the response to change 63% of the way from the 
initial output to the final output) is no longer than five seconds.
    b. Connect the airflow measuring apparatus to the 
interconnecting duct section described in section 2.5.4 of this 
appendix. See sections 6.1.1, 6.1.2, and 6.1.4, and Figures 1, 2, 
and 4 of ANSI/ASHRAE 37-2009; and Figures D1, D2, and D4 of AHRI 
210/240-2008 (incorporated by reference, see Sec.  430.3) with 
Addendum 1 and 2 for illustrative examples of how the test apparatus 
may be applied within a complete laboratory set-up. Instead of 
following one of these examples, an alternative set-up may be used 
to handle the air leaving the airflow measuring apparatus and to 
supply properly conditioned air to the test unit's inlet. The 
alternative set-up, however, must not interfere with the prescribed 
means for measuring airflow rate, inlet and outlet air temperatures, 
inlet and outlet water vapor contents, and external static 
pressures, nor create abnormal

[[Page 1545]]

conditions surrounding the test unit. (Note: Do not use an enclosure 
as described in section 6.1.3 of ANSI/ASHRAE 37-2009 when testing 
triple-split units.)

2.7 Electrical Voltage Supply

    Perform all tests at the voltage specified in section 6.1.3.2 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) for 
``Standard Rating Tests.'' If either the indoor or the outdoor unit 
has a 208V or 200V nameplate voltage and the other unit has a 230V 
nameplate rating, select the voltage supply on the outdoor unit for 
testing. Otherwise, supply each unit with its own nameplate voltage. 
Measure the supply voltage at the terminals on the test unit using a 
volt meter that provides a reading that is accurate to within 1.0 percent of the measured quantity.

2.8 Electrical Power and Energy Measurements

    a. Use an integrating power (watt-hour) measuring system to 
determine the electrical energy or average electrical power supplied 
to all components of the air conditioner or heat pump (including 
auxiliary components such as controls, transformers, crankcase 
heater, integral condensate pump on non-ducted indoor units, etc.). 
The watt-hour measuring system must give readings that are accurate 
to within 0.5 percent. For cyclic tests, this accuracy 
is required during both the ON and OFF cycles. Use either two 
different scales on the same watt-hour meter or two separate watt-
hour meters. Activate the scale or meter having the lower power 
rating within 15 seconds after beginning an OFF cycle. Activate the 
scale or meter having the higher power rating within 15 seconds 
prior to beginning an ON cycle. For ducted blower coil systems, the 
ON cycle lasts from compressor ON to indoor blower OFF. For ducted 
coil-only systems, the ON cycle lasts from compressor ON to 
compressor OFF. For non-ducted units, the ON cycle lasts from indoor 
blower ON to indoor blower OFF. When testing air conditioners and 
heat pumps having a variable-speed compressor, avoid using an 
induction watt/watt-hour meter.
    b. When performing section 3.5 and/or 3.8 cyclic tests on non-
ducted units, provide instrumentation to determine the average 
electrical power consumption of the indoor blower motor to within 
1.0 percent. If required according to sections 3.3, 3.4, 
3.7, 3.9.1 of this appendix, and/or 3.10 of this appendix, this same 
instrumentation requirement (to determine the average electrical 
power consumption of the indoor blower motor to within 1.0 percent) applies when testing air conditioners and heat 
pumps having a variable-speed constant-air-volume-rate indoor blower 
or a variable-speed, variable-air-volume-rate indoor blower.

2.9 Time Measurements

    Make elapsed time measurements using an instrument that yields 
readings accurate to within 0.2 percent.

2.10 Test Apparatus for the Secondary Space Conditioning Capacity 
Measurement

    For all tests, use the indoor air enthalpy method to measure the 
unit's capacity. This method uses the test set-up specified in 
sections 2.4 to 2.6 of this appendix. In addition, for all steady-
state tests, conduct a second, independent measurement of capacity 
as described in section 3.1.1 of this appendix. For split systems, 
use one of the following secondary measurement methods: outdoor air 
enthalpy method, compressor calibration method, or refrigerant 
enthalpy method. For single-package units, use either the outdoor 
air enthalpy method or the compressor calibration method as the 
secondary measurement.

2.10.1 Outdoor Air Enthalpy Method

    a. To make a secondary measurement of indoor space conditioning 
capacity using the outdoor air enthalpy method, do the following:
    (1) Measure the electrical power consumption of the test unit;
    (2) Measure the air-side capacity at the outdoor coil; and
    (3) Apply a heat balance on the refrigerant cycle.
    b. The test apparatus required for the outdoor air enthalpy 
method is a subset of the apparatus used for the indoor air enthalpy 
method. Required apparatus includes the following:
    (1) On the outlet side, an outlet plenum containing static 
pressure taps (sections 2.4, 2.4.1, and 2.5.3 of this appendix),
    (2) An airflow measuring apparatus (section 2.6 of this 
appendix),
    (3) A duct section that connects these two components and itself 
contains the instrumentation for measuring the dry-bulb temperature 
and water vapor content of the air leaving the outdoor coil 
(sections 2.5.4, 2.5.5, and 2.5.6 of this appendix), and
    (4) On the inlet side, a sampling device and temperature grid 
(section 2.11.b of this appendix).
    c. During the free outdoor air tests described in sections 
3.11.1 and 3.11.1.1 of this appendix, measure the evaporator and 
condenser temperatures or pressures. On both the outdoor coil and 
the indoor coil, solder a thermocouple onto a return bend located at 
or near the midpoint of each coil or at points not affected by vapor 
superheat or liquid subcooling. Alternatively, if the test unit is 
not sensitive to the refrigerant charge, install pressure gages to 
the access valves or to ports created from tapping into the suction 
and discharge lines according to sections 7.4.2 and 8.2.5 of ANSI/
ASHRAE 37-2009. Use this alternative approach when testing a unit 
charged with a zeotropic refrigerant having a temperature glide in 
excess of 1[emsp14][deg]F at the specified test conditions.

2.10.2 Compressor Calibration Method

    Measure refrigerant pressures and temperatures to determine the 
evaporator superheat and the enthalpy of the refrigerant that enters 
and exits the indoor coil. Determine refrigerant flow rate or, when 
the superheat of the refrigerant leaving the evaporator is less than 
5[emsp14][deg]F, total capacity from separate calibration tests 
conducted under identical operating conditions. When using this 
method, install instrumentation and measure refrigerant properties 
according to section 7.4.2 and 8.2.5 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3). If removing the 
refrigerant before applying refrigerant lines and subsequently 
recharging, use the steps in 7.4.2 of ANSI/ASHRAE 37-2009 in 
addition to the methods of section 2.2.5 of this appendix to confirm 
the refrigerant charge. Use refrigerant temperature and pressure 
measuring instruments that meet the specifications given in sections 
5.1.1 and 5.2 of ANSI/ASHRAE 37-2009.

2.10.3 Refrigerant Enthalpy Method

    For this method, calculate space conditioning capacity by 
determining the refrigerant enthalpy change for the indoor coil and 
directly measuring the refrigerant flow rate. Use section 7.5.2 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) for 
the requirements for this method, including the additional 
instrumentation requirements, and information on placing the flow 
meter and a sight glass. Use refrigerant temperature, pressure, and 
flow measuring instruments that meet the specifications given in 
sections 5.1.1, 5.2, and 5.5.1 of ANSI/ASHRAE 37-2009. Refrigerant 
flow measurement device(s), if used, must be either elevated at 
least two feet from the test chamber floor or placed upon insulating 
material having a total thermal resistance of at least R-12 and 
extending at least one foot laterally beyond each side of the 
device(s)' exposed surfaces.

2.11 Measurement of Test Room Ambient Conditions

    Follow instructions for setting up air sampling device and 
aspirating psychrometer as described in section 2.14 of this 
appendix, unless otherwise instructed in this section.
    a. If using a test set-up where air is ducted directly from the 
conditioning apparatus to the indoor coil inlet (see Figure 2, Loop 
Air-Enthalpy Test Method Arrangement, of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3)), add instrumentation 
to permit measurement of the indoor test room dry-bulb temperature.
    b. On the outdoor side, use one of the following two approaches, 
except that approach (1) is required for all evaporatively cooled 
units and units that transfer condensate to the outdoor unit for 
evaporation using condenser heat.
    (1) Use sampling tree air collection on all air-inlet surfaces 
of the outdoor unit.
    (2) Use sampling tree air collection on one or more faces of the 
outdoor unit and demonstrate air temperature uniformity as follows. 
Install a grid of evenly distributed thermocouples on each air-
permitting face on the inlet of the outdoor unit. Install the 
thermocouples on the air sampling device, locate them individually 
or attach them to a wire structure. If not installed on the air 
sampling device, install the thermocouple grid 6 to 24 inches from 
the unit. Evenly space the thermocouples across the coil inlet 
surface and install them to avoid sampling of discharge air or 
blockage of air recirculation. The grid of thermocouples must 
provide at least 16 measuring points per face or one measurement per 
square foot of inlet face

[[Page 1546]]

area, whichever is less. Construct this grid and use as per section 
5.3 of ANSI/ASHRAE 41.1-2013 (incorporated by reference, see Sec.  
430.3). The maximum difference between the average temperatures 
measured during the test period of any two pairs of these individual 
thermocouples located at any of the faces of the inlet of the 
outdoor unit, must not exceed 2.0[emsp14][deg]F, otherwise use 
approach (1).
    Locate the air sampling devices at the geometric center of each 
side; the branches may be oriented either parallel or perpendicular 
to the longer edges of the air inlet area. Size the air sampling 
devices in the outdoor air inlet location such that they cover at 
least 75% of the face area of the side of the coil that they are 
measuring.
    Review air distribution at the test facility point of supply to 
the unit and remediate as necessary prior to the beginning of 
testing. Mixing fans can be used to ensure adequate air distribution 
in the test room. If used, orient mixing fans such that they are 
pointed away from the air intake so that the mixing fan exhaust does 
not affect the outdoor coil air volume rate. Particular attention 
should be given to prevent the mixing fans from affecting (enhancing 
or limiting) recirculation of condenser fan exhaust air back through 
the unit. Any fan used to enhance test room air mixing shall not 
cause air velocities in the vicinity of the test unit to exceed 500 
feet per minute.
    The air sampling device may be larger than the face area of the 
side being measured. Take care, however, to prevent discharge air 
from being sampled. If an air sampling device dimension extends 
beyond the inlet area of the unit, block holes in the air sampling 
device to prevent sampling of discharge air. Holes can be blocked to 
reduce the region of coverage of the intake holes both in the 
direction of the trunk axis or perpendicular to the trunk axis. For 
intake hole region reduction in the direction of the trunk axis, 
block holes of one or more adjacent pairs of branches (the branches 
of a pair connect opposite each other at the same trunk location) at 
either the outlet end or the closed end of the trunk. For intake 
hole region reduction perpendicular to the trunk axis, block off the 
same number of holes on each branch on both sides of the trunk.
    Connect a maximum of four (4) air sampling devices to each 
aspirating psychrometer. In order to proportionately divide the flow 
stream for multiple air sampling devices for a given aspirating 
psychrometer, the tubing or conduit conveying sampled air to the 
psychrometer must be of equivalent lengths for each air sampling 
device. Preferentially, the air sampling device should be hard 
connected to the aspirating psychrometer, but if space constraints 
do not allow this, the assembly shall have a means of allowing a 
flexible tube to connect the air sampling device to the aspirating 
psychrometer. Insulate and route the tubing or conduit to prevent 
heat transfer to the air stream. Insulate any surface of the air 
conveying tubing in contact with surrounding air at a different 
temperature than the sampled air with thermal insulation with a 
nominal thermal resistance (R-value) of at least 19 hr  
ft\2\  [deg]F/Btu. Alternatively the conduit may have lower 
thermal resistance if additional sensor(s) are used to measure dry 
bulb temperature at the outlet of each air sampling device. No part 
of the air sampling device or the tubing conducting the sampled air 
to the sensors may be within two inches of the test chamber floor.
    Take pairs of measurements (e.g. dry bulb temperature and wet 
bulb temperature) used to determine water vapor content of sampled 
air in the same location.

2.12 Measurement of Indoor Blower Speed

    When required, measure fan speed using a revolution counter, 
tachometer, or stroboscope that gives readings accurate to within 
1.0 percent.

2.13 Measurement of Barometric Pressure

    Determine the average barometric pressure during each test. Use 
an instrument that meets the requirements specified in section 5.2 
of ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3).

2.14 Air Sampling Device and Aspirating Psychrometer Requirements

    Make air temperature measurements in accordance with ANSI/ASHRAE 
41.1-2013 (incorporated by reference, see Sec.  430.3), unless 
otherwise instructed in this section.

2.14.1 Air Sampling Device Requirements

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

2.14.2 Aspirating Psychrometer

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

3 Testing Procedures

3.1 General Requirements

    If, during the testing process, an equipment set-up adjustment 
is made that would have altered the performance of the unit during 
any already completed test, then repeat all tests affected by the 
adjustment. For cyclic tests, instead of maintaining an air volume 
rate, for each airflow nozzle, maintain the static pressure 
difference or velocity pressure during an ON period at the same 
pressure difference or velocity pressure as measured during the 
steady-state test conducted at the same test conditions.
    Use the testing procedures in this section to collect the data 
used for calculating
    (1) Performance metrics for central air conditioners and heat 
pumps during the cooling season;
    (2) Performance metrics for heat pumps during the heating 
season; and
    (3) Power consumption metric(s) for central air conditioners and 
heat pumps during the off mode season(s).

3.1.1 Primary and Secondary Test Methods

    For all tests, use the indoor air enthalpy method test apparatus 
to determine the unit's space conditioning capacity. The procedure 
and data collected, however, differ slightly depending upon whether 
the test is a steady-state test, a cyclic test, or a frost 
accumulation test. The following sections described these 
differences. For full-capacity cooling-mode test and (for a heat 
pump) the full-capacity heating-mode test, use one of the acceptable 
secondary methods specified in section 2.10 of this appendix to 
determine indoor space conditioning capacity. Calculate this 
secondary check of capacity according to section 3.11 of this 
appendix. The two capacity measurements must agree to within 6 
percent to constitute a valid test. For this capacity comparison, 
use the Indoor Air Enthalpy Method capacity that is calculated in 
section 7.3 of ANSI/ASHRAE 37-2009 (incorporated by reference, see 
Sec.  430.3) (and, if testing a coil-only system, compare capacities 
before making the after-test fan heat adjustments described in 
section 3.3, 3.4, 3.7, and 3.10 of this appendix). However, include 
the appropriate section 3.3 to 3.5 and 3.7 to 3.10 fan heat 
adjustments within the indoor air enthalpy method capacities used 
for the section 4 seasonal calculations of this appendix.

3.1.2 Manufacturer-Provided Equipment Overrides

    Where needed, the manufacturer must provide a means for 
overriding the controls of the test unit so that the compressor(s) 
operates at the specified speed or capacity

[[Page 1547]]

and the indoor blower operates at the specified speed or delivers 
the specified air volume rate.

3.1.3 Airflow Through the Outdoor Coil

    For all tests, meet the requirements given in section 6.1.3.4 of 
AHRI 210/240-2008 (incorporated by reference, see Sec.  430.3) when 
obtaining the airflow through the outdoor coil.

3.1.3.1 Double-Ducted

    For products intended to be installed with the outdoor airflow 
ducted, install the unit with outdoor coil ductwork installed per 
manufacturer installation instructions. The unit must operate 
between 0.10 and 0.15 in H2O external static pressure. 
Make external static pressure measurements in accordance with ANSI/
ASHRAE 37-2009 section 6.4 and 6.5.

3.1.4 Airflow Through the Indoor Coil

    Determine airflow setting(s) before testing begins. Unless 
otherwise specified within this or its subsections, make no changes 
to the airflow setting(s) after initiation of testing.

3.1.4.1 Cooling Full-Load Air Volume Rate

3.1.4.1.1 Cooling Full-Load Air Volume Rate for Ducted Units

    Identify the certified Cooling full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified Cooling full-load air volume rate, use a value equal 
to the certified cooling capacity of the unit times 400 scfm per 
12,000 Btu/h. If there are no instructions for setting fan speed or 
controls, use the as-shipped settings. Use the following procedure 
to confirm and, if necessary, adjust the Cooling full-load air 
volume rate and the fan speed or control settings to meet each test 
procedure requirement:
    a. For all ducted blower coil systems, except those having a 
constant-air-volume-rate indoor blower:
    Step (1) Operate the unit under conditions specified for the A 
(for single-stage units) or A2 test using the certified 
fan speed or controls settings, and adjust the exhaust fan of the 
airflow measuring apparatus to achieve the certified Cooling full-
load air volume rate;
    Step (2) Measure the external static pressure;
    Step (3) If this external static pressure is equal to or greater 
than the applicable minimum external static pressure cited in Table 
4, the pressure requirement is satisfied; proceed to step 7 of this 
section. If this external static pressure is not equal to or greater 
than the applicable minimum external static pressure cited in Table 
4, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either
    (i) The applicable Table 4 minimum is equaled or
    (ii) The measured air volume rate equals 90 percent or less of 
the Cooling full-load air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4 (ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until the applicable 
Table 4 minimum is equaled; proceed to step 7 of this section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the Cooling full-load air volume rate. 
Use the final fan speed or control settings for all tests that use 
the Cooling full-load air volume rate.
    b. For ducted blower coil systems with a constant-air-volume-
rate indoor blower. For all tests that specify the Cooling full-load 
air volume rate, obtain an external static pressure as close to (but 
not less than) the applicable Table 4 value that does not cause 
automatic shutdown of the indoor blower or air volume rate variation 
QVar, defined as follows, greater than 10 percent.
[GRAPHIC] [TIFF OMITTED] TR05JA17.153


Where:

Qmax = maximum measured airflow value

Qmin = minimum measured airflow value

QVar = airflow variance, percent

    Additional test steps as described in section 3.3.e of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For coil-only indoor units. For the A or A2 Test, 
(exclusively), the pressure drop across the indoor coil assembly 
must not exceed 0.30 inches of water. If this pressure drop is 
exceeded, reduce the air volume rate until the measured pressure 
drop equals the specified maximum. Use this reduced air volume rate 
for all tests that require the Cooling full-load air volume rate.

Table 4--Minimum External Static Pressure for Ducted Blower Coil Systems
------------------------------------------------------------------------
                                                              Minimum
                                                             external
                     Product variety                          static
                                                          pressure  (in.
                                                               wc.)
------------------------------------------------------------------------
Conventional (i.e., all central air conditioners and                0.50
 heat pumps not otherwise listed in this table).........
Ceiling-mount and Wall-mount............................            0.30
Mobile Home.............................................            0.30
Low Static..............................................            0.10
Mid Static..............................................            0.30
Small Duct, High Velocity...............................            1.15
Space-constrained.......................................            0.30
------------------------------------------------------------------------
\1\ For ducted units tested without an air filter installed, increase
  the applicable tabular value by 0.08 inches of water.
\2\ See section 1.2, Definitions, to determine for which Table 4 product
  variety and associated minimum external static pressure requirement
  equipment qualifies.
\3\ 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.

    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the full-load air volume rate with all 
indoor blowers operating unless prevented by the controls of the 
unit. In such cases, turn on the maximum number of indoor blowers 
permitted by the unit's controls. Where more than one option exists 
for meeting this ``on'' indoor blower requirement, which indoor 
blower(s) are turned on must match that specified in the 
certification report. Conduct section 3.1.4.1.1 setup steps for each 
indoor blower separately. If two or more indoor blowers are 
connected to a common duct as per section 2.4.1 of this appendix, 
temporarily divert their air volume to the test room when confirming 
or adjusting the setup configuration of individual indoor blowers. 
The allocation of the system's full-load air volume rate assigned to 
each ``on'' indoor blower must match that specified by the 
manufacturer in the certification report.

3.1.4.1.2 Cooling Full-Load Air Volume Rate for Non-Ducted Units

    For non-ducted units, the Cooling full-load air volume rate is 
the air volume rate that results during each test when the unit is 
operated at an external static pressure of zero inches of water.

3.1.4.2 Cooling Minimum Air Volume Rate

    Identify the certified cooling minimum air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified cooling minimum air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling full-load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full load air volume obtained in section 3.1.4.1 of this appendix. 
Otherwise, calculate the target external static pressure and follow 
instructions a, b, c, d, or e of this section. The target external 
static pressure, [Delta]Pst_i, for any test ``i'' with a 
specified air volume rate not equal to the Cooling full-load air 
volume rate is determined as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.154


[[Page 1548]]


Where:

[Delta]Pst_i = target minimum external static pressure 
for test i;

[Delta]Pst_full = minimum external static pressure for 
test A or A2 (Table 4);

Qi = air volume rate for test i; and

Qfull = Cooling full-load air volume rate as measured 
after setting and/or adjustment as described in section 3.1.4.1.1 of 
this appendix.

    a. For a ducted blower coil system without a constant-air-volume 
indoor blower, adjust for external static pressure as follows:
    Step (1) Operate the unit under conditions specified for the 
B1 test using the certified fan speed or controls 
settings, and adjust the exhaust fan of the airflow measuring 
apparatus to achieve the certified cooling minimum air volume rate;
    Step (2) Measure the external static pressure;
    Step (3) If this pressure is equal to or greater than the 
minimum external static pressure computed above, the pressure 
requirement is satisfied; proceed to step 7 of this section. If this 
pressure is not equal to or greater than the minimum external static 
pressure computed above, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either
    (i) The pressure is equal to the minimum external static 
pressure computed above or
    (ii) The measured air volume rate equals 90 percent or less of 
the cooling minimum air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4 (ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until it equals the 
minimum external static pressure computed above; proceed to step 7 
of this section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the cooling minimum air volume rate. Use 
the final fan speed or control settings for all tests that use the 
cooling minimum air volume rate.
    b. For ducted units with constant-air-volume indoor blowers, 
conduct all tests that specify the cooling minimum air volume rate--
(i.e., the A1, B1, C1, 
F1, and G1 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this appendix, greater than 10 percent, while 
being as close to, but not less than the target minimum external 
static pressure. Additional test steps as described in section 3.3.e 
of this appendix are required if the measured external static 
pressure exceeds the target value by more than 0.03 inches of water.
    c. For ducted two-capacity coil-only systems, the cooling 
minimum air volume rate is the higher of--
    (1) The rate specified by the installation instructions included 
with the unit by the manufacturer; or
    (2) 75 percent of the cooling full-load air volume rate. During 
the laboratory tests on a coil-only (fanless) system, obtain this 
cooling minimum air volume rate regardless of the pressure drop 
across the indoor coil assembly.
    d. For non-ducted units, the cooling minimum air volume rate is 
the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water and 
at the indoor blower setting used at low compressor capacity (two-
capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed variable-air-volume-rate indoor blower, use the lowest fan 
setting allowed for cooling.
    e. For ducted systems having multiple indoor blowers within a 
single indoor section, operate the indoor blowers such that the 
lowest air volume rate allowed by the unit's controls is obtained 
when operating the lone single-speed compressor or when operating at 
low compressor capacity while meeting the requirements of section 
2.2.3.2 of this appendix for the minimum number of blowers that must 
be turned off. Using the target external static pressure and the 
certified air volume rates, follow the procedures described in 
section 3.1.4.2.a of this appendix if the indoor blowers are not 
constant-air-volume indoor blowers or as described in section 
3.1.4.2.b of this appendix if the indoor blowers are not constant-
air-volume indoor blowers. The sum of the individual ``on'' indoor 
blowers' air volume rates is the cooling minimum air volume rate for 
the system.

3.1.4.3 Cooling Intermediate Air Volume Rate

    Identify the certified cooling intermediate air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified cooling intermediate air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling full load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full load air volume obtained in section 3.1.4.1 of this appendix. 
Otherwise, calculate target minimum external static pressure as 
described in section 3.1.4.2 of this appendix, and set the air 
volume rate as follows.
    a. For a ducted blower coil system without a constant-air-volume 
indoor blower, adjust for external static pressure as described in 
section 3.1.4.2.a of this appendix for cooling minimum air volume 
rate.
    b. For a ducted blower coil system with a constant-air-volume 
indoor blower, conduct the EV Test at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this appendix, greater than 10 percent, while 
being as close to, but not less than the target minimum external 
static pressure. Additional test steps as described in section 3.3.e 
of this appendix are required if the measured external static 
pressure exceeds the target value by more than 0.03 inches of water.
    c. For non-ducted units, the cooling intermediate air volume 
rate is the air volume rate that results when the unit operates at 
an external static pressure of zero inches of water and at the fan 
speed selected by the controls of the unit for the EV 
Test conditions.

3.1.4.4 Heating Full-Load Air Volume Rate

3.1.4.4.1 Ducted Heat Pumps Where the Heating and Cooling Full-Load Air 
Volume Rates Are the Same

    a. Use the Cooling full-load air volume rate as the heating 
full-load air volume rate for:
    (1) Ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, and that operate at the same 
airflow-control setting during both the A (or A2) and the 
H1 (or H12) Tests;
    (2) Ducted blower coil system heat pumps with constant-air-flow 
indoor blowers that provide the same airflow for the A (or 
A2) and the H1 (or H12) Tests; and
    (3) Ducted heat pumps that are tested with a coil-only indoor 
unit (except two-capacity northern heat pumps that are tested only 
at low capacity cooling--see section 3.1.4.4.2 of this appendix).
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. Use the final indoor blower control 
settings as determined when setting the Cooling full-load air volume 
rate, and readjust the exhaust fan of the airflow measuring 
apparatus if necessary to reset to the cooling full-load air volume 
obtained in section 3.1.4.1 of this appendix. For heat pumps that 
meet the above criterion ``2,'' test at an external static pressure 
that does not cause an automatic shutdown of the indoor blower or 
air volume rate variation QVar, defined in section 
3.1.4.1.1.b of this appendix, greater than 10 percent, while being 
as close to, but not less than, the same Table 4 minimum external 
static pressure as was specified for the A (or A2) 
cooling mode test. Additional test steps as described in section 
3.9.1.c of this appendix are required if the measured external 
static pressure exceeds the target value by more than 0.03 inches of 
water.

3.1.4.4.2 Ducted Heat Pumps Where the Heating and Cooling Full-Load Air 
Volume Rates Are Different Due to Changes in Indoor Blower Operation, 
i.e. Speed Adjustment by the System Controls

    Identify the certified heating full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating full-load air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling full-load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full-load air volume obtained in section 3.1.4.1 of this appendix. 
Otherwise, calculate the target minimum external static pressure as 
described in section 3.1.4.2 of this appendix and set the air volume 
rate as follows.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-

[[Page 1549]]

volume indoor blower, adjust for external static pressure as 
described in section 3.1.4.2.a of this appendix for cooling minimum 
air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the heating full-
load air volume rate at an external static pressure that does not 
cause an automatic shutdown of the indoor blower or air volume rate 
variation QVar, defined in section 3.1.4.1.1.b of this 
appendix, greater than 10 percent, while being as close to, but not 
less than the target minimum external static pressure. Additional 
test steps as described in section 3.9.1.c of this appendix are 
required if the measured external static pressure exceeds the target 
value by more than 0.03 inches of water.
    c. When testing ducted, two-capacity blower coil system northern 
heat pumps (see section 1.2 of this appendix, Definitions), use the 
appropriate approach of the above two cases. For coil-only system 
northern heat pumps, the heating full-load air volume rate is the 
lesser of the rate specified by the manufacturer in the installation 
instructions included with the unit or 133 percent of the cooling 
full-load air volume rate. For this latter case, obtain the heating 
full-load air volume rate regardless of the pressure drop across the 
indoor coil assembly.
    d. For ducted systems having multiple indoor blowers within a 
single indoor section, obtain the heating full-load air volume rate 
using the same ``on'' indoor blowers as used for the Cooling full-
load air volume rate. Using the target external static pressure and 
the certified air volume rates, follow the procedures as described 
in section 3.1.4.4.2.a of this appendix if the indoor blowers are 
not constant-air-volume indoor blowers or as described in section 
3.1.4.4.2.b of this appendix if the indoor blowers are constant-air-
volume indoor blowers. The sum of the individual ``on'' indoor 
blowers' air volume rates is the heating full-load air volume rate 
for the system.

3.1.4.4.3 Ducted Heating-Only Heat Pumps

    Identify the certified heating full-load air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating full-load air volume rate, use a value equal 
to the certified heating capacity of the unit times 400 scfm per 
12,000 Btu/h. If there are no instructions for setting fan speed or 
controls, use the as-shipped settings.
    a. For all ducted heating-only blower coil system heat pumps, 
except those having a constant-air-volume-rate indoor blower. 
Conduct the following steps only during the first test, the H1 or 
H12 test:
    Step (1) Adjust the exhaust fan of the airflow measuring 
apparatus to achieve the certified heating full-load air volume 
rate.
    Step (2) Measure the external static pressure.
    Step (3) If this pressure is equal to or greater than the Table 
4 minimum external static pressure that applies given the heating-
only heat pump's rated heating capacity, the pressure requirement is 
satisfied; proceed to step 7 of this section. If this pressure is 
not equal to or greater than the applicable Table 4 minimum external 
static pressure, proceed to step 4 of this section;
    Step (4) Increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until either--
    (i) The pressure is equal to the applicable Table 4 minimum 
external static pressure; or
    (ii) The measured air volume rate equals 90 percent or less of 
the heating full-load air volume rate, whichever occurs first;
    Step (5) If the conditions of step 4 (i) of this section occur 
first, the pressure requirement is satisfied; proceed to step 7 of 
this section. If the conditions of step 4 (ii) of this section occur 
first, proceed to step 6 of this section;
    Step (6) Make an incremental change to the setup of the indoor 
blower (e.g., next highest fan motor pin setting, next highest fan 
motor speed) and repeat the evaluation process beginning above, at 
step 1 of this section. If the indoor blower setup cannot be further 
changed, increase the external static pressure by adjusting the 
exhaust fan of the airflow measuring apparatus until it equals the 
applicable Table 4 minimum external static pressure; proceed to step 
7 of this section;
    Step (7) The airflow constraints have been satisfied. Use the 
measured air volume rate as the heating full-load air volume rate. 
Use the final fan speed or control settings for all tests that use 
the heating full-load air volume rate.
    b. For ducted heating-only blower coil system heat pumps having 
a constant-air-volume-rate indoor blower. For all tests that specify 
the heating full-load air volume rate, obtain an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b of this section, greater than 10 percent, while 
being as close to, but not less than, the applicable Table 4 
minimum. Additional test steps as described in section 3.9.1.c of 
this appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.
    c. For ducted heating-only coil-only system heat pumps in the H1 
or H12 Test, (exclusively), the pressure drop across the 
indoor coil assembly must not exceed 0.30 inches of water. If this 
pressure drop is exceeded, reduce the air volume rate until the 
measured pressure drop equals the specified maximum. Use this 
reduced air volume rate for all tests that require the heating full-
load air volume rate.

3.1.4.4.4 Non-Ducted Heat Pumps, Including Non-Ducted Heating-Only Heat 
Pumps

    For non-ducted heat pumps, the heating full-load air volume rate 
is the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water.

3.1.4.5 Heating Minimum Air Volume Rate

3.1.4.5.1 Ducted Heat Pumps Where the Heating and Cooling Minimum Air 
Volume Rates are the Same

    a. Use the cooling minimum air volume rate as the heating 
minimum air volume rate for:
    (1) Ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, and that operates at the same 
airflow-control setting during both the A1 and the 
H11 tests;
    (2) Ducted blower coil system heat pumps with constant-air-flow 
indoor blowers installed that provide the same airflow for the 
A1 and the H11 Tests; and
    (3) Ducted coil-only system heat pumps.
    b. For heat pumps that meet the above criteria ``1'' and ``3,'' 
no minimum requirements apply to the measured external or internal, 
respectively, static pressure. Use the final indoor blower control 
settings as determined when setting the cooling minimum air volume 
rate, and readjust the exhaust fan of the airflow measuring 
apparatus if necessary to reset to the cooling minimum air volume 
rate obtained in section 3.1.4.2 of this appendix. For heat pumps 
that meet the above criterion ``2,'' test at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower or air volume rate variation QVar, defined in 
section 3.1.4.1.1.b, greater than 10 percent, while being as close 
to, but not less than, the same target minimum external static 
pressure as was specified for the A1 cooling mode test. 
Additional test steps as described in section 3.9.1.c of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.

3.1.4.5.2 Ducted Heat Pumps Where the Heating and Cooling Minimum Air 
Volume Rates Are Different Due to Indoor Blower Operation, i.e. Speed 
Adjustment by the System Controls

    Identify the certified heating minimum air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating minimum air volume rate, use the final 
indoor blower control settings as determined when setting the 
cooling minimum air volume rate, and readjust the exhaust fan of the 
airflow measuring apparatus if necessary to reset to the cooling 
minimum air volume obtained in section 3.1.4.2 of this appendix. 
Otherwise, calculate the target minimum external static pressure as 
described in section 3.1.4.2 of this appendix.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static 
pressure as described in section 3.1.4.2.a of this appendix for 
cooling minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct all tests that specify the heating 
minimum air volume rate--(i.e., the H01, H11, 
H21, and H31 Tests)--at an external static 
pressure that does not cause an automatic shutdown of the indoor 
blower while being as close to, but not less than the air volume 
rate variation QVar, defined in section 3.1.4.1.1.b of 
this appendix, greater than 10 percent, while being as close to, but 
not less than the target minimum external static pressure. 
Additional test steps as described in section 3.9.1.c of this 
appendix are required if the measured external static pressure 
exceeds the target value by more than 0.03 inches of water.

[[Page 1550]]

    c. For ducted two-capacity blower coil system northern heat 
pumps, use the appropriate approach of the above two cases.
    d. For ducted two-capacity coil-only system heat pumps, use the 
cooling minimum air volume rate as the heating minimum air volume 
rate. For ducted two-capacity coil-only system northern heat pumps, 
use the cooling full-load air volume rate as the heating minimum air 
volume rate. For ducted two-capacity heating-only coil-only system 
heat pumps, the heating minimum air volume rate is the higher of the 
rate specified by the manufacturer in the test setup instructions 
included with the unit or 75 percent of the heating full-load air 
volume rate. During the laboratory tests on a coil-only system, 
obtain the heating minimum air volume rate without regard to the 
pressure drop across the indoor coil assembly.
    e. For non-ducted heat pumps, the heating minimum air volume 
rate is the air volume rate that results during each test when the 
unit operates at an external static pressure of zero inches of water 
and at the indoor blower setting used at low compressor capacity 
(two-capacity system) or minimum compressor speed (variable-speed 
system). For units having a single-speed compressor and a variable-
speed, variable-air-volume-rate indoor blower, use the lowest fan 
setting allowed for heating.
    f. For ducted systems with multiple indoor blowers within a 
single indoor section, obtain the heating minimum air volume rate 
using the same ``on'' indoor blowers as used for the cooling minimum 
air volume rate. Using the target external static pressure and the 
certified air volume rates, follow the procedures as described in 
section 3.1.4.5.2.a of this appendix if the indoor blowers are not 
constant-air-volume indoor blowers or as described in section 
3.1.4.5.2.b of this appendix if the indoor blowers are constant-air-
volume indoor blowers. The sum of the individual ``on'' indoor 
blowers' air volume rates is the heating full-load air volume rate 
for the system.

3.1.4.6 Heating Intermediate Air Volume Rate

    Identify the certified heating intermediate air volume rate and 
certified instructions for setting fan speed or controls. If there 
is no certified heating intermediate air volume rate, use the final 
indoor blower control settings as determined when setting the 
heating full-load air volume rate, and readjust the exhaust fan of 
the airflow measuring apparatus if necessary to reset to the cooling 
full-load air volume obtained in section 3.1.4.2 of this appendix. 
Calculate the target minimum external static pressure as described 
in section 3.1.4.2 of this appendix.
    a. For ducted blower coil system heat pumps that do not have a 
constant-air-volume indoor blower, adjust for external static 
pressure as described in section 3.1.4.2.a of this appendix for 
cooling minimum air volume rate.
    b. For ducted heat pumps tested with constant-air-volume indoor 
blowers installed, conduct the H2V Test at an external 
static pressure that does not cause an automatic shutdown of the 
indoor blower or air volume rate variation QVar, defined 
in section 3.1.4.1.1.b of this appendix, greater than 10 percent, 
while being as close to, but not less than the target minimum 
external static pressure. Additional test steps as described in 
section 3.9.1.c of this appendix are required if the measured 
external static pressure exceeds the target value by more than 0.03 
inches of water.
    c. For non-ducted heat pumps, the heating intermediate air 
volume rate is the air volume rate that results when the heat pump 
operates at an external static pressure of zero inches of water and 
at the fan speed selected by the controls of the unit for the 
H2V Test conditions.

3.1.4.7 Heating Nominal Air Volume Rate

    The manufacturer must specify the heating nominal air volume 
rate and the instructions for setting fan speed or controls. 
Calculate target minimum external static pressure as described in 
section 3.1.4.2 of this appendix. Make adjustments as described in 
section 3.14.6 of this appendix for heating intermediate air volume 
rate so that the target minimum external static pressure is met or 
exceeded.

3.1.5 Indoor Test Room Requirement When the Air Surrounding the Indoor 
Unit is Not Supplied From the Same Source as the Air Entering the 
Indoor Unit

    If using a test set-up where air is ducted directly from the air 
reconditioning apparatus to the indoor coil inlet (see Figure 2, 
Loop Air-Enthalpy Test Method Arrangement, of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3)), maintain the dry bulb 
temperature within the test room within 5.0[emsp14][deg]F of the applicable sections 3.2 and 3.6 dry 
bulb temperature test condition for the air entering the indoor 
unit. Dew point must be within 2[emsp14][deg]F of the required inlet 
conditions.

3.1.6 Air Volume Rate Calculations

    For all steady-state tests and for frost accumulation (H2, 
H21, H22, H2V) tests, calculate the 
air volume rate through the indoor coil as specified in sections 
7.7.2.1 and 7.7.2.2 of ANSI/ASHRAE 37-2009. When using the outdoor 
air enthalpy method, follow sections 7.7.2.1 and 7.7.2.2 of ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) to 
calculate the air volume rate through the outdoor coil. To express 
air volume rates in terms of standard air, use:
[GRAPHIC] [TIFF OMITTED] TR05JA17.155

Where:

Vis = air volume rate of standard (dry) air, (ft\3\/
min)da

Vimx = air volume rate of the air-water vapor mixture, 
(ft\3\/min)mx

vn' = specific volume of air-water vapor mixture at the 
nozzle, ft\3\ per lbm of the air-water vapor mixture

Wn = humidity ratio at the nozzle, lbm of water vapor per 
lbm of dry air

0.075 = the density associated with standard (dry) air, (lbm/ft\3\)

vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.

    (Note: In the first printing of ANSI/ASHRAE 37-2009, the second 
IP equation for Qmi should read,
[GRAPHIC] [TIFF OMITTED] TR05JA17.156

3.1.7 Test Sequence

    Before making test measurements used to calculate performance, 
operate the equipment for the ``break-in'' period specified in the 
certification report, which may not exceed 20 hours. Each compressor 
of the unit must undergo this ``break-in'' period. When testing a 
ducted unit (except if a heating-only heat pump), conduct the A or 
A2 Test first to establish the cooling full-load air 
volume rate. For ducted heat pumps where the heating and cooling 
full-load air volume rates are different, make the first heating 
mode test one that requires the heating full-load air volume rate. 
For ducted heating-only heat pumps, conduct the H1 or H12 
Test first to establish the heating full-load air volume rate. When 
conducting a cyclic test, always conduct it immediately after the 
steady-state test that requires the same test conditions. For 
variable-speed systems, the first test using the cooling minimum air 
volume rate should precede the EV Test, and the first 
test using the heating minimum air volume rate must precede the 
H2V Test. The test laboratory makes all other decisions 
on the test sequence.

3.1.8 Requirement for the Air Temperature Distribution Leaving the 
Indoor Coil

    For at least the first cooling mode test and the first heating 
mode test, monitor the temperature distribution of the air leaving 
the indoor coil using the grid of individual sensors described in 
sections 2.5 and 2.5.4 of this appendix. For the 30-minute data 
collection interval used to determine capacity, the maximum spread 
among the outlet dry bulb temperatures from any data sampling must 
not exceed 1.5[emsp14][deg]F. Install the mixing devices described 
in section 2.5.4.2 of this appendix to minimize the temperature 
spread.

[[Page 1551]]

3.1.9 Requirement for the Air Temperature Distribution Entering the 
Outdoor Coil

    Monitor the Temperatures of the Air Entering the Outdoor Coil 
Using Air Sampling Devices and/or Temperature Sensor Grids, 
Maintaining the Required Tolerances, if Applicable, as Described in 
section 2.11 of this appendix

3.1.10 Control of Auxiliary Resistive Heating Elements

    Except as noted, disable heat pump resistance elements used for 
heating indoor air at all times, including during defrost cycles and 
if they are normally regulated by a heat comfort controller. For 
heat pumps equipped with a heat comfort controller, enable the heat 
pump resistance elements only during the below-described, short 
test. For single-speed heat pumps covered under section 3.6.1 of 
this appendix, the short test follows the H1 or, if conducted, the 
H1C Test. For two-capacity heat pumps and heat pumps covered under 
section 3.6.2 of this appendix, the short test follows the 
H12 Test. Set the heat comfort controller to provide the 
maximum supply air temperature. With the heat pump operating and 
while maintaining the heating full-load air volume rate, measure the 
temperature of the air leaving the indoor-side beginning 5 minutes 
after activating the heat comfort controller. Sample the outlet dry-
bulb temperature at regular intervals that span 5 minutes or less. 
Collect data for 10 minutes, obtaining at least 3 samples. Calculate 
the average outlet temperature over the 10-minute interval, 
TCC.

3.2 Cooling Mode Tests for Different Types of Air Conditioners and 
Heat Pumps

3.2.1 Tests for a System Having a Single-Speed Compressor and Fixed 
Cooling Air Volume Rate

    This set of tests is for single-speed-compressor units that do 
not have a cooling minimum air volume rate or a cooling intermediate 
air volume rate that is different than the cooling full load air 
volume rate. Conduct two steady-state wet coil tests, the A and B 
Tests. Use the two optional dry-coil tests, the steady-state C Test 
and the cyclic D Test, to determine the cooling mode cyclic 
degradation coefficient, CD\c\. If the two optional tests 
are conducted but yield a tested CD\c\ that exceeds the 
default CD\c\ or if the two optional tests are not 
conducted, assign CD\c\ the default value of 0.25 (for 
outdoor units with no match) or 0.2 (for all other systems). Table 5 
specifies test conditions for these four tests.

                  Table 5--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed Cooling Air Volume Rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                               Air entering indoor  unit      Air entering outdoor  unit
                                                 temperature  ([deg]F)           temperature  ([deg]F)
             Test description              ----------------------------------------------------------------            Cooling air volume rate
                                               Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A Test--required (steady, wet coil).......              80              67              95          \1\ 75  Cooling full-load \2\.
B Test--required (steady, wet coil).......              80              67              82          \1\ 65  Cooling full-load \2\.
C Test--optional (steady, dry coil).......              80           (\3\)              82  ..............  Cooling full-load \2\.
D Test--optional (cyclic, dry coil).......              80           (\3\)              82  ..............  (\4\).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 57[emsp14][deg]F or less be used.)
\4\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the C Test.

3.2.2 Tests for a Unit Having a Single-Speed Compressor Where the 
Indoor Section Uses a Single Variable-Speed Variable-Air-Volume Rate 
Indoor Blower or Multiple Indoor Blowers

3.2.2.1 Indoor Blower Capacity Modulation That Correlates With the 
Outdoor Dry Bulb Temperature or Systems With a Single Indoor Coil but 
Multiple Indoor Blowers

    Conduct four steady-state wet coil tests: The A2, 
A1, B2, and B1 tests. Use the two 
optional dry-coil tests, the steady-state C1 test and the 
cyclic D1 test, to determine the cooling mode cyclic 
degradation coefficient, CD\c\. If the two optional tests 
are conducted but yield a tested CD\c\ that exceeds the 
default CD\c\ or if the two optional tests are not 
conducted, assign CD\c\ the default value of 0.2.

3.2.2.2 Indoor Blower Capacity Modulation Based on Adjusting the 
Sensible to Total (S/T) Cooling Capacity Ratio

    The testing requirements are the same as specified in section 
3.2.1 of this appendix and Table 5. Use a cooling full-load air 
volume rate that represents a normal installation. If performed, 
conduct the steady-state C Test and the cyclic D Test with the unit 
operating in the same S/T capacity control mode as used for the B 
Test.

  Table 6--Cooling Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.2.2.1
                                            Indoor Unit Requirements
----------------------------------------------------------------------------------------------------------------
                                   Air entering indoor  unit      Air entering outdoor  unit
                                     temperature  ([deg]F)           temperature  ([deg]F)         Cooling air
       Test description        ----------------------------------------------------------------    volume rate
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
----------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet              80              67              95          \1\ 75  Cooling full-
 coil).                                                                                          load \2\.
A1 Test--required (steady, wet              80              67              95          \1\ 75  Cooling minimum
 coil).                                                                                          \3\.
B2 Test--required (steady, wet              80              67              82          \1\ 65  Cooling full-
 coil).                                                                                          load \2\.
B1 Test--required (steady, wet              80              67              82          \1\ 65  Cooling minimum
 coil).                                                                                          \3\.
C1 Test\4\--optional (steady,               80           (\4\)              82  ..............  Cooling minimum
 dry coil).                                                                                      \3\.
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 of this appendix.
\3\ Defined in section 3.1.4.2 of this appendix.

[[Page 1552]]

 
\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[emsp14][deg]F or less be used.)
\5\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the C1 Test.

3.2.3 Tests for a Unit Having a Two-Capacity Compressor. (See Section 
1.2 of This Appendix, Definitions)

    a. Conduct four steady-state wet coil tests: the A2, 
B2, B1, and F1 Tests. Use the two 
optional dry-coil tests, the steady-state C1 Test and the 
cyclic D1 Test, to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. If the two optional tests 
are conducted but yield a tested CD\c\ that exceeds the 
default CD\c\ or if the two optional tests are not 
conducted, assign CD\c\ the default value of 0.2. Table 7 
specifies test conditions for these six tests.
    b. For units having a variable-speed indoor blower that is 
modulated to adjust the sensible to total (S/T) cooling capacity 
ratio, use cooling full-load and cooling minimum air volume rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the B1 Test.
    c. Test two-capacity, northern heat pumps (see section 1.2 of 
this appendix, Definitions) in the same way as a single speed heat 
pump with the unit operating exclusively at low compressor capacity 
(see section 3.2.1 of this appendix and Table 5).
    d. If a two-capacity air conditioner or heat pump locks out low-
capacity operation at higher outdoor temperatures, then use the two 
dry-coil tests, the steady-state C2 Test and the cyclic 
D2 Test, to determine the cooling-mode cyclic-degradation 
coefficient that only applies to on/off cycling from high capacity, 
CD\c\(k=2). If the two optional tests are conducted but 
yield a tested CD\c\(k = 2) that exceeds the default 
CD\c\(k = 2) or if the two optional tests are not 
conducted, assign CD\c\(k = 2) the default value. The 
default CD\c\(k=2) is the same value as determined or 
assigned for the low-capacity cyclic-degradation coefficient, 
CD\c\ [or equivalently, CD\c\(k=1)].

                                    Table 7--Cooling Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Air entering indoor  unit      Air entering outdoor  unit
                                       temperature  ([deg]F)           temperature  ([deg]F)
        Test description         ---------------------------------------------------------------- Compressor capacity       Cooling air volume rate
                                     Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet                80              67              95          \1\ 75  High...............  Cooling Full-Load.\2\
 coil).
B2 Test--required (steady, wet                80              67              82          \1\ 65  High...............  Cooling Full-Load.\2\
 coil).
B1 Test--required (steady, wet                80              67              82          \1\ 65  Low................  Cooling Minimum.\3\
 coil).
C2 Test--optional (steady, dry-               80           (\4\)              82  ..............  High...............  Cooling Full-Load.\2\
 coil).
D2 Test--optional (cyclic, dry-               80           (\4\)              82  ..............  High...............  (\5\).
 coil).
C1 Test--optional (steady, dry-               80           (\4\)              82  ..............  Low................  Cooling Minimum.\3\
 coil).
D1 Test--optional (cyclic, dry-               80           (\4\)              82  ..............  Low................  (\6\).
 coil).
F1 Test--required (steady, wet                80              67              67        \1\ 53.5  Low................  Cooling Minimum.\3\
 coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ Defined in section 3.1.4.2 of this appendix.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet-bulb
  temperature of 57[emsp14][deg]F or less.
\5\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C2 Test.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C1 Test.

3.2.4 Tests for a Unit Having a Variable-Speed Compressor

    a. Conduct five steady-state wet coil tests: The A2, 
EV, B2, B1, and F1 
Tests. Use the two optional dry-coil tests, the steady-state 
G1 Test and the cyclic I1 Test, to determine 
the cooling mode cyclic degradation coefficient, CD\c\. 
If the two optional tests are conducted but yield a tested 
CD\c\ that exceeds the default CD\c\ or if the 
two optional tests are not conducted, assign CD\c\ the 
default value of 0.25. Table 8 specifies test conditions for these 
seven tests. The compressor shall operate at the same cooling full 
speed, measured by RPM or power input frequency (Hz), for both the 
A2 and B2 tests. The compressor shall operate 
at the same cooling minimum speed, measured by RPM or power input 
frequency (Hz), for the B1, F1, G1, 
and I1 tests. Determine the cooling intermediate 
compressor speed cited in Table 8 using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.157

where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed.
    b. For units that modulate the indoor blower speed to adjust the 
sensible to total (S/T) cooling capacity ratio, use cooling full-
load, cooling intermediate, and cooling minimum air volume rates 
that represent a normal installation. Additionally, if conducting 
the dry-coil tests, operate the unit

[[Page 1553]]

in the same S/T capacity control mode as used for the F1 
Test.
    c. For multiple-split air conditioners and heat pumps (except 
where noted), the following procedures supersede the above 
requirements: For all Table 8 tests specified for a minimum 
compressor speed, turn off at least one indoor unit. The 
manufacturer shall designate the particular indoor unit(s) that is 
turned off. The manufacturer must also specify the compressor speed 
used for the Table 8 EV Test, a cooling-mode intermediate 
compressor speed that falls within \1/4\ and \3/4\ of the difference 
between the full and minimum cooling-mode speeds. The manufacturer 
should prescribe an intermediate speed that is expected to yield the 
highest EER for the given EV Test conditions and 
bracketed compressor speed range. The manufacturer can designate 
that one or more indoor units are turned off for the EV 
Test.

                                    Table 8--Cooling Mode Test Condition for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Air entering indoor  unit      Air entering outdoor  unit
                                       temperature  ([deg]F)           temperature  ([deg]F)
        Test description         ----------------------------------------------------------------   Compressor speed        Cooling air volume rate
                                     Dry bulb        Wet bulb        Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet                80              67              95          \1\ 75  Cooling Full.......  Cooling Full-Load.\2\
 coil).
B2 Test--required (steady, wet                80              67              82          \1\ 65  Cooling Full.......  Cooling Full-Load.\2\
 coil).
EV Test--required (steady, wet                80              67              87          \1\ 69  Cooling              Cooling Intermediate.\3\
 coil).                                                                                            Intermediate.
B1 Test--required (steady, wet                80              67              82          \1\ 65  Cooling Minimum....  Cooling Minimum.\4\
 coil).
F1 Test--required (steady, wet                80              67              67        \1\ 53.5  Cooling Minimum....  Cooling Minimum.\4\
 coil).
G1 Test \5\--optional (steady,                80           (\6\)              67  ..............  Cooling Minimum....  Cooling Minimum.\4\
 dry-coil).
I1 Tes t\5\--optional (cyclic,                80           (\6\)              67  ..............  Cooling Minimum....  (\6\).
 dry-coil).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1 of this appendix.
\3\ Defined in section 3.1.4.3 of this appendix.
\4\ Defined in section 3.1.4.2 of this appendix.
\5\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet bulb
  temperature of 57[emsp14][deg]F or less.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the G1 Test.

3.2.5 Cooling Mode Tests for Northern Heat Pumps With Triple-Capacity 
Compressors

    Test triple-capacity, northern heat pumps for the cooling mode 
in the same way as specified in section 3.2.3 of this appendix for 
units having a two-capacity compressor.

3.2.6 Tests for an Air Conditioner or Heat Pump Having a Single Indoor 
Unit Having Multiple Indoor Blowers and Offering Two Stages of 
Compressor Modulation

    Conduct the cooling mode tests specified in section 3.2.3 of 
this appendix.

3.3 Test Procedures for Steady-State Wet Coil Cooling Mode Tests (the 
A, A2, A1, B, B2, B1, 
EV, and F1 Tests)

    a. For the pretest interval, operate the test room 
reconditioning apparatus and the unit to be tested until maintaining 
equilibrium conditions for at least 30 minutes at the specified 
section 3.2 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the test 
unit to obtain and then maintain the indoor air volume rate and/or 
external static pressure specified for the particular test. 
Continuously record (see section 1.2 of this appendix, Definitions):
    (1) The dry-bulb temperature of the air entering the indoor 
coil,
    (2) The water vapor content of the air entering the indoor coil,
    (3) The dry-bulb temperature of the air entering the outdoor 
coil, and
    (4) For the section 2.2.4 of this appendix cases where its 
control is required, the water vapor content of the air entering the 
outdoor coil.
    Refer to section 3.11 of this appendix for additional 
requirements that depend on the selected secondary test method.
    b. After satisfying the pretest equilibrium requirements, make 
the measurements specified in Table 3 of ANSI/ASHRAE 37-2009 for the 
indoor air enthalpy method and the user-selected secondary method. 
Make said Table 3 measurements at equal intervals that span 5 
minutes or less. Continue data sampling until reaching a 30-minute 
period (e.g., seven consecutive 5-minute samples) where the test 
tolerances specified in Table 9 are satisfied. For those 
continuously recorded parameters, use the entire data set from the 
30-minute interval to evaluate Table 9 compliance. Determine the 
average electrical power consumption of the air conditioner or heat 
pump over the same 30-minute interval.
    c. Calculate indoor-side total cooling capacity and sensible 
cooling capacity as specified in sections 7.3.3.1 and 7.3.3.3 of 
ANSI/ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3). To 
calculate capacity, use the averages of the measurements (e.g. inlet 
and outlet dry bulb and wet bulb temperatures measured at the 
psychrometers) that are continuously recorded for the same 30-minute 
interval used as described above to evaluate compliance with test 
tolerances. Do not adjust the parameters used in calculating 
capacity for the permitted variations in test conditions. Evaluate 
air enthalpies based on the measured barometric pressure. Use the 
values of the specific heat of air given in section 7.3.3.1 of ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) for 
calculation of the sensible cooling capacities. Assign the average 
total space cooling capacity, average sensible cooling capacity, and 
electrical power consumption over the 30-minute data collection 
interval to the variables Qc\k\(T), Qsc\k\(T) 
and Ec\k\(T), respectively. For these three variables, 
replace the ``T'' with the nominal outdoor temperature at which the 
test was conducted. The superscript k is used only when testing 
multi-capacity units. Use the superscript k=2 to denote a test with 
the unit operating at high capacity or full speed, k=1 to denote low 
capacity or minimum speed, and k=v to denote the intermediate speed.
    d. For mobile home and space-constrained ducted coil-only system 
tests, decrease Qc\k\(T) by

[[Page 1554]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.158

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm).
    For non-mobile, non-space-constrained home ducted coil-only 
system tests, decrease Qc\k\(T) by
[GRAPHIC] [TIFF OMITTED] TR05JA17.159

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

  Table 9--Test Operating and Test Condition Tolerances for Section 3.3
    Steady-State Wet Coil Cooling Mode Tests and Section 3.4 Dry Coil
                           Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F
    Entering temperature................             2.0             0.5
    Leaving temperature.................             2.0  ..............
Indoor wet-bulb, [deg]F
    Entering temperature................             1.0         \2\ 0.3
    Leaving temperature.................         \2\ 1.0  ..............
Outdoor dry-bulb, [deg]F
    Entering temperature................             2.0             0.5
    Leaving temperature.................         \3\ 2.0  ..............
Outdoor wet-bulb, [deg]F
    Entering temperature................             1.0         \4\ 0.3
    Leaving temperature.................         \3\ 1.0  ..............
External resistance to airflow, inches              0.05        \5\ 0.02
 of water...............................
Electrical voltage, % of reading........             2.0             1.5
Nozzle pressure drop, % of reading......             2.0  ..............
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Only applies during wet coil tests; does not apply during steady-
  state, dry coil cooling mode tests.
\3\ Only applies when using the outdoor air enthalpy method.
\4\ Only applies during wet coil cooling mode tests where the unit
  rejects condensate to the outdoor coil.
\5\ Only applies when testing non-ducted units.

    e. For air conditioners and heat pumps having a constant-air-
volume-rate indoor blower, the five additional steps listed below 
are required if the average of the measured external static 
pressures exceeds the applicable sections 3.1.4 minimum (or target) 
external static pressure ([Delta]Pmin) by 0.03 inches of 
water or more.
    (1) Measure the average power consumption of the indoor blower 
motor (Efan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the 30-minute interval used for determining capacity.
    (2) After completing the 30-minute interval and while 
maintaining the same test conditions, adjust the exhaust fan of the 
airflow measuring apparatus until the external static pressure 
increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    (3) After re-establishing steady readings of the fan motor power 
and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    (4) Approximate the average power consumption of the indoor 
blower motor at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.160

    (5) Increase the total space cooling capacity, 
Qc\k\(T), by the quantity (Efan,1 - 
Efan,min), when expressed on a Btu/h basis. Decrease the 
total electrical power, Ec\k\(T), by the same fan power 
difference, now expressed in watts.

3.4 Test Procedures for the Steady-State Dry-Coil Cooling-Mode Tests 
(the C, C1, C2, and G1 Tests)

    a. Except for the modifications noted in this section, conduct 
the steady-state dry coil cooling mode tests as specified in section 
3.3 of this appendix for wet coil tests. Prior to recording data 
during the steady-state dry coil test, operate the unit at least one 
hour after achieving dry coil conditions. Drain the drain pan and 
plug the drain opening. Thereafter, the drain pan should remain 
completely dry.
    b. Denote the resulting total space cooling capacity and 
electrical power derived from the test as Qss,dry and 
Ess,dry. With regard to a section 3.3 deviation, do not 
adjust Qss,dry for duct losses (i.e., do not apply 
section 7.3.3.3 of ANSI/ASHRAE 37-2009). In preparing for the 
section 3.5 cyclic tests of this appendix, record the average 
indoor-side air volume rate, Vi, specific heat of the air, Cp,a

[[Page 1555]]

(expressed on dry air basis), specific volume of the air at the 
nozzles, v'n, humidity ratio at the nozzles, 
Wn, and either pressure difference or velocity pressure 
for the flow nozzles. For units having a variable-speed indoor 
blower (that provides either a constant or variable air volume rate) 
that will or may be tested during the cyclic dry coil cooling mode 
test with the indoor blower turned off (see section 3.5 of this 
appendix), include the electrical power used by the indoor blower 
motor among the recorded parameters from the 30-minute test.
    c. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TR05JA17.161

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

3.5 Test Procedures for the Cyclic Dry-Coil Cooling-Mode Tests (the D, 
D1, D2, and I1 Tests)

    After completing the steady-state dry-coil test, remove the 
outdoor air enthalpy method test apparatus, if connected, and begin 
manual OFF/ON cycling of the unit's compressor. The test set-up 
should otherwise be identical to the set-up used during the steady-
state dry coil test. When testing heat pumps, leave the reversing 
valve during the compressor OFF cycles in the same position as used 
for the compressor ON cycles, unless automatically changed by the 
controls of the unit. For units having a variable-speed indoor 
blower, the manufacturer has the option of electing at the outset 
whether to conduct the cyclic test with the indoor blower enabled or 
disabled. Always revert to testing with the indoor blower disabled 
if cyclic testing with the fan enabled is unsuccessful.
    a. For all cyclic tests, the measured capacity must be adjusted 
for the thermal mass stored in devices and connections located 
between measured points. Follow the procedure outlined in section 
7.4.3.4.5 of ASHRAE 116-2010 (incorporated by reference, see Sec.  
430.3) to ensure any required measurements are taken.
    b. For units having a single-speed or two-capacity compressor, 
cycle the compressor OFF for 24 minutes and then ON for 6 minutes 
([Delta][tau]cyc,dry = 0.5 hours). For units having a 
variable-speed compressor, cycle the compressor OFF for 48 minutes 
and then ON for 12 minutes ([Delta][tau]cyc,dry = 1.0 
hours). Repeat the OFF/ON compressor cycling pattern until the test 
is completed. Allow the controls of the unit to regulate cycling of 
the outdoor fan. If an upturned duct is used, measure the dry-bulb 
temperature at the inlet of the device at least once every minute 
and ensure that its test operating tolerance is within 
1.0[emsp14][deg]F for each compressor OFF period.
    c. Sections 3.5.1 and 3.5.2 of this appendix specify airflow 
requirements through the indoor coil of ducted and non-ducted indoor 
units, respectively. In all cases, use the exhaust fan of the 
airflow measuring apparatus (covered under section 2.6 of this 
appendix) along with the indoor blower of the unit, if installed and 
operating, to approximate a step response in the indoor coil 
airflow. Regulate the exhaust fan to quickly obtain and then 
maintain the flow nozzle static pressure difference or velocity 
pressure at the same value as was measured during the steady-state 
dry coil test. The pressure difference or velocity pressure should 
be within 2 percent of the value from the steady-state dry coil test 
within 15 seconds after airflow initiation. For units having a 
variable-speed indoor blower that ramps when cycling on and/or off, 
use the exhaust fan of the airflow measuring apparatus to impose a 
step response that begins at the initiation of ramp up and ends at 
the termination of ramp down.
    d. For units having a variable-speed indoor blower, conduct the 
cyclic dry coil test using the pull-thru approach described below if 
any of the following occur when testing with the fan operating:
    (1) The test unit automatically cycles off;
    (2) Its blower motor reverses; or
    (3) The unit operates for more than 30 seconds at an external 
static pressure that is 0.1 inches of water or more higher than the 
value measured during the prior steady-state test.
    For the pull-thru approach, disable the indoor blower and use 
the exhaust fan of the airflow measuring apparatus to generate the 
specified flow nozzles static pressure difference or velocity 
pressure. If the exhaust fan cannot deliver the required pressure 
difference because of resistance created by the unpowered indoor 
blower, temporarily remove the indoor blower.
    e. Conduct three complete compressor OFF/ON cycles with the test 
tolerances given in Table 10 satisfied. Calculate the degradation 
coefficient CD for each complete cycle. If all three 
CD values are within 0.02 of the average CD 
then stability has been achieved, use the highest CD 
value of these three. If stability has not been achieved, conduct 
additional cycles, up to a maximum of eight cycles, until stability 
has been achieved between three consecutive cycles. Once stability 
has been achieved, use the highest CD value of the three 
consecutive cycles that establish stability. If stability has not 
been achieved after eight cycles, use the highest CD from 
cycle one through cycle eight, or the default CD, 
whichever is lower.
    f. With regard to the Table 10 parameters, continuously record 
the dry-bulb temperature of the air entering the indoor and outdoor 
coils during periods when air flows through the respective coils. 
Sample the water vapor content of the indoor coil inlet air at least 
every 2 minutes during periods when air flows through the coil. 
Record external static pressure and the air volume rate indicator 
(either nozzle pressure difference or velocity pressure) at least 
every minute during the interval that air flows through the indoor 
coil. (These regular measurements of the airflow rate indicator are 
in addition to the required measurement at 15 seconds after flow 
initiation.) Sample the electrical voltage at least every 2 minutes 
beginning 30 seconds after compressor start-up. Continue until the 
compressor, the outdoor fan, and the indoor blower (if it is 
installed and operating) cycle off.
    g. For ducted units, continuously record the dry-bulb 
temperature of the air entering (as noted above) and leaving the 
indoor coil. Or if using a thermopile, continuously record the 
difference between these two temperatures during the interval that 
air flows through the indoor coil. For non-ducted units, make the 
same dry-bulb temperature measurements beginning when the compressor 
cycles on and ending when indoor coil airflow ceases.
    h. Integrate the electrical power over complete cycles of length 
[Delta][tau]cyc,dry. For ducted blower coil systems 
tested with the unit's indoor blower operating for the cycling test, 
integrate electrical power from indoor blower OFF to indoor blower 
OFF. For all other ducted units and for non-ducted units, integrate 
electrical power from compressor OFF to compressor OFF. (Some cyclic 
tests will use the same data collection intervals to determine the 
electrical energy and the total space cooling. For other units, 
terminate data collection used to determine the electrical energy 
before terminating data collection used to determine total space 
cooling.)

[[Page 1556]]



  Table 10--Test Operating and Test Condition Tolerances for Cyclic Dry
                         Coil Cooling Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature,\2\             2.0             0.5
 [deg]F.................................
Indoor entering wet-bulb temperature,     ..............           (\3\)
 [deg]F.................................
Outdoor entering dry-bulb                            2.0             0.5
 temperature,\2\ [deg]F.................
External resistance to airflow,\2\                  0.05  ..............
 inches of water........................
Airflow nozzle pressure difference or                2.0         \4\ 2.0
 velocity pressure,\2\% of reading......
Electrical voltage,\5\ % of reading.....             2.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow apply from 30
  seconds after achieving full speed until ramp down begins.
\3\ Shall at no time exceed a wet-bulb temperature that results in
  condensate forming on the indoor coil.
\4\ The test condition must be the average nozzle pressure difference or
  velocity pressure measured during the steady-state dry coil test.
\5\ Applies during the interval when at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating except for the first 30 seconds after compressor start-up.

    If the Table 10 tolerances are satisfied over the complete 
cycle, record the measured electrical energy consumption as 
ecyc,dry and express it in units of watt-hours. Calculate 
the total space cooling delivered, qcyc,dry, in units of 
Btu using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.162

Where,

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

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at time [tau], [deg]F.

Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at time [tau], [deg]F.

[tau]1 = for ducted units, the elapsed time when airflow 
is initiated through the indoor coil; for non-ducted units, the 
elapsed time when the compressor is cycled on, hr.

[tau]2 = the elapsed time when indoor coil airflow 
ceases, hr.

    Adjust the total space cooling delivered, qcyc,dry, 
according to calculation method outlined in section 7.4.3.4.5 of 
ASHRAE 116-2010 (incorporated by reference, see Sec.  430.3).

3.5.1 Procedures When Testing Ducted Systems

    The automatic controls that are installed in the test unit must 
govern the OFF/ON cycling of the air moving equipment on the indoor 
side (exhaust fan of the airflow measuring apparatus and the indoor 
blower of the test unit). For ducted coil-only systems rated based 
on using a fan time-delay relay, control the indoor coil airflow 
according to the OFF delay listed by the manufacturer in the 
certification report. For ducted units having a variable-speed 
indoor blower that has been disabled (and possibly removed), start 
and stop the indoor airflow at the same instances as if the fan were 
enabled. For all other ducted coil-only systems, cycle the indoor 
coil airflow in unison with the cycling of the compressor. If air 
damper boxes are used, close them on the inlet and outlet side 
during the OFF period. Airflow through the indoor coil should stop 
within 3 seconds after the automatic controls of the test unit (act 
to) de-energize the indoor blower. For mobile home and space-
constrained ducted coil-only systems increase ecyc,dry by 
the quantity,
[GRAPHIC] [TIFF OMITTED] TR05JA17.163

[GRAPHIC] [TIFF OMITTED] TR05JA17.164

where V is is the average indoor air volume rate from the 
section 3.4 dry coil steady-state test and is expressed in units of 
cubic feet per minute of standard air (scfm). For ducted non-mobile, 
non-space-constrained home coil-only units increase 
ecyc,dry by the quantity,
[GRAPHIC] [TIFF OMITTED] TR05JA17.165

[GRAPHIC] [TIFF OMITTED] TR05JA17.166


[[Page 1557]]


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

3.5.2 Procedures When Testing Non-Ducted Indoor Units

    Do not use airflow prevention devices when conducting cyclic 
tests on non-ducted indoor units. Until the last OFF/ON compressor 
cycle, airflow through the indoor coil must cycle off and on in 
unison with the compressor. For the last OFF/ON compressor cycle--
the one used to determine ecyc,dry and 
qcyc,dry--use the exhaust fan of the airflow measuring 
apparatus and the indoor blower of the test unit to have indoor 
airflow start 3 minutes prior to compressor cut-on and end three 
minutes after compressor cutoff. Subtract the electrical energy used 
by the indoor blower during the 3 minutes prior to compressor cut-on 
from the integrated electrical energy, ecyc,dry. Add the 
electrical energy used by the indoor blower during the 3 minutes 
after compressor cutoff to the integrated cooling capacity, 
qcyc,dry. For the case where the non-ducted indoor unit 
uses a variable-speed indoor blower which is disabled during the 
cyclic test, correct ecyc,dry and qcyc,dry 
using the same approach as prescribed in section 3.5.1 of this 
appendix for ducted units having a disabled variable-speed indoor 
blower.

3.5.3 Cooling-Mode Cyclic-Degradation Coefficient Calculation

    Use the two dry-coil tests to determine the cooling-mode cyclic-
degradation coefficient, CD\c\. Append ``(k=2)'' to the 
coefficient if it corresponds to a two-capacity unit cycling at high 
capacity. If the two optional tests are conducted but yield a tested 
CD\c\ that exceeds the default CD\c\ or if the 
two optional tests are not conducted, assign CD\c\ the 
default value of 0.25 for variable-speed compressor systems and 
outdoor units with no match, and 0.20 for all other systems. The 
default value for two-capacity units cycling at high capacity, 
however, is the low-capacity coefficient, i.e., 
CD\c\(k=2) = CD\c\. Evaluate CD\c\ 
using the above results and those from the section 3.4 dry-coil 
steady-state test.
[GRAPHIC] [TIFF OMITTED] TR05JA17.167

Where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.168

the average energy efficiency ratio during the cyclic dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR05JA17.169

the average energy efficiency ratio during the steady-state dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR05JA17.170

the cooling load factor dimensionless
    Round the calculated value for CD\c\ to the nearest 
0.01. If CD\c\ is negative, then set it equal to zero.

3.6 Heating Mode Tests for Different Types of Heat Pumps, Including 
Heating-Only Heat Pumps

3.6.1 Tests for a Heat Pump Having a Single-Speed Compressor and Fixed 
Heating Air Volume Rate

    This set of tests is for single-speed-compressor heat pumps that 
do not have a heating minimum air volume rate or a heating 
intermediate air volume rate that is different than the heating full 
load air volume rate. Conducting a very low temperature test (H4) is 
optional. Conduct the optional high temperature cyclic (H1C) test to 
determine the heating mode cyclic-degradation coefficient, 
CD\h\. If this optional test is conducted but yields a 
tested CD\h\ that exceeds the default CD\h\ or 
if the optional test is not conducted, assign CD\h\ the 
default value of 0.25. Test conditions for the five tests are 
specified in Table 11 of this section.

  Table 11--Heating Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor Blower, a Constant Air Volume Rate Indoor
                                                                  Blower, or Coil-Only
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Air entering indoor unit temperature    Air entering outdoor unit temperature
                                                   ([deg]F)                                 ([deg]F)
         Test description         ----------------------------------------------------------------------------------       Heating air volume rate
                                      Dry bulb             Wet bulb            Dry bulb             Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H1 Test (required, steady).......              70  60\(max)\..............              47  43.....................  Heating Full-load.\1\
H1C Test (optional, cyclic)......              70  60\(max)\..............              47  43.....................  (\2\).
H2 Test (required)...............              70  60\(max)\..............              35  33.....................  Heating Full-load.\1\
H3 Test (required, steady).......              70  60\(max)\..............              17  15.....................  Heating Full-load.\1\
H4 Test (optional, steady).......              70  60\(max)\..............               5  3\(max)\...............  Heating Full-load.\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4 of this appendix.
\2\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the H1 Test.

3.6.2 Tests for a Heat Pump Having a Single-Speed Compressor and a 
Single Indoor Unit Having Either (1) a Variable-Speed, Variable-Air-
Rate Indoor Blower Whose Capacity Modulation Correlates With Outdoor 
Dry Bulb Temperature or (2) Multiple Indoor Blowers

    Conduct five tests: Two high temperature tests (H12 
and H11), one frost accumulation test (H22), 
and two low temperature tests (H32 and H31). 
Conducting an additional frost accumulation test (H21) 
and a very low temperature test (H42) is optional. 
Conduct the optional high temperature cyclic (H1C1) test 
to determine the heating mode cyclic-degradation coefficient, 
CD\h\. If this optional test is conducted but yields a 
tested CD\h\ that exceeds the default CD\h\ or 
if the optional test is not conducted, assign CD\h\ the 
default value of 0.25. Test conditions for the seven tests are 
specified in Table 12. If the optional H21 test is not 
performed, use the following equations to approximate the capacity 
and electrical power of the heat pump at the H21 test 
conditions:

[[Page 1558]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.171

where,
[GRAPHIC] [TIFF OMITTED] TR05JA17.172

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

          Table 12--Heating Mode Test Conditions for Units With a Single-Speed Compressor That Meet the Section 3.6.2 Indoor Unit Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Air entering indoor unit temperature    Air entering outdoor unit temperature
                                                   ([deg]F)                                 ([deg]F)
         Test description         ----------------------------------------------------------------------------------       Heating air volume rate
                                      Dry bulb             Wet bulb            Dry bulb             Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H12 Test (required, steady)......              70  60\(max)\..............              47  43.....................  Heating Full-load.\1\
H11 Test (required, steady)......              70  60\(max)\..............              47  43.....................  Heating Minimum.\2\
H1C1 Test (optional, cyclic).....              70  60\(max)\..............              47  43.....................  (\3\).
H22 Test (required)..............              70  60\(max)\..............              35  33.....................  Heating Full-load.\1\
H21 Test (optional)..............              70  60\(max)\..............              35  33.....................  Heating Minimum.\2\
H32 Test (required, steady)......              70  60\(max)\..............              17  15.....................  Heating Full-load.\1\
H31 Test (required, steady)......              70  60\(max)\..............              17  15.....................  Heating Minimum.\2\
H42 Test (optional, steady)......              70  60\(max)\..............               5  3\(max)\...............  Heating Full-load.\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4 of this appendix.
\2\ Defined in section 3.1.4.5 of this appendix.
\3\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the H11 test.

3.6.3 Tests for a Heat Pump Having a Two-Capacity Compressor (see 
Section 1.2 of This Appendix, Definitions), Including Two-Capacity, 
Northern Heat Pumps (see Section 1.2 of This Appendix, Definitions)

    a. Conduct one maximum temperature test (H01), two 
high temperature tests (H12 and H11), one 
frost accumulation test (H22), and one low temperature 
test (H32). Conducting a very low temperature test 
(H42) is optional. Conduct an additional frost 
accumulation test (H21) and low temperature test 
(H31) if both of the following conditions exist:
    (1) Knowledge of the heat pump's capacity and electrical power 
at low compressor capacity for outdoor temperatures of 37 [deg]F and 
less is needed to complete the section 4.2.3 of this appendix 
seasonal performance calculations; and
    (2) The heat pump's controls allow low-capacity operation at 
outdoor temperatures of 37 [deg]F and less.
    If the two conditions in a.(1) and a.(2) of this section are 
met, an alternative to conducting the H21 frost 
accumulation is to use the following equations to approximate the 
capacity and electrical power:
[GRAPHIC] [TIFF OMITTED] TR05JA17.173

    Determine the quantities Qhk=1 (47) and Ehk=1 (47) from the 
H11 test and evaluate them according to section 3.7 of 
this appendix. Determine the quantities Qhk=1 (17) and Ehk=1 (17) 
from the H31 test and evaluate them according to section 
3.10 of this appendix.
    b. 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 two-capacity heat pump locks out low capacity operation 
at lower outdoor temperatures, conduct the high temperature cyclic 
test (H1C2) to determine the high-capacity heating mode 
cyclic-degradation coefficient, 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 the default value. The 
default CDh (k=2) is the same value as 
determined or assigned for the low-capacity cyclic-degradation 
coefficient,

[[Page 1559]]

CDh [or equivalently, 
CDh (k=1)]. Table 13 specifies test conditions 
for these nine tests.

                                    Table 13--Heating Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                     Air entering indoor unit          Air entering outdoor unit
                                       temperature ([deg]F)              temperature ([deg]F)
       Test description       --------------------------------------------------------------------- Compressor capacity      Heating air volume rate
                                  Dry bulb           Wet bulb          Dry bulb        Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady)..              70  60 \(max)\.........              62            56.5  Low................  Heating Minimum.\1\
H12 Test (required, steady)..              70  60 \(max)\.........              47              43  High...............  Heating Full-Load.\2\
H1C2 Test (optional \7\,                   70  60 \(max)\.........              47              43  High...............  (\3\)
 cyclic).
H11 Test (required)..........              70  60 \(max)\.........              47              43  Low................  Heating Minimum.\1\
H1C1 Test (optional, cyclic).              70  60 \(max)\.........              47              43  Low................  (\4\)
H22 Test (required)..........              70  60 \(max)\.........              35              33  High...............  Heating Full-Load.\2\
H21 Test 5 6 (required)......              70  60 \(max)\.........              35              33  Low................  Heating Minimum.\1\
H32 Test (required, steady)..              70  60 \(max)\.........              17              15  High...............  Heating Full-Load.\2\
H31 Test \5\ (required,                    70  60 \(max)\.........              17              15  Low................  Heating Minimum.\1\
 steady).
H42 Test (Optional, steady)..              70  60 \(max)\.........               5       3 \(max)\  High...............  Heating Full-Load.\2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Defined in section 3.1.4.4 of this appendix.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37[emsp14][deg]F is needed
  to complete the section 4.2.3 HSPF2 calculations.
\6\ If table note #5 applies, the section 3.6.3 equations for Qhk=1 (35) and Ehk=1 (17) may be used in lieu of conducting the H21 test.
\7\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures.

3.6.4 Tests for a Heat Pump Having a Variable-Speed Compressor

    a. Conduct one maximum temperature test (H01), two 
high temperature tests (H1N and H11), one 
frost accumulation test (H2V), and one low temperature 
test (H32). Conducting one or more of the following tests 
is optional: An additional high temperature test (H12), 
an additional frost accumulation test (H22), and a very 
low temperature test (H42). Conduct the optional high 
temperature cyclic (H1C1) test 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. Test 
conditions for the nine tests are specified in Table 14. The 
compressor shall operate at the same heating full speed, measured by 
RPM or power input frequency (Hz), as the maximum speed at which the 
system controls would operate the compressor in normal operation in 
17[emsp14][deg]F ambient temperature, for the H12, 
H22 and H32 Tests. The compressor shall 
operate for the H1N test at the maximum speed at which 
the system controls would operate the compressor in normal operation 
in 47[emsp14][deg]F ambient temperature. The compressor shall 
operate at the same heating minimum speed, measured by RPM or power 
input frequency (Hz), for the H01, H1C1, and 
H11 Tests. Determine the heating intermediate compressor 
speed cited in Table 14 using the heating mode full and minimum 
compressors speeds and:
[GRAPHIC] [TIFF OMITTED] TR05JA17.174

Where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed.
    b. If one of the high temperature tests (H12 or 
H1N) is conducted using the same compressor speed (RPM or 
power input frequency) as the H32 test, set the 
47[emsp14][deg]F capacity and power input values used for 
calculation of HSPF2 equal to the measured values for that test:
[GRAPHIC] [TIFF OMITTED] TR05JA17.175

Where:

Qhcalck=2(47) and Ehcalck=2(47) are the 
capacity and power input representing full-speed operation at 
47[emsp14][deg]F for the HSPF2 calculations,

Qhk=2(47) is the capacity measured in the high 
temperature test (H12 or H1N) which used the 
same compressor speed as the H32 test, and
Ehk=2(47) is the power input measured in the high 
temperature test (H12 or H1N) which used the 
same compressor speed as the H32 test.
    Evaluate the quantities Qhk=2(47) and from 
Ehk=2(47) according to section 3.7.
    Otherwise (if no high temperature test is conducted using the 
same speed (RPM or power input frequency) as the H32 
test), calculate the 47[emsp14][deg]F capacity and power input 
values used for calculation of HSPF2 as follows:

[[Page 1560]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.176

Where:

Qhcalck=2(47) and Ehcalck=2(47) are the 
capacity and power input representing full-speed operation at 
47[emsp14][deg]F for the HSPF2 calculations,
Qhk=2(17) is the capacity measured in the H32 
test,
Ehk=2(17) is the power input measured in the 
H32 test,

CSF is the capacity slope factor, equal to 0.0204/[deg]F for split 
systems and 0.0262/[deg]F for single-package systems, and

PSF is the Power Slope Factor, equal to 0.00455/[deg]F.

    c. If the H22 test is not done, use the following 
equations to approximate the capacity and electrical power at the 
H22 test conditions:
[GRAPHIC] [TIFF OMITTED] TR05JA17.177

Where:
    Qhcalck=2(47) and Ehcalck=2(47) are the 
capacity and power input representing full-speed operation at 
47[emsp14][deg]F for the HSPF2 calculations, calculated as described 
in section b above.
    Qhk=2(17) and Ehk=2(17) are the capacity and power input 
measured in the H32 test.
    d. Determine the quantities Qhk=2(17) and Ehk=2(17) from the 
H32 test, determine the quantities Qhk=2(5) and Ehk=2(5) 
from the H42 test, and evaluate all four according to 
section 3.10.

                                                       Table 14--Heating Mode Test Conditions for Units Having a Variable-Speed Compressor
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Air entering  indoor unit      Air entering  outdoor unit
                                              temperature  ([deg]F)           temperature  ([deg]F)
            Test description            ----------------------------------------------------------------               Compressor speed                         Heating air volume rate
                                            Dry bulb        Wet bulb        Dry bulb        Wet bulb
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
H01 test (required, steady)............              70      60 \(max)\              62            56.5  Heating Minimum............................  Heating Minimum.\1\
H12 test (optional, steady)............              70      60 \(max)\              47              43  Heating Full \4\...........................  Heating Full-Load.\3\
H11 test (required, steady)............              70       60\(max)\              47              43  Heating Minimum............................  Heating Minimum.\1\
H1N test (required, steady)............              70       60\(max)\              47              43  Heating Full \5\...........................  Heating Full-Load.\3\
H1C1 test (optional, cyclic)...........              70       60\(max)\              47              43  Heating Minimum............................  (\2\)
H22 test (optional)....................              70      60 \(max)\              35              33  Heating Full \4\...........................  Heating Full-Load.\3\
H2V test (required)....................              70      60 \(max)\              35              33  Heating Intermediate.......................  Heating Intermediate.\6\
H32 test (required, steady)............              70      60 \(max)\              17              15  Heating Full \4\...........................  Heating Full-Load.\3\
H42 test (optional, steady)............              70      60 \(max)\               5       3 \(max)\  Heating Full...............................  Heating Full-Load.\3\
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H11 test.
\3\ Defined in section 3.1.4.4 of this appendix.
\4\ Maximum speed that the system controls would operate the compressor in normal operation in 17[emsp14][deg]F ambient temperature. The H12 test is not needed if the H1N test uses this same
  compressor speed.
\5\ Maximum speed that the system controls would operate the compressor in normal operation in 47[emsp14][deg]F ambient temperature.
\6\ Defined in section 3.1.4.6 of this appendix.

    e. For multiple-split heat pumps (only), the following 
procedures supersede the above requirements. For all Table 14 tests 
specified for a minimum compressor speed, turn off at least one 
indoor unit. The manufacturer shall designate the particular indoor 
unit(s) that is turned off. The manufacturer must also specify the 
compressor speed used for the Table 14 H2V test, a 
heating mode intermediate compressor speed that falls within \1/4\ 
and \3/4\ of the difference between the full and minimum heating 
mode speeds. The manufacturer should prescribe an intermediate speed 
that is expected to yield the highest COP for the given 
H2V test conditions and bracketed compressor speed range. 
The manufacturer can designate that one or more specific indoor 
units are turned off for the H2V test.

3.6.5 Additional Test for a Heat Pump Having a Heat Comfort Controller

    Test any heat pump that has a heat comfort controller (see 
section 1.2 of this appendix, Definitions) according to section 
3.6.1, 3.6.2, or 3.6.3, whichever applies, with the heat

[[Page 1561]]

comfort controller disabled. Additionally, conduct the abbreviated 
test described in section 3.1.9 of this appendix with the heat 
comfort controller active to determine the system's maximum supply 
air temperature. ( Note: heat pumps having a variable-speed 
compressor and a heat comfort controller are not covered in the test 
procedure at this time.)

3.6.6 Heating Mode Tests for Northern Heat Pumps with Triple-Capacity 
Compressors

    Test triple-capacity, northern heat pumps for the heating mode 
as follows:
    a. Conduct one maximum temperature test (H01), two 
high temperature tests (H12 and H11), one 
frost accumulation test (H22), two low temperature tests 
(H32, H33), and one very low 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[emsp14][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[emsp14][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] TR05JA17.178

    In evaluating the above equations, determine the quantities 
Qhk=1(47) from the H11 test and evaluate them according 
to section 3.7 of this appendix. Determine the quantities Qhk=1(17) 
and Ehk=1(17) from the H31 test and evaluate them 
according to section 3.10 of this appendix. Use the paired values of 
Qhk=1(35) and Ehk=1(35) derived from conducting the H21 
frost accumulation test and evaluated as specified in section 3.9.1 
of this appendix or use the paired values calculated using the above 
default equations, whichever contribute to a higher Region IV HSPF2 
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] TR05JA17.179

Where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.180

    Determine the quantities Qhk=2(47) and 
Ehk=2(47) from the H12 test and evaluate them 
according to section 3.7 of this appendix. Determine the quantities 
Qhk=2(35) and Ehk=2(35) from the 
H22 test and evaluate them according to section 3.9.1 of 
this appendix. Determine the quantities Qhk=2(17) and 
Ehk=2(17) from the H32 test, determine the 
quantities Qhk=3(17) and Ehk=3(17) from the 
H33 test, and determine the quantities 
Qhk=3(5) and Ehk=3(5) from the H43 
test. Evaluate all six quantities according to section 3.10 of this 
appendix. Use the paired values of Qhk=3(35) and 
Ehk=3(35) derived from conducting the H23 
frost accumulation test and calculated as specified in section 3.9.1 
of this appendix or use the paired values calculated using the above 
default equations, whichever contribute to a higher Region IV HSPF2 
based on the DHRmin.
    c. Conduct the optional high temperature cyclic test 
(H1C1) to determine the heating mode cyclic-degradation 
coefficient, CD\h\. A default value for CD\h\ 
of 0.25 may be used in lieu of conducting the cyclic. If a triple-
capacity heat pump locks out low capacity operation at lower outdoor 
temperatures, conduct the high temperature cyclic test 
(H1C2) to determine the high capacity heating mode 
cyclic-degradation coefficient, CD\h\ (k=2). The default 
CD\h\ (k=2) is the same value as determined or assigned 
for the low-capacity cyclic-degradation coefficient, 
CD\h\ [or equivalently, CD\h\ (k=1)]. Finally, 
if a triple-capacity heat pump locks out both low and high capacity 
operation at the lowest outdoor temperatures, conduct the low 
temperature cyclic test (H3C3) to determine the booster-
capacity heating mode cyclic-degradation coefficient, 
CD\h\ (k=3). The default CD\h\ (k=3) is the 
same value as determined or assigned for the high capacity cyclic-
degradation coefficient, CD\h\ [or equivalently, 
CD\h\ (k=2)]. Table 15 specifies test conditions for all 
13 tests.

[[Page 1562]]



                                   Table 15--Heating Mode Test Conditions for Units With a Triple-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      Air entering indoor unit    Air entering outdoor
                                         temperature [deg]F      unit temperature [deg]F
          Test description           ----------------------------------------------------    Compressor  capacity          Heating air  volume rate
                                        Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test (required, steady).........           70    60\(max)\           62         56.5  Low......................  Heating Minimum \1\
H12 Test (required, steady).........           70    60\(max)\           47           43  High.....................  Heating Full-Load \2\
H1C2 Test (optional,\8\ 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 (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 Test5 6 (optional, cyclic).....           70    60\(max)\           17           15  Booster..................  (\7\)
H32 Test (required, steady).........           70    60\(max)\           17           15  High.....................  Heating Full-Load \2\
H31 Test \5\ (required, steady).....           70    60\(max)\           17           15  Low......................  Heating Minimum \1\
H43 Test (required, steady).........           70    60\(max)\            5     3\(max)\  Booster..................  Heating Full-Load \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5 of this appendix.
\2\ Defined in section 3.1.4.4 of this appendix.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37[deg]F is needed to
  complete the section 4.2.6 HSPF2 calculations.
\6\ If table note \5\ applies, the section 3.6.6 equations for Qhk=1(35) and Ehk=1(17) may be used in lieu of conducting the H21 test.
\7\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H33 test.
\8\ Required only if the heat pump locks out low capacity operation at lower outdoor temperatures

3.6.7 Tests for a Heat Pump Having a Single Indoor Unit Having Multiple 
Indoor Blowers and Offering Two Stages of Compressor Modulation. 
Conduct the Heating Mode Tests Specified in Section 3.6.3 of this 
Appendix

3.7 Test Procedures for Steady-State Maximum Temperature and High 
Temperature Heating Mode Tests (the H01, H1, 
H12, H11, and H1N tests)

    a. For the pretest interval, operate the test room 
reconditioning apparatus and the heat pump until equilibrium 
conditions are maintained for at least 30 minutes at the specified 
section 3.6 test conditions. Use the exhaust fan of the airflow 
measuring apparatus and, if installed, the indoor blower of the heat 
pump to obtain and then maintain the indoor air volume rate and/or 
the external static pressure specified for the particular test. 
Continuously record the dry-bulb temperature of the air entering the 
indoor coil, and the dry-bulb temperature and water vapor content of 
the air entering the outdoor coil. Refer to section 3.11 of this 
appendix for additional requirements that depend on the selected 
secondary test method. After satisfying the pretest equilibrium 
requirements, make the measurements specified in Table 3 of ANSI/
ASHRAE 37-2009 (incorporated by reference, see Sec.  430.3) for the 
indoor air enthalpy method and the user-selected secondary method. 
Make said Table 3 measurements at equal intervals that span 5 
minutes or less. Continue data sampling until a 30-minute period 
(e.g., seven consecutive 5-minute samples) is reached where the test 
tolerances specified in Table 16 are satisfied. For those 
continuously recorded parameters, use the entire data set for the 
30-minute interval when evaluating Table 16 compliance. Determine 
the average electrical power consumption of the heat pump over the 
same 30-minute interval.

 Table 16--Test Operating and Test Condition Tolerances for Section 3.7
            and Section 3.10 Steady-State Heating Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F:                  ..............  ..............
    Entering temperature................             2.0             0.5
    Leaving temperature.................             2.0  ..............
Indoor wet-bulb, [deg]F:                  ..............  ..............
    Entering temperature................             1.0  ..............
    Leaving temperature.................             1.0  ..............
Outdoor dry-bulb, [deg]F:                 ..............  ..............
    Entering temperature................             2.0             0.5
    Leaving temperature.................          \2\2.0  ..............
Outdoor wet-bulb, [deg]F:                 ..............  ..............
    Entering temperature................             1.0             0.3
    Leaving temperature.................         \2\ 1.0  ..............
External resistance to airflow, inches              0.05        \3\ 0.02
 of water...............................
Electrical voltage, % of reading........             2.0             1.5
Nozzle pressure drop, % of reading......             2.0  ..............
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Only applies when the Outdoor Air Enthalpy Method is used.
\3\ Only applies when testing non-ducted units.


[[Page 1563]]

    b. Calculate indoor-side total heating capacity as specified in 
sections 7.3.4.1 and 7.3.4.3 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). To calculate capacity, use the averages 
of the measurements (e.g. inlet and outlet dry bulb temperatures 
measured at the psychrometers) that are continuously recorded for 
the same 30-minute interval used as described above to evaluate 
compliance with test tolerances. Do not adjust the parameters used 
in calculating capacity for the permitted variations in test 
conditions. Assign the average space heating capacity and electrical 
power over the 30-minute data collection interval to the variables 
Qh\k\ and Eh\k\(T) respectively. The ``T'' and superscripted ``k'' 
are the same as described in section 3.3 of this appendix. 
Additionally, for the heating mode, use the superscript to denote 
results from the optional H1N test, if conducted.
    c. For mobile home and space-constrained coil-only system heat 
pumps, increase Qh\k\(T) by
[GRAPHIC] [TIFF OMITTED] TR05JA17.181

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm).
    For non-mobile home, non-space-constrained coil-only system heat 
pumps, increase Qh\k\(T) by
[GRAPHIC] [TIFF OMITTED] TR05JA17.182

where Vis is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm). 
During the 30-minute data collection interval of a high temperature 
test, pay attention to preventing a defrost cycle. Prior to this 
time, allow the heat pump to perform a defrost cycle if 
automatically initiated by its own controls. As in all cases, wait 
for the heat pump's defrost controls to automatically terminate the 
defrost cycle. Heat pumps that undergo a defrost cycle should 
operate in the heating mode for at least 10 minutes after defrost 
termination prior to beginning the 30-minute data collection 
interval. For some heat pumps, frost may accumulate on the outdoor 
coil during a high temperature test. If the indoor coil leaving air 
temperature or the difference between the leaving and entering air 
temperatures decreases by more than 1.5[emsp14][deg]F over the 30-
minute data collection interval, then do not use the collected data 
to determine capacity. Instead, initiate a defrost cycle. Begin 
collecting data no sooner than 10 minutes after defrost termination. 
Collect 30 minutes of new data during which the Table 16 test 
tolerances are satisfied. In this case, use only the results from 
the second 30-minute data collection interval to evaluate Qh\k\(47) 
and Eh\k\(47).
    d. If conducting the cyclic heating mode test, which is 
described in section 3.8 of this appendix, record the average 
indoor-side air volume rate, Vi, specific heat of the air, 
Cp,a (expressed on dry air basis), specific volume of the 
air at the nozzles, vn' (or vn), humidity 
ratio at the nozzles, Wn, and either pressure difference 
or velocity pressure for the flow nozzles. If either or both of the 
below criteria apply, determine the average, steady-state, 
electrical power consumption of the indoor blower motor 
(Efan,1):
    (1) The section 3.8 cyclic test will be conducted and the heat 
pump has a variable-speed indoor blower that is expected to be 
disabled during the cyclic test; or
    (2) The heat pump has a (variable-speed) constant-air volume-
rate indoor blower and during the steady-state test the average 
external static pressure ([Delta]P1) exceeds the 
applicable section 3.1.4.4 minimum (or targeted) external static 
pressure ([Delta]Pmin) by 0.03 inches of water or more.
    Determine Efan,1 by making measurements during the 
30-minute data collection interval, or immediately following the 
test and prior to changing the test conditions. When the above ``2'' 
criteria applies, conduct the following four steps after determining 
Efan,1 (which corresponds to [Delta]P1):
    (i) While maintaining the same test conditions, adjust the 
exhaust fan of the airflow measuring apparatus until the external 
static pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    (ii) After re-establishing steady readings for fan motor power 
and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    (iii) Approximate the average power consumption of the indoor 
blower motor if the 30-minute test had been conducted at 
[Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.183

    (iv) Decrease the total space heating capacity, Qh\k\(T), by the 
quantity (Efan,1 - Efan,min), when expressed 
on a Btu/h basis. Decrease the total electrical power, Eh\k\(T) by 
the same fan power difference, now expressed in watts.
    e. If the temperature sensors used to provide the primary 
measurement of the indoor-side dry bulb temperature difference 
during the steady-state dry-coil test and the subsequent cyclic dry-
coil test are different, include measurements of the latter sensors 
among the regularly sampled data. Beginning at the start of the 30-
minute data collection period, measure and compute the indoor-side 
air dry-bulb temperature difference using both sets of 
instrumentation, [Delta]T (Set SS) and [Delta]T (Set CYC), for each 
equally spaced data sample. If using a consistent data sampling rate 
that is less than 1 minute, calculate and record minutely averages 
for the two temperature differences. If using a consistent sampling 
rate of one minute or more, calculate and record the two temperature 
differences from each data sample. After having recorded the seventh 
(i=7) set of temperature differences, calculate the following ratio 
using the first seven sets of values:
[GRAPHIC] [TIFF OMITTED] TR05JA17.184

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

3.8 Test Procedures for the Cyclic Heating Mode Tests (the 
H0C1, H1C, H1C1 and H1C2 Tests).

    a. Except as noted below, conduct the cyclic heating mode test 
as specified in section 3.5 of this appendix. As adapted to the 
heating mode, replace section 3.5 references to ``the steady-state 
dry coil test'' with ``the heating mode steady-state test conducted 
at the same test conditions as the cyclic heating mode test.'' Use 
the test tolerances in Table 17 rather than Table 10. Record the 
outdoor coil entering wet-bulb temperature according to the 
requirements given in section 3.5 of this appendix for the outdoor 
coil entering dry-bulb temperature. Drop the subscript ``dry'' used 
in variables cited in section 3.5 of this appendix when referring to 
quantities from the cyclic heating

[[Page 1564]]

mode test. If available, use electric resistance heaters (see 
section 2.1 of this appendix) to minimize the variation in the inlet 
air temperature. Determine the total space heating delivered during 
the cyclic heating test, qcyc, as specified in section 
3.5 of this appendix except for making the following changes:
    (1) When evaluating Equation 3.5-1, use the values of Vi, 
Cp,a,vn', (or vn), and 
Wn that were recorded during the section 3.7 steady-state 
test conducted at the same test conditions.
    (2) Calculate
    [GRAPHIC] [TIFF OMITTED] TR05JA17.185
    
where FCD* is the value recorded during the section 3.7 
steady-state test conducted at the same test condition.
    b. For ducted coil-only system heat pumps (excluding the special 
case where a variable-speed fan is temporarily removed), increase 
qcyc by the amount calculated using Equation 3.5-3. 
Additionally, increase ecyc by the amount calculated 
using Equation 3.5-2. In making these calculations, use the average 
indoor air volume rate (Vis) determined from the section 
3.7 steady-state heating mode test conducted at the same test 
conditions.
    c. For non-ducted heat pumps, subtract the electrical energy 
used by the indoor blower during the 3 minutes after compressor 
cutoff from the non-ducted heat pump's integrated heating capacity, 
qcyc.
    d. If a heat pump defrost cycle is manually or automatically 
initiated immediately prior to or during the OFF/ON cycling, operate 
the heat pump continuously until 10 minutes after defrost 
termination. After that, begin cycling the heat pump immediately or 
delay until the specified test conditions have been re-established. 
Pay attention to preventing defrosts after beginning the cycling 
process. For heat pumps that cycle off the indoor blower during a 
defrost cycle, make no effort here to restrict the air movement 
through the indoor coil while the fan is off. Resume the OFF/ON 
cycling while conducting a minimum of two complete compressor OFF/ON 
cycles before determining qcyc and ecyc.

3.8.1 Heating Mode Cyclic-Degradation Coefficient Calculation

    Use the results from the required cyclic test and the required 
steady-state test that were conducted at the same test conditions to 
determine the heating mode cyclic-degradation coefficient CDh. Add 
``(k=2)'' to the coefficient if it corresponds to a two-capacity 
unit cycling at high capacity. For the below calculation of the 
heating mode cyclic degradation coefficient, do not include the duct 
loss correction from section 7.3.3.3 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3) in determining 
Qh\k\(Tcyc) (or qcyc). If the optional cyclic 
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. The default value for two-capacity units cycling at 
high capacity, however, is the low-capacity coefficient, i.e., CDh 
(k=2) = CDh. The tested CDh is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.186

Where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.187

the average coefficient of performance during the cyclic heating 
mode test, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR05JA17.188

the average coefficient of performance during the steady-state 
heating mode test conducted at the same test conditions--i.e., same 
outdoor dry bulb temperature, Tcyc, and speed/capacity, 
k, if applicable--as specified for the cyclic heating mode test, 
dimensionless.
[GRAPHIC] [TIFF OMITTED] TR05JA17.189

the heating load factor, dimensionless.

Tcyc = the nominal outdoor temperature at which the 
cyclic heating mode test is conducted, 62 or 47[emsp14][deg]F.

[Delta][tau]cyc = the duration of the OFF/ON intervals; 
0.5 hours when testing a heat pump having a single-speed or two-
capacity compressor and 1.0 hour when testing a heat pump having a 
variable-speed compressor.

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

[[Page 1565]]



    Table 17--Test Operating and Test Condition Tolerances for Cyclic
                           Heating Mode Tests
------------------------------------------------------------------------
                                          Test operating  Test condition
                                           tolerance \1\   tolerance \1\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature,\2\             2.0             0.5
 [deg]F.................................
Indoor entering wet-bulb temperature,\2\             1.0  ..............
 [deg]F.................................
Outdoor entering dry-bulb                            2.0             0.5
 temperature,\2\ [deg]F.................
Outdoor entering wet-bulb                            2.0             1.0
 temperature,\2\ [deg]F.................
External resistance to air-flow,\2\                 0.05  ..............
 inches of water........................
Airflow nozzle pressure difference or                2.0         \3\ 2.0
 velocity pressure,\2\% of reading......
Electrical voltage,\4\% of reading......             2.0             1.5
------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.
\2\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor blower that ramps, the
  tolerances listed for the external resistance to airflow shall apply
  from 30 seconds after achieving full speed until ramp down begins.
\3\ The test condition must be the average nozzle pressure difference or
  velocity pressure measured during the steady-state test conducted at
  the same test conditions.
\4\ Applies during the interval that at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor blower--are
  operating, except for the first 30 seconds after compressor start-up.

3.9 Test Procedures for Frost Accumulation Heating Mode Tests (the 
H2, H22, H2V, and H21 Tests).

    a. Confirm that the defrost controls of the heat pump are set as 
specified in section 2.2.1 of this appendix. Operate the test room 
reconditioning apparatus and the heat pump for at least 30 minutes 
at the specified section 3.6 test conditions before starting the 
``preliminary'' test period. The preliminary test period must 
immediately precede the ``official'' test period, which is the 
heating and defrost interval over which data are collected for 
evaluating average space heating capacity and average electrical 
power consumption.
    b. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals less than one hour, the preliminary 
test period starts at the termination of an automatic defrost cycle 
and ends at the termination of the next occurring automatic defrost 
cycle. For heat pumps containing defrost controls which are likely 
to cause defrosts at intervals exceeding one hour, the preliminary 
test period must consist of a heating interval lasting at least one 
hour followed by a defrost cycle that is either manually or 
automatically initiated. In all cases, the heat pump's own controls 
must govern when a defrost cycle terminates.
    c. The official test period begins when the preliminary test 
period ends, at defrost termination. The official test period ends 
at the termination of the next occurring automatic defrost cycle. 
When testing a heat pump that uses a time-adaptive defrost control 
system (see section 1.2 of this appendix, Definitions), however, 
manually initiate the defrost cycle that ends the official test 
period at the instant indicated by instructions provided by the 
manufacturer. If the heat pump has not undergone a defrost after 6 
hours, immediately conclude the test and use the results from the 
full 6-hour period to calculate the average space heating capacity 
and average electrical power consumption.
    For heat pumps that turn the indoor blower off during the 
defrost cycle, take steps to cease forced airflow through the indoor 
coil and block the outlet duct whenever the heat pump's controls 
cycle off the indoor blower. If it is installed, use the outlet 
damper box described in section 2.5.4.1 of this appendix to affect 
the blocked outlet duct.
    d. Defrost termination occurs when the controls of the heat pump 
actuate the first change in converting from defrost operation to 
normal heating operation. Defrost initiation occurs when the 
controls of the heat pump first alter its normal heating operation 
in order to eliminate possible accumulations of frost on the outdoor 
coil.
    e. To constitute a valid frost accumulation test, satisfy the 
test tolerances specified in Table 18 during both the preliminary 
and official test periods. As noted in Table 18, test operating 
tolerances are specified for two sub-intervals:
    (1) When heating, except for the first 10 minutes after the 
termination of a defrost cycle (sub-interval H, as described in 
Table 18) and
    (2) When defrosting, plus these same first 10 minutes after 
defrost termination (sub-interval D, as described in Table 18). 
Evaluate compliance with Table 18 test condition tolerances and the 
majority of the test operating tolerances using the averages from 
measurements recorded only during sub-interval H. Continuously 
record the dry bulb temperature of the air entering the indoor coil, 
and the dry bulb temperature and water vapor content of the air 
entering the outdoor coil. Sample the remaining parameters listed in 
Table 18 at equal intervals that span 5 minutes or less.
    f. For the official test period, collect and use the following 
data to calculate average space heating capacity and electrical 
power. During heating and defrosting intervals when the controls of 
the heat pump have the indoor blower on, continuously record the 
dry-bulb temperature of the air entering (as noted above) and 
leaving the indoor coil. If using a thermopile, continuously record 
the difference between the leaving and entering dry-bulb 
temperatures during the interval(s) that air flows through the 
indoor coil. For coil-only system heat pumps, determine the 
corresponding cumulative time (in hours) of indoor coil airflow, 
[Delta][tau]a. Sample measurements used in calculating 
the air volume rate (refer to sections 7.7.2.1 and 7.7.2.2 of ANSI/
ASHRAE 37-2009) at equal intervals that span 10 minutes or less. 
(Note: In the first printing of ANSI/ASHRAE 37-2009, the second IP 
equation for Qmi should read:) Record the electrical 
energy consumed, expressed in watt-hours, from defrost termination 
to defrost termination, eDEF\k\(35), as well as the 
corresponding elapsed time in hours, [Delta][tau]FR.

        Table 18--Test Operating and Test Condition Tolerances for Frost Accumulation Heating Mode Tests
----------------------------------------------------------------------------------------------------------------
                                                                   Test operating tolerance \1\   Test condition
                                                                 --------------------------------  tolerance \1\
                                                                  Sub-interval H  Sub-interval D  Sub-interval H
                                                                        \2\             \3\             \2\
----------------------------------------------------------------------------------------------------------------
Indoor entering dry-bulb temperature, [deg]F....................             2.0         \4\ 4.0             0.5
Indoor entering wet-bulb temperature, [deg]F....................             1.0  ..............  ..............
Outdoor entering dry-bulb temperature, [deg]F...................             2.0            10.0             1.0
Outdoor entering wet-bulb temperature, [deg]F...................             1.5  ..............             0.5
External resistance to airflow, inches of water.................            0.05  ..............        \5\ 0.02
Electrical voltage, % of reading................................             2.0  ..............             1.5
----------------------------------------------------------------------------------------------------------------
\1\ See section 1.2 of this appendix, Definitions.

[[Page 1566]]

 
\2\ Applies when the heat pump is in the heating mode, except for the first 10 minutes after termination of a
  defrost cycle.
\3\ Applies during a defrost cycle and during the first 10 minutes after the termination of a defrost cycle when
  the heat pump is operating in the heating mode.
\4\ For heat pumps that turn off the indoor blower during the defrost cycle, the noted tolerance only applies
  during the 10 minute interval that follows defrost termination.
\5\ Only applies when testing non-ducted heat pumps.

3.9.1 Average Space Heating Capacity and Electrical Power Calculations

    a. Evaluate average space heating capacity, Qh\k\(35), when 
expressed in units of Btu per hour, using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.190

where,
Vi = the average indoor air volume rate measured during sub-interval 
H, cfm.
Cp,a = 0.24 + 0.444 [middot] Wn, the constant 
pressure specific heat of the air-water vapor mixture that flows 
through the indoor coil and is expressed on a dry air basis, Btu/
lbmda [middot] [deg]F.
vn' = specific volume of the air-water vapor mixture at 
the nozzle, ft\3\/lbmmx.
Wn = humidity ratio of the air-water vapor mixture at the 
nozzle, lbm of water vapor per lbm of dry air.
[Delta][tau]FR = [tau]2 - [tau]1, 
the elapsed time from defrost termination to defrost termination, 
hr.
[GRAPHIC] [TIFF OMITTED] TR05JA17.191

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if 
any) where the indoor blower cycles off.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if 
any) where the indoor blower cycles off.
[tau]1 = the elapsed time when the defrost termination 
occurs that begins the official test period, hr.
[tau]2 = the elapsed time when the next automatically 
occurring defrost termination occurs, thus ending the official test 
period, hr.
vn = specific volume of the dry air portion of the 
mixture evaluated at the dry-bulb temperature, vapor content, and 
barometric pressure existing at the nozzle, ft\3\ per lbm of dry 
air.
    To account for the effect of duct losses between the outlet of 
the indoor unit and the section 2.5.4 dry-bulb temperature grid, 
adjust Qh\k\(35) in accordance with section 7.3.4.3 of ANSI/ASHRAE 
37-2009 (incorporated by reference, see Sec.  430.3).
    b. Evaluate average electrical power, Eh\k\(35), when expressed 
in units of watts, using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.192

For mobile home and space-constrained coil-only system heat pumps, 
increase Qh\k\(35) by
[GRAPHIC] [TIFF OMITTED] TR05JA17.193

    where Vis is the average measured indoor air volume 
rate expressed in units of cubic feet per minute of standard air 
(scfm).
    For non-mobile home, non-space-constrained coil-only system heat 
pumps, increase Qh\k\(35) by
[GRAPHIC] [TIFF OMITTED] TR05JA17.194

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

    c. For heat pumps having a constant-air-volume-rate indoor 
blower, the five additional steps listed below are required if the 
average of the external static pressures measured during sub-
interval H exceeds the applicable section 3.1.4.4, 3.1.4.5, or 
3.1.4.6 minimum (or targeted) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more:
    (1) Measure the average power consumption of the indoor blower 
motor (Efan,1) and record the corresponding external 
static pressure ([Delta]P1) during or immediately 
following the frost accumulation heating mode test. Make the 
measurement at a time when the heat pump is heating, except for the 
first 10 minutes after the termination of a defrost cycle.
    (2) After the frost accumulation heating mode test is completed 
and while maintaining the same test conditions, adjust the exhaust 
fan of the airflow measuring apparatus until the external static 
pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    (3) After re-establishing steady readings for the fan motor 
power and external static pressure, determine average values for the 
indoor blower power (Efan,2) and the external static 
pressure ([Delta]P2) by making measurements over a 5-
minute interval.
    (4) Approximate the average power consumption of the indoor 
blower motor had the frost accumulation heating mode test been 
conducted at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.195


[[Page 1567]]


    (5) Decrease the total heating capacity, Qh\k\(35), by the 
quantity [(Efan,1 - Efan,min)[middot] 
([Delta][tau] a/[Delta][tau] FR], when 
expressed on a Btu/h basis. Decrease the total electrical power, 
Eh\k\(35), by the same quantity, now expressed in watts.

3.9.2 Demand Defrost Credit

    a. Assign the demand defrost credit, Fdef, that is 
used in section 4.2 of this appendix to the value of 1 in all cases 
except for heat pumps having a demand-defrost control system (see 
section 1.2 of this appendix, Definitions). For such qualifying heat 
pumps, evaluate Fdef using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.196

where:
[Delta][tau]def = the time between defrost terminations 
(in hours) or 1.5, whichever is greater. Assign a value of 6 to 
[Delta][tau]def if this limit is reached during a frost 
accumulation test and the heat pump has not completed a defrost 
cycle.
[Delta][tau]max = maximum time between defrosts as 
allowed by the controls (in hours) or 12, whichever is less, as 
provided in the certification report.

    b. For two-capacity heat pumps and for section 3.6.2 units, 
evaluate the above equation using the [Delta][tau]def 
that applies based on the frost accumulation test conducted at high 
capacity and/or at the heating full-load air volume rate. For 
variable-speed heat pumps, evaluate [Delta][tau]def based 
on the required frost accumulation test conducted at the 
intermediate compressor speed.

3.10 Test Procedures for Steady-State Low Temperature and Very Low 
Temperature Heating Mode Tests (the H3, H32, 
H31, H33, H4, H42, and 
H43 Tests)

    Except for the modifications noted in this section, conduct the 
low temperature and very low temperature heating mode tests using 
the same approach as specified in section 3.7 of this appendix for 
the maximum and high temperature tests. After satisfying the section 
3.7 requirements for the pretest interval but before beginning to 
collect data to determine the capacity and power input, conduct a 
defrost cycle. This defrost cycle may be manually or automatically 
initiated. Terminate the defrost sequence using the heat pump's 
defrost controls. Begin the 30-minute data collection interval 
described in section 3.7 of this appendix, from which the capacity 
and power input are determined, no sooner than 10 minutes after 
defrost termination. Defrosts should be prevented over the 30-minute 
data collection interval.

3.11 Additional Requirements for the Secondary Test Methods

3.11.1 If Using the Outdoor Air Enthalpy Method as the Secondary Test 
Method.

    a. For all cooling mode and heating mode tests, first conduct a 
test without the outdoor air-side test apparatus described in 
section 2.10.1 of this appendix connected to the outdoor unit 
(``free outdoor air'' test).
    b. For the first section 3.2 steady-state cooling mode test and 
the first section 3.6 steady-state heating mode test, conduct a 
second test in which the outdoor-side apparatus is connected 
(``ducted outdoor air'' test). No other cooling mode or heating mode 
tests require the ducted outdoor air test so long as the unit 
operates the outdoor fan during all cooling mode steady-state tests 
at the same speed and all heating mode steady-state tests at the 
same speed. If using more than one outdoor fan speed for the cooling 
mode steady-state tests, however, conduct the ducted outdoor air 
test for each cooling mode test where a different fan speed is first 
used. This same requirement applies for the heating mode tests.

3.11.1.1 Free Outdoor Air Test

    a. For the free outdoor air test, connect the indoor air-side 
test apparatus to the indoor coil; do not connect the outdoor air-
side test apparatus. Allow the test room reconditioning apparatus 
and the unit being tested to operate for at least one hour. After 
attaining equilibrium conditions, measure the following quantities 
at equal intervals that span 5 minutes or less:
    (1) The section 2.10.1 evaporator and condenser temperatures or 
pressures;
    (2) Parameters required according to the Indoor Air Enthalpy 
Method.
    Continue these measurements until a 30-minute period (e.g., 
seven consecutive 5-minute samples) is obtained where the Table 9 or 
Table 16, whichever applies, test tolerances are satisfied.
    b. For cases where a ducted outdoor air test is not required per 
section 3.11.1.b of this appendix, the free outdoor air test 
constitutes the ``official'' test for which validity is not based on 
comparison with a secondary test.
    c. For cases where a ducted outdoor air test is required per 
section 3.11.1.b of this appendix, the following conditions must be 
met for the free outdoor air test to constitute a valid ``official'' 
test:
    (1) The energy balance specified in section 3.1.1 of this 
appendix is achieved for the ducted outdoor air test (i.e., compare 
the capacities determined using the indoor air enthalpy method and 
the outdoor air enthalpy method).
    (2) The capacities determined using the indoor air enthalpy 
method from the ducted outdoor air and free outdoor air tests must 
agree within 2 percent.

3.11.1.2 Ducted Outdoor Air Test

    a. The test conditions and tolerances for the ducted outdoor air 
test are the same as specified for the official test, where the 
official test is the free outdoor air test described in section 
3.11.1.1 of this appendix.
    b. After collecting 30 minutes of steady-state data during the 
free outdoor air test, connect the outdoor air-side test apparatus 
to the unit for the ducted outdoor air test. Adjust the exhaust fan 
of the outdoor airflow measuring apparatus until averages for the 
evaporator and condenser temperatures, or the saturated temperatures 
corresponding to the measured pressures, agree within 0.5[emsp14][deg]F of the averages achieved during the free 
outdoor air test. Collect 30 minutes of steady-state data after re-
establishing equilibrium conditions.
    c. During the ducted outdoor air test, at intervals of 5 minutes 
or less, measure the parameters required according to the indoor air 
enthalpy method and the outdoor air enthalpy method for the 
prescribed 30 minutes.
    d. For cooling mode ducted outdoor air tests, calculate capacity 
based on outdoor air-enthalpy measurements as specified in sections 
7.3.3.2 and 7.3.3.3 of ANSI/ASHRAE 37-2009 (incorporated by 
reference, see Sec.  430.3). For heating mode ducted tests, 
calculate heating capacity based on outdoor air-enthalpy 
measurements as specified in sections 7.3.4.2 and 7.3.3.4.3 of the 
same ANSI/ASHRAE Standard. Adjust the outdoor-side capacity 
according to section 7.3.3.4 of ANSI/ASHRAE 37-2009 to account for 
line losses when testing split systems. As described in section 
8.6.2 of ANSI/ASHRAE 37-2009, use the outdoor air volume rate as 
measured during the ducted outdoor air tests to calculate capacity 
for checking the agreement with the capacity calculated using the 
indoor air enthalpy method.

3.11.2 If Using the Compressor Calibration Method as the Secondary Test 
Method

    a. Conduct separate calibration tests using a calorimeter to 
determine the refrigerant flow rate. Or for cases where the 
superheat of the refrigerant leaving the evaporator is less than 
5[emsp14][deg]F, use the calorimeter to measure total capacity 
rather than refrigerant flow rate. Conduct these calibration tests 
at the same test conditions as specified for the tests in this 
appendix. Operate the unit for at least one hour or until obtaining 
equilibrium conditions before collecting data that will be used in 
determining the average refrigerant flow rate or total capacity. 
Sample the data at equal intervals that span 5 minutes or less. 
Determine average flow rate or average capacity from data sampled 
over a 30-minute period where the Table 9 (cooling) or the Table 16 
(heating) tolerances are satisfied. Otherwise, conduct the 
calibration tests according to sections 5, 6, 7, and 8 of ASHRAE 
23.1-2010 (incorporated by reference, see Sec.  430.3); sections 5, 
6, 7, 8, 9, and 11 of ASHRAE 41.9-2011 (incorporated by reference, 
see Sec.  430.3); and section 7.4 of ANSI/ASHRAE 37-2009 
(incorporated by reference, see Sec.  430.3).
    b. Calculate space cooling and space heating capacities using 
the compressor calibration method measurements as specified in 
section 7.4.5 and 7.4.6 respectively, of ANSI/ASHRAE 37-2009.

[[Page 1568]]

3.11.3 If Using the Refrigerant-Enthalpy Method as the Secondary Test 
Method

    Conduct this secondary method according to section 7.5 of ANSI/
ASHRAE 37-2009. Calculate space cooling and heating capacities using 
the refrigerant-enthalpy method measurements as specified in 
sections 7.5.4 and 7.5.5, respectively, of the same ANSI/ASHRAE 
Standard.

3.12 Rounding of Space Conditioning Capacities for Reporting 
Purposes

    a. When reporting rated capacities, round them off as specified 
in Sec.  430.23 (for a single unit) and in 10 CFR 429.16 (for a 
sample).
    b. For the capacities used to perform the calculations in 
section 4 of this appendix, however, round only to the nearest 
integer.

3.13 Laboratory Testing To Determine Off Mode Average Power Ratings

    Voltage tolerances: As a percentage of reading, test operating 
tolerance must be 2.0 percent and test condition tolerance must be 
1.5 percent (see section 1.2 of this appendix for definitions of 
these tolerances).
    Conduct one of the following tests: If the central air 
conditioner or heat pump lacks a compressor crankcase heater, 
perform the test in section 3.13.1 of this appendix; if the central 
air conditioner or heat pump has a compressor crankcase heater that 
lacks controls and is not self-regulating, perform the test in 
section 3.13.1 of this appendix; if the central air conditioner or 
heat pump has a crankcase heater with a fixed power input controlled 
with a thermostat that measures ambient temperature and whose 
sensing element temperature is not affected by the heater, perform 
the test in section 3.13.1 of this appendix; if the central air 
conditioner or heat pump has a compressor crankcase heater equipped 
with self-regulating control or with controls for which the sensing 
element temperature is affected by the heater, perform the test in 
section 3.13.2 of this appendix.

3.13.1 This Test Determines the Off Mode Average Power Rating for 
Central Air Conditioners and Heat Pumps That Lack a Compressor 
Crankcase Heater, or Have a Compressor Crankcase Heating System That 
Can Be Tested Without Control of Ambient Temperature During the Test. 
This Test Has No Ambient Condition Requirements

    a. Test Sample Set-up and Power Measurement: For coil-only 
systems, provide a furnace or modular blower that is compatible with 
the system to serve as an interface with the thermostat (if used for 
the test) and to provide low-voltage control circuit power. Make all 
control circuit connections between the furnace (or modular blower) 
and the outdoor unit as specified by the manufacturer's installation 
instructions. Measure power supplied to both the furnace (or modular 
blower) and power supplied to the outdoor unit. Alternatively, 
provide a compatible transformer to supply low-voltage control 
circuit power, as described in section 2.2.d of this appendix. 
Measure transformer power, either supplied to the primary winding or 
supplied by the secondary winding of the transformer, and power 
supplied to the outdoor unit. For blower coil and single-package 
systems, make all control circuit connections between components as 
specified by the manufacturer's installation instructions, and 
provide power and measure power supplied to all system components.
    b. Configure Controls: Configure the controls of the central air 
conditioner or heat pump so that it operates as if connected to a 
building thermostat that is set to the OFF position. Use a 
compatible building thermostat if necessary to achieve this 
configuration. For a thermostat-controlled crankcase heater with a 
fixed power input, bypass the crankcase heater thermostat if 
necessary to energize the heater.
    c. Measure P2x: If the unit has a crankcase heater time delay, 
make sure that time-delay function is disabled or wait until delay 
time has passed. Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P2x, 
the heating season total off mode power.
    d. Measure Px for coil-only split systems and for blower coil 
split systems for which a furnace or a modular blower is the 
designated air mover: Disconnect all low-voltage wiring for the 
outdoor components and outdoor controls from the low-voltage 
transformer. Determine the average power from non-zero value data 
measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px. This power measurement does not 
include line power supplied to the outdoor unit. It is the line 
power supplied to the air mover, or, if a compatible transformer is 
used instead of an air mover, it is the line power supplied to the 
transformer primary coil. If a compatible transformer is used 
instead of an air mover and power output of the low-voltage 
secondary circuit is measured, Px is zero.
    e. Calculate P2: Set the number of compressors equal to the 
unit's number of single-stage compressors plus 1.75 times the unit's 
number of compressors that are not single-stage.
    For single-package systems and blower coil split systems for 
which the designated air mover is not a furnace or modular blower, 
divide the heating season total off mode power (P2x) by the number 
of compressors to calculate P2, the heating season per-compressor 
off mode power. Round P2 to the nearest watt. The expression for 
calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.197

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the heating season total 
off mode power (Px) and divide by the number of compressors to 
calculate P2, the heating season per-compressor off mode power. 
Round P2 to the nearest watt. The expression for calculating P2 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.198

    f. Shoulder-season per-compressor off mode power, P1: If the 
system does not have a crankcase heater, has a crankcase heater 
without controls that is not self-regulating, or has a value for the 
crankcase heater turn-on temperature (as certified to DOE) that is 
higher than 71[emsp14][deg]F, P1 is equal to P2.
    Otherwise, de-energize the crankcase heater (by removing the 
thermostat bypass or otherwise disconnecting only the power supply 
to the crankcase heater) and repeat the measurement as described in 
section 3.13.1.c of this appendix. Designate the measured average 
power as P1x, the shoulder season total off mode power.
    Determine the number of compressors as described in section 
3.13.1.e of this appendix.
    For single-package systems and blower coil systems for which the 
designated air mover is not a furnace or modular blower, divide the 
shoulder season total off mode power (P1x) by the number of 
compressors to calculate P1, the shoulder season per-compressor off 
mode power. Round P1 to the nearest watt. The expression for 
calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.199

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the shoulder season total 
off mode power (P1x) and divide by the number of compressors to 
calculate P1, the shoulder season per-compressor off mode power. 
Round P1 to the nearest watt. The expression for calculating P1 is 
as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.200

3.13.2 This Test Determines the Off Mode Average Power Rating for 
Central Air Conditioners and Heat Pumps for Which Ambient Temperature 
Can Affect the Measurement of Crankcase Heater Power

    a. Test Sample Set-up and Power Measurement: set up the test and 
measurement as described in section 3.13.1.a of this appendix.
    b. Configure Controls: Position a temperature sensor to measure 
the outdoor dry-bulb temperature in the air between 2 and 6 inches 
from the crankcase heater control temperature sensor or, if no such 
temperature sensor exists, position it in the air between 2 and 6 
inches from the crankcase heater. Utilize the temperature 
measurements from this sensor for this portion of the test 
procedure. Configure the controls of the central air conditioner or 
heat pump so that it operates as if connected to a building 
thermostat that is set to the OFF position. Use a compatible 
building thermostat if necessary to achieve this configuration.
    Conduct the test after completion of the B, B1, or 
B2 test. Alternatively, start the test when the outdoor 
dry-bulb temperature is at 82[emsp14][deg]F and the temperature of 
the compressor shell (or temperature of each compressor's shell if 
there is more than one compressor) is at least 81[emsp14][deg]F. 
Then adjust the outdoor

[[Page 1569]]

temperature and achieve an outdoor dry-bulb temperature of 
72[emsp14][deg]F. If the unit's compressor has no sound blanket, 
wait at least 4 hours after the outdoor temperature reaches 
72[emsp14][deg]F. Otherwise, wait at least 8 hours after the outdoor 
temperature reaches 72[emsp14][deg]F. Maintain this temperature 
within 2[emsp14][deg]F while the compressor temperature 
equilibrates and while making the power measurement, as described in 
section 3.13.2.c of this appendix.
    c. Measure P1x: If the unit has a crankcase heater time delay, 
make sure that time-delay function is disabled or wait until delay 
time has passed. Determine the average power from non-zero value 
data measured over a 5-minute interval of the non-operating central 
air conditioner or heat pump and designate the average power as P1x, 
the shoulder season total off mode power. For units with crankcase 
heaters which operate during this part of the test and whose 
controls cycle or vary crankcase heater power over time, the test 
period shall consist of three complete crankcase heater cycles or 18 
hours, whichever comes first. Designate the average power over the 
test period as P1x, the shoulder season total off mode power.
    d. Reduce outdoor temperature: Approach the target outdoor dry-
bulb temperature by adjusting the outdoor temperature. This target 
temperature is five degrees Fahrenheit less than the temperature 
certified by the manufacturer as the temperature at which the 
crankcase heater turns on. If the unit's compressor has no sound 
blanket, wait at least 4 hours after the outdoor temperature reaches 
the target temperature. Otherwise, wait at least 8 hours after the 
outdoor temperature reaches the target temperature. Maintain the 
target temperature within 2[emsp14][deg]F while the 
compressor temperature equilibrates and while making the power 
measurement, as described in section 3.13.2.e of this appendix.
    e. Measure P2x: If the unit has a crankcase heater time delay, 
make sure that time-delay function is disabled or wait until delay 
time has passed. Determine the average non-zero power of the non-
operating central air conditioner or heat pump over a 5-minute 
interval and designate it as P2x, the heating season total off mode 
power. For units with crankcase heaters whose controls cycle or vary 
crankcase heater power over time, the test period shall consist of 
three complete crankcase heater cycles or 18 hours, whichever comes 
first. Designate the average power over the test period as P2x, the 
heating season total off mode power.
    f. Measure Px for coil-only split systems and for blower coil 
split systems for which a furnace or modular blower is the 
designated air mover: Disconnect all low-voltage wiring for the 
outdoor components and outdoor controls from the low-voltage 
transformer. Determine the average power from non-zero value data 
measured over a 5-minute interval of the power supplied to the 
(remaining) low-voltage components of the central air conditioner or 
heat pump, or low-voltage power, Px. This power measurement does not 
include line power supplied to the outdoor unit. It is the line 
power supplied to the air mover, or, if a compatible 
transformer is used instead of an air mover, it is the line power 
supplied to the transformer primary coil. If a compatible 
transformer is used instead of an air mover and power output of the 
low-voltage secondary circuit is measured, Px is zero.
    g. Calculate P1:
    Set the number of compressors equal to the unit's number of 
single-stage compressors plus 1.75 times the unit's number of 
compressors that are not single-stage.
    For single-package systems and blower coil split systems for 
which the air mover is not a furnace or modular blower, divide the 
shoulder season total off mode power (P1x) by the number of 
compressors to calculate P1, the shoulder season per-compressor off 
mode power. Round to the nearest watt. The expression for 
calculating P1 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.201

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the shoulder season total 
off mode power (P1x) and divide by the number of compressors to 
calculate P1, the shoulder season per-compressor off mode power. 
Round to the nearest watt. The expression for calculating P1 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.202

    h. Calculate P2:
    Determine the number of compressors as described in section 
3.13.2.g of this appendix.
    For, single-package systems and blower coil split systems for 
which the air mover is not a furnace, divide the heating season 
total off mode power (P2x) by the number of compressors to calculate 
P2, the heating season per-compressor off mode power. Round to the 
nearest watt. The expression for calculating P2 is as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.203

    For coil-only split systems and blower coil split systems for 
which a furnace or a modular blower is the designated air mover, 
subtract the low-voltage power (Px) from the heating season total 
off mode power (P2x) and divide by the number of compressors to 
calculate P2, the heating season per-compressor off mode power. 
Round to the nearest watt. The expression for calculating P2 is as 
follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.204

4 Calculations of Seasonal Performance Descriptors

4.1 Seasonal Energy Efficiency Ratio (SEER2) Calculations

    Calculate SEER2 as follows: For equipment covered under sections 
4.1.2, 4.1.3, and 4.1.4 of this appendix, evaluate the seasonal 
energy efficiency ratio,
[GRAPHIC] [TIFF OMITTED] TR05JA17.205

where,

[[Page 1570]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.206

Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are grouped or ``binned.'' Use bins of 5[emsp14][deg]F 
with the 8 cooling season bin temperatures being 67, 72, 77, 82, 87, 
92, 97, and 102[emsp14][deg]F.
j = the bin number. For cooling season calculations, j ranges from 1 
to 8.
    Additionally, for sections 4.1.2, 4.1.3, and 4.1.4 of this 
appendix, use a building cooling load, BL(Tj). When 
referenced, evaluate BL(Tj) for cooling using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.207

where:
Qck=2(95) = the space cooling capacity determined from 
the A2 test and calculated as specified in section 3.3 of 
this appendix, Btu/h.
1.1 = sizing factor, dimensionless.
The temperatures 95[emsp14][deg]F and 65[emsp14][deg]F in the 
building load equation represent the selected outdoor design 
temperature and the zero-load base temperature, respectively.
V is a factor equal to 0.93 for variable-speed heat pumps and 
otherwise equal to 1.0.

4.1.1 SEER2 Calculations for a Blower Coil System Having a Single-Speed 
Compressor and Either a Fixed-Speed Indoor Blower or a Constant-Air-
Volume-Rate Indoor Blower, or a Single-Speed Coil-Only System Air 
Conditioner or Heat Pump

    a. Evaluate the seasonal energy efficiency ratio, expressed in 
units of Btu/watt-hour, using:
    SEER2 = PLF(0.5) * EERB
where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.208

PLF(0.5) = 1 - 0.5 [middot] CD\c\, the part-load 
performance factor evaluated at a cooling load factor of 0.5, 
dimensionless.
    b. Refer to section 3.3 of this appendix regarding the 
definition and calculation of Qc(82) and 
Ec(82). Evaluate the cooling mode cyclic degradation 
factor CD\c\ as specified in section 3.5.3 of this 
appendix.

4.1.2 SEER2 Calculations for an Air Conditioner or Heat Pump Having a 
Single-Speed Compressor and a Variable-Speed Variable-Air-Volume-Rate 
Indoor Blower

4.1.2.1 Units Covered by Section 3.2.2.1 of This Appendix Where Indoor 
Blower Capacity Modulation Correlates With the Outdoor Dry Bulb 
Temperature

    The manufacturer must provide information on how the indoor air 
volume rate or the indoor blower speed varies over the outdoor 
temperature range of 67[emsp14][deg]F to 102[emsp14][deg]F. 
Calculate SEER2 using Equation 4.1-1. Evaluate the quantity 
qc(Tj)/N in Equation 4.1-1 using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.209

where:

[[Page 1571]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.210

Qc(Tj) = the space cooling capacity of the 
test unit when operating at outdoor temperature, Tj, Btu/
h.
nj/N = fractional bin hours for the cooling season; the 
ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless.
    a. For the space cooling season, assign nj/N as 
specified in Table 19. Use Equation 4.1-2 to calculate the building 
load, BL(Tj). Evaluate Qc(Tj) 
using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.211

where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.212

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the cooling minimum air volume rate, 
Btu/h.
[GRAPHIC] [TIFF OMITTED] TR05JA17.213

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling full-load air volume rate, 
Btu/h.
    b. For units where indoor blower speed is the primary control 
variable, FPck=1 denotes the fan speed used during the 
required A1 and B1 tests (see section 3.2.2.1 
of this appendix), FPck=2 denotes the fan speed used 
during the required A2 and B2 tests, and 
FPc(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPc's are similarly defined only now being expressed in 
terms of air volume rates rather than fan speeds. Refer to sections 
3.2.2.1, 3.1.4 to 3.1.4.2, and 3.3 of this appendix regarding the 
definitions and calculations of Qck=1(82), 
Qck=1(95),Qc k=2(82), and 
Qck=2(95).
    Calculate ec(Tj)/N in Equation 4.1-1 
using, Equation 4.1.2-3
[GRAPHIC] [TIFF OMITTED] TR05JA17.214

where:
PLFj = 1 - CD\c\ [middot] [1 - 
X(Tj)], the part load factor, dimensionless.
Ec(Tj) = the electrical power consumption of 
the test unit when operating at outdoor temperature Tj, 
W.
    c. The quantities X(Tj) and nj/N are the 
same quantities as used in Equation 4.1.2-1. Evaluate the cooling 
mode cyclic degradation factor CD\c\ as specified in 
section 3.5.3 of this appendix.
    d. Evaluate Ec(Tj) using,
    [GRAPHIC] [TIFF OMITTED] TR05JA17.215
    
the electrical power consumption of the test unit at outdoor 
temperature Tj if operated at the cooling minimum air 
volume rate, W.

[[Page 1572]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.216

    e. The parameters FPck=1, and FPck=2, and 
FPc(Tj) are the same quantities that are used 
when evaluating Equation 4.1.2-2. Refer to sections 3.2.2.1, 3.1.4 
to 3.1.4.2, and 3.3 of this appendix regarding the definitions and 
calculations of Eck=1(82), Eck=1(95), 
Eck=2(82), and Eck=2(95).

4.1.2.2 Units Covered by Section 3.2.2.2 of This Appendix Where Indoor 
Blower Capacity Modulation is Used to Adjust the Sensible to Total 
Cooling Capacity Ratio

    Calculate SEER2 as specified in section 4.1.1 of this appendix.

4.1.3 SEER2 Calculations for an Air Conditioner or Heat Pump Having a 
Two-Capacity Compressor

    Calculate SEER2 using Equation 4.1-1. Evaluate the space cooling 
capacity, Qck=1 (Tj), and electrical power 
consumption, Eck=1 (Tj), of the test unit when 
operating at low compressor capacity and outdoor temperature 
Tj using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.217

[GRAPHIC] [TIFF OMITTED] TR05JA17.218

where Qck=1 (82) and Eck=1 (82) are determined 
from the B1 test, Qck=1 (67) and 
Eck=1 (67) are determined from the F1 test, 
and all four quantities are calculated as specified in section 3.3 
of this appendix. Evaluate the space cooling capacity, 
Qck=2 (Tj), and electrical power consumption, 
Eck=2 (Tj), of the test unit when operating at 
high compressor capacity and outdoor temperature Tj 
using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.219

[GRAPHIC] [TIFF OMITTED] TR05JA17.220

where Qck=2(95) and Eck=2(95) are determined 
from the A2 test, Qck=2(82), and 
Eck=2(82), are determined from the B2 test, 
and all are calculated as specified in section 3.3 of this appendix.
    The calculation of Equation 4.1-1 quantities 
qc(Tj)/N and ec(Tj)/N 
differs depending on whether the test unit would operate at low 
capacity (section 4.1.3.1 of this appendix), cycle between low and 
high capacity (section 4.1.3.2 of this appendix), or operate at high 
capacity (sections 4.1.3.3 and 4.1.3.4 of this appendix) in 
responding to the building load. For units that lock out low 
capacity operation at higher outdoor temperatures, the outdoor 
temperature at which the unit locks out must be that specified by 
the manufacturer in the certification report so that the appropriate 
equations are used. Use Equation 4.1-2 to calculate the building 
load, BL(Tj), for each temperature bin.

4.1.3.1 Steady-state Space Cooling Capacity at Low Compressor Capacity 
Is Greater Than or Equal to the Building Cooling Load at Temperature 
Tj, Qck=1(Tj) >=BL(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.221

Where:

Xk=1(Tj) = BL(Tj)/
Qck=1(Tj), the cooling mode low capacity load 
factor for temperature bin j, dimensionless.
PLFj = 1 - CD\c\ [middot] [1 - 
Xk=1(Tj)], the part load factor, dimensionless.
    nj/N = fractional bin hours for the cooling season; 
the ratio of the number of hours during the cooling season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
cooling season, dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1(Tj) and 
Eck=1(Tj). Evaluate the cooling mode cyclic 
degradation factor CD\c\ as specified in section 3.5.3 of 
this appendix.

                Table 19--Distribution of Fractional Hours Within Cooling Season Temperature Bins
----------------------------------------------------------------------------------------------------------------
                                                                                                  Fraction of of
                                                                        Bin       Representative       total
                          Bin number, j                             temperature     temperature     temperature
                                                                   range [deg]F   for bin [deg]F  bin hours, nj/
                                                                                                         N
----------------------------------------------------------------------------------------------------------------
1...............................................................           65-69              67           0.214

[[Page 1573]]

 
2...............................................................           70-74              72           0.231
3...............................................................           75-79              77           0.216
4...............................................................           80-84              82           0.161
5...............................................................           85-89              87           0.104
6...............................................................           90-94              92           0.052
7...............................................................           95-99              97           0.018
8...............................................................         100-104             102           0.004
----------------------------------------------------------------------------------------------------------------

4.1.3.2 Unit Alternates Between High (k=2) and Low (k=1) Compressor 
Capacity to Satisfy the Building Cooling Load at Temperature 
Tj, Qck=1(Tj) <(BL(Tj) 
<(Qck=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.222

Where:

[GRAPHIC] [TIFF OMITTED] TR05JA17.223

    Xk=2(Tj) = 1 - Xk=1(Tj), the cooling mode, 
high capacity load factor for temperature bin j, dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1(Tj) and 
Eck=1(Tj). Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qck=2(Tj) and 
Eck=2(Tj).

4.1.3.3 Unit Only Operates at High (k=2) Compressor Capacity at 
Temperature Tj and Its Capacity Is Greater Than the Building 
Cooling Load, BL(Tj) ck=2(Tj). This 
section applies to units that lock out low compressor capacity 
operation at higher outdoor temperatures.
[GRAPHIC] [TIFF OMITTED] TR05JA17.224

Where,

    Xk=2(Tj) = BL(Tj)/
Qck=2(Tj), the cooling mode high capacity load 
factor for temperature bin j, dimensionless.
PLFj = 1-CDc(k = 2) * [1-Xk=2(Tj)], the part load factor, 
dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qck=2 (Tj) and 
Eck=2 (Tj). If the C2 and 
D2 tests described in section 3.2.3 and Table 7 of this 
appendix are not conducted, set CD\c\ (k=2) equal to the 
default value specified in section 3.5.3 of this appendix.

4.1.3.4 Unit Must Operate Continuously at High (k=2) Compressor 
Capacity at Temperature Tj, BL(Tj) 
>=Qck=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.225

Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qck=2(Tj) and 
Eck=2(Tj).

4.1.4 SEER2 Calculations for an Air Conditioner or Heat Pump Having a 
Variable-Speed Compressor

    Calculate SEER2 using Equation 4.1-1. Evaluate the space cooling 
capacity, Qck=1(Tj), and electrical power 
consumption, Eck=1(Tj), of the test unit when 
operating at minimum compressor speed and outdoor temperature 
Tj. Use,

[[Page 1574]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.226

[GRAPHIC] [TIFF OMITTED] TR05JA17.227

where Qck=1(82) and Eck=1(82) are determined 
from the B1 test, Qck=1(67) and 
Eck=1(67) are determined from the F1 test, and all four 
quantities are calculated as specified in section 3.3 of this 
appendix. Evaluate the space cooling capacity, 
Qck=2(Tj), and electrical power consumption, 
Eck=2(Tj), of the test unit when operating at 
full compressor speed and outdoor temperature Tj. Use 
Equations 4.1.3-3 and 4.1.3-4, respectively, where 
Qck=2(95) and Eck=2(95) are determined from 
the A2 test, Qck=2(82) and 
Eck=2(82) are determined from the B2 test, and 
all four quantities are calculated as specified in section 3.3 of 
this appendix. Calculate the space cooling capacity, 
Qc\k=v\(Tj), and electrical power consumption, 
Ec\k=v\(Tj), of the test unit when operating 
at outdoor temperature Tj and the intermediate compressor 
speed used during the section 3.2.4 (and Table 8) EV test 
of this appendix using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.228

[GRAPHIC] [TIFF OMITTED] TR05JA17.229

where Qc\k=v\(87) and Ec\k=v\(87) are 
determined from the EV test and calculated as specified 
in section 3.3 of this appendix. Approximate the slopes of the k=v 
intermediate speed cooling capacity and electrical power input 
curves, MQ and ME, as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.230

[GRAPHIC] [TIFF OMITTED] TR05JA17.231

    Use Equations 4.1.4-1 and 4.1.4-2, respectively, to calculate 
Qck=1(87) and Eck=1(87).
    4.1.4.1 Steady-state space cooling capacity when operating at 
minimum compressor speed is greater than or equal to the building 
cooling load at temperature Tj, 
Qck=1(Tj) >=BL(Tj).
[GRAPHIC] [TIFF OMITTED] TR05JA17.232

Where:

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

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qc\k=l\ (Tj) and 
Ec\k=l\ (Tj). Evaluate the cooling mode cyclic 
degradation factor CD\c\ as specified in section 3.5.3 of 
this appendix.
    4.1.4.2 Unit operates at an intermediate compressor speed (k=i) 
in order to match the building cooling load at temperature 
Tj, Qck=1(Tj) j) 
ck=2(Tj).
[GRAPHIC] [TIFF OMITTED] TR05JA17.233

Where:

Qc\k=i\(Tj) = BL(Tj), the space 
cooling capacity delivered by the unit in matching the building load 
at temperature Tj, Btu/h.

[[Page 1575]]

The matching occurs with the unit operating at compressor speed k = 
i.
[GRAPHIC] [TIFF OMITTED] TR05JA17.234

EER\k=i\(Tj) = the steady-state energy efficiency ratio 
of the test unit when operating at a compressor speed of k = i and 
temperature Tj, Btu/h per W.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 19 of this section. For each temperature 
bin where the unit operates at an intermediate compressor speed, 
determine the energy efficiency ratio EER\k=i\(Tj) using 
the following equations,
    For each temperature bin where Qck=1(Tj) 
j) c\k=v\(Tj),
[GRAPHIC] [TIFF OMITTED] TR05JA17.235

    For each temperature bin where Qc\k=v\(Tj) 
<=BL(Tj) ck=2(Tj),
[GRAPHIC] [TIFF OMITTED] TR05JA17.236

Where:

    EERk=1(Tj) is the steady-state energy efficiency 
ratio of the test unit when operating at minimum compressor speed 
and temperature Tj, Btu/h per W, calculated using capacity 
Qck=1(Tj) calculated using Equation 4.1.4-1 
and electrical power consumption Eck=1(Tj) 
calculated using Equation 4.1.4-2;
    EER\k=v\(Tj) is the steady-state energy efficiency 
ratio of the test unit when operating at intermediate compressor 
speed and temperature Tj, Btu/h per W, calculated using capacity 
Qc\k=v\(Tj) calculated using Equation 4.1.4-3 
and electrical power consumption Ec\k=v\(Tj) 
calculated using Equation 4.1.4-4;
    EER2k=2(Tj) is the steady-state energy efficiency 
ratio of the test unit when operating at full compressor speed and 
temperature Tj, Btu/h per W, calculated using capacity 
Qck=2(Tj) and electrical power consumption 
Eck=2(Tj), both calculated as described in 
section 4.1.4; and
    BL(Tj) is the building cooling load at temperature 
Tj, Btu/h.
    4.1.4.3 Unit must operate continuously at full (k=2) compressor 
speed at temperature Tj, BL(Tj) 
>=Qck=2(Tj). Evaluate the Equation 4.1-1 
quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.237

as specified in section 4.1.3.4 of this appendix with the 
understanding that Qck=2(Tj) and 
Eck=2(Tj) correspond to full compressor speed 
operation and are derived from the results of the tests specified in 
section 3.2.4 of this appendix.

4.1.5 SEER2 Calculations for an Air Conditioner or Heat Pump Having a 
Single Indoor Unit With Multiple Indoor Blowers

    Calculate SEER2 using Eq. 4.1-1, where qc(Tj)/N and 
ec(Tj)/N are evaluated as specified in the applicable 
subsection.

4.1.5.1 For Multiple Indoor Blower Systems That Are Connected to a 
Single, Single-Speed Outdoor Unit

    a. Calculate the space cooling capacity, Qck=1(Tj), 
and electrical power consumption, Eck=1(Tj), of the test 
unit when operating at the cooling minimum air volume rate and 
outdoor temperature Tj using the equations given in 
section 4.1.2.1 of this appendix. Calculate the space cooling 
capacity, Qck=2(Tj), and electrical power consumption, 
Eck=2(Tj), of the test unit when operating at the cooling 
full-load air volume rate and outdoor temperature Tj 
using the equations given in section 4.1.2.1 of this appendix. In 
evaluating the section 4.1.2.1 equations, determine the quantities 
Qck=1(82) and Eck=1(82) from the B1 test, 
Qck=1(95) and Eck=1(95) from the Al test, 
Qck=2(82) and Eck=2(82) from the B2 test, and 
Qck=2(95) and Eck=2(95) from the A2 
test. Evaluate all eight quantities as specified in section 3.3. 
Refer to section 3.2.2.1 and Table 6 for additional information on 
the four referenced laboratory tests.
    b. Determine the cooling mode cyclic degradation coefficient, 
CD\c\, as per sections 3.2.2.1 and 3.5 to 3.5.3 of this 
appendix. Assign this same value to CD\c\(K=2).
    c. Except for using the above values of Qck=1(Tj), 
Eck=1(Tj), Eck=2(Tj), Qck=2(Tj), 
CD\c\, and CD\c\ (K=2), calculate the 
quantities qc(Tj)/N and 
ec(Tj)/N as specified in section 4.1.3.1 of 
this appendix for cases where Qck=1(Tj) >= 
BL(Tj). For all other outdoor bin temperatures, 
Tj, calculate qc(Tj)/N and ec(Tj)/N 
as specified in section 4.1.3.3 of this appendix if 
Qck=2(Tj) > BL (Tj) or as specified in section 
4.1.3.4 of this appendix if Qck=2(Tj) <= 
BL(Tj).

4.1.5.2 For Multiple Indoor Blower Systems That Are Connected to Either 
a Lone Outdoor Unit Having a Two-Capacity Compressor or 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 of This Appendix

4.2 Heating Seasonal Performance Factor 2 (HSPF2) Calculations

    Unless an approved alternative efficiency determination method 
is used, as set forth in 10 CFR 429.70(e). Calculate HSPF2 as 
follows: Six generalized climatic regions are depicted in Figure 1 
and otherwise defined in Table 20. For each of these regions and for 
each applicable standardized design heating requirement, evaluate 
the heating seasonal performance factor using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.238


[[Page 1576]]


Where:

eh(Tj)/N = The ratio of the electrical energy consumed by 
the heat pump during periods of the heating season when the outdoor 
temperature fell within the range represented by bin temperature 
Tj to the total number of hours in the heating season 
(N), W. For heat pumps having a heat comfort controller, this ratio 
may also include electrical energy used by resistive elements to 
maintain a minimum air delivery temperature (see 4.2.5).
RH(Tj)/N = The ratio of the electrical energy used for 
resistive space heating during periods when the outdoor temperature 
fell within the range represented by bin temperature Tj 
to the total number of hours in the heating season (N), W. Except as 
noted in section 4.2.5 of this appendix, resistive space heating is 
modeled as being used to meet that portion of the building load that 
the heat pump does not meet because of insufficient capacity or 
because the heat pump automatically turns off at the lowest outdoor 
temperatures. For heat pumps having a heat comfort controller, all 
or part of the electrical energy used by resistive heaters at a 
particular bin temperature may be reflected in eh(Tj)/N 
(see section 4.2.5 of this appendix).
Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are ``binned'' such that calculations are only 
performed based one temperature within the bin. Bins of 
5[emsp14][deg]F are used.
nj/N = Fractional bin hours for the heating season; the 
ratio of the number of hours during the heating season when the 
outdoor temperature fell within the range represented by bin 
temperature Tj to the total number of hours in the 
heating season, dimensionless. Obtain nj/N values from 
Table 20.
j = the bin number, dimensionless.
J = for each generalized climatic region, the total number of 
temperature bins, dimensionless. Referring to Table 20, J is the 
highest bin number (j) having a nonzero entry for the fractional bin 
hours for the generalized climatic region of interest.
Fdef = the demand defrost credit described in section 
3.9.2 of this appendix, dimensionless.
BL(Tj) = the building space conditioning load 
corresponding to an outdoor temperature of Tj; the 
heating season building load also depends on the generalized 
climatic region's outdoor design temperature and the design heating 
requirement, Btu/h.

                                Table 20--Generalized Climatic Region Information
----------------------------------------------------------------------------------------------------------------
           Region Number                 I            II          III           IV           V           * VI
----------------------------------------------------------------------------------------------------------------
Heating Load Hours, HLH...........          493          857         1247         1701         2202         1842
Outdoor Design Temperature, TOD...           37           27           17            5          -10           30
Heating Load Line Equation Slope           1.10         1.06         1.30         1.15         1.16         1.11
 Factor, C........................
Variable-speed Slope Factor, CVS..         1.03         0.99         1.21         1.07         1.08         1.03
Zero-Load Temperature, Tzl........           58           57           56           55           55           57
                                   -----------------------------------------------------------------------------
 j Tj ([deg]F)....................                           Fractional Bin Hours, nj/N
----------------------------------------------------------------------------------------------------------------
 1 62.............................            0            0            0            0            0            0
 2 57.............................         .239            0            0            0            0            0
 3 52.............................         .194         .163         .138         .103         .086         .215
 4 47.............................         .129         .143         .137         .093         .076         .204
 5 42.............................         .081         .112         .135         .100         .078         .141
 6 37.............................         .041         .088         .118         .109         .087         .076
 7 32.............................         .019         .056         .092         .126         .102         .034
 8 27.............................         .005         .024         .047         .087         .094         .008
 9 22.............................         .001         .008         .021         .055         .074         .003
10 17.............................            0         .002         .009         .036         .055            0
11 12.............................            0            0         .005         .026         .047            0
12 7..............................            0            0         .002         .013         .038            0
13 2..............................            0            0         .001         .006         .029            0
14 -3.............................            0            0            0         .002         .018            0
15 -8.............................            0            0            0         .001         .010            0
16 -13............................            0            0            0            0         .005            0
17 -18............................            0            0            0            0         .002            0
18 -23............................            0            0            0            0         .001            0
----------------------------------------------------------------------------------------------------------------
* Pacific Coast Region.

    Evaluate the building heating load using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.239
    
where,

Tj = the outdoor bin temperature, [deg]F
Tzl = the zero-load temperature, [deg]F, which varies by 
climate region according to Table 20
C = the slope (adjustment) factor, which varies by climate region 
according to Table 20
Qc(95[deg]F) = the cooling capacity at 95 [deg]F 
determined from the A or A2 test, Btu/h
For heating-only heat pump units, replace Qc(95[deg]F) in 
Equation 4.2-2 with Qh(47[deg]F)
Qh(47[deg]F)= the heating capacity at 47 [deg]F 
determined from the H, H12 or H1N test, Btu/h.

    a. For all heat pumps, HSPF2 accounts for the heating delivered 
and the energy consumed by auxiliary resistive elements when 
operating below the balance point. This condition occurs when the 
building load exceeds the space heating capacity of the heat pump 
condenser. For HSPF2 calculations for all heat pumps, see either 
section 4.2.1, 4.2.2, 4.2.3, or 4.2.4 of this appendix, whichever 
applies.
    b. For heat pumps with heat comfort controllers (see section 1.2 
of this appendix, Definitions), HSPF2 also accounts for

[[Page 1577]]

resistive heating contributed when operating above the heat-pump-
plus-comfort-controller balance point as a result of maintaining a 
minimum supply temperature. For heat pumps having a heat comfort 
controller, see section 4.2.5 of this appendix for the additional 
steps required for calculating the HSPF2.

4.2.1 Additional Steps for Calculating the HSPF2 of a Blower Coil 
System Heat Pump Having a Single-Speed Compressor and Either a Fixed-
Speed Indoor Blower or a Constant-Air-Volume-Rate Indoor Blower, or a 
Single-Speed Coil-Only System Heat Pump
[GRAPHIC] [TIFF OMITTED] TR05JA17.240

[GRAPHIC] [TIFF OMITTED] TR05JA17.241

Where:
[GRAPHIC] [TIFF OMITTED] TR05JA17.242


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

    Use Equation 4.2-2 to determine BL(Tj). Obtain 
fractional bin hours for the heating season, nj/N, from 
Table 20. Evaluate the heating mode cyclic degradation factor CDh as 
specified in section 3.8.1 of this appendix.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.243
    

Where:

Toff = the outdoor temperature when the compressor is 
automatically shut off, [deg]F. (If no such temperature exists, 
Tj is always greater than Toff and 
Ton).
    Ton = the outdoor temperature when the compressor is 
automatically turned back on, if applicable, following an automatic 
shut-off, [deg]F.
    If the H4 test is not conducted, calculate Qh(Tj) and 
Eh(Tj) using
[GRAPHIC] [TIFF OMITTED] TR05JA17.244

[GRAPHIC] [TIFF OMITTED] TR05JA17.245


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

[[Page 1578]]

Eh(17) are determined from the H3 test and calculated as specified 
in section 3.10 of this appendix.
    If the H4 test is conducted, calculate Qh(Tj) and 
Eh(Tj) using
[GRAPHIC] [TIFF OMITTED] TR05JA17.246

[GRAPHIC] [TIFF OMITTED] TR05JA17.247


where Qh(47) and Eh(47) are determined from the H1 test and 
calculated as specified in section 3.7 of this appendix; Qh(35) and 
Eh(35) are determined from the H2 test and calculated as specified 
in section 3.9.1 of this appendix; Qh(17) and Eh(17) are determined 
from the H3 test and calculated as specified in section 3.10 of this 
appendix; Qh(5) and Eh(5) are determined from the H4 test and 
calculated as specified in section 3.10 of this appendix.

4.2.2 Additional Steps for Calculating the HSPF2 of a Heat Pump Having 
a Single-Speed Compressor and a Variable-Speed, Variable-Air-Volume-
Rate Indoor Blower

    The manufacturer must provide information about how the indoor 
air volume rate or the indoor blower speed varies over the outdoor 
temperature range of 65[emsp14][deg]F to -23[emsp14][deg]F. 
Calculate the quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.248


in Equation 4.2-1 as specified in section 4.2.1 of this appendix 
with the exception of replacing references to the H1C test and 
section 3.6.1 of this appendix with the H1C1 test and 
section 3.6.2 of this appendix. In addition, evaluate the space 
heating capacity and electrical power consumption of the heat pump 
Qh(Tj) and Eh(Tj) using
[GRAPHIC] [TIFF OMITTED] TR05JA17.249

[GRAPHIC] [TIFF OMITTED] TR05JA17.250


where the space heating capacity and electrical power consumption at 
low capacity (k=1) at outdoor temperature Tj are determined using

[[Page 1579]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.251

[GRAPHIC] [TIFF OMITTED] TR05JA17.252

    If the H42 test is not conducted, calculate the space 
heating capacity and electrical power consumption at high capacity 
(k=2) at outdoor temperature Tj using Equations 4.2.2-3 and 4.2.2-4 
for k=2.
    If the H42 test is conducted, calculate the space 
heating capacity and electrical power consumption at high capacity 
(k=2) at outdoor temperature Tj using Equations 4.2.2-5 and 4.2.2-6.
[GRAPHIC] [TIFF OMITTED] TR05JA17.253

[GRAPHIC] [TIFF OMITTED] TR05JA17.254

    For units where indoor blower speed is the primary control 
variable, FPhk=1 denotes the fan speed used during the required 
H11 and H31 tests (see Table 12), FPhk=2 
denotes the fan speed used during the required H12, 
H22, and H32 tests, and FPh(Tj) 
denotes the fan speed used by the unit when the outdoor temperature 
equals Tj. For units where indoor air volume rate is the 
primary control variable, the three FPh's are similarly defined only 
now being expressed in terms of air volume rates rather than fan 
speeds. Determine Qhk=1(47) and Ehk=1(47) from the H11 
test, and Qhk=2(47) and Ehk=2(47) from the H12 test. 
Calculate all four quantities as specified in section 3.7 of this 
appendix. Determine Qhk=1(35) and Ehk=1(35) as specified in section 
3.6.2 of this appendix; determine Qhk=2(35) and Ehk=2(35) and from 
the H22 test and the calculation specified in section 3.9 
of this appendix. Determine Qhk=1(17) and Ehk=1(17 from the 
H31 test, and Qhk=2(17) and Ehk=2(17) from the 
H32 test. Calculate all four quantities as specified in 
section 3.10 of this appendix. Determine Qhk=2(5) and Ehk=2(5) from 
the H42 test and the calculation specified in section 
3.10 of this appendix.

4.2.3 Additional Steps for Calculating the HSPF2 of a Heat Pump Having 
a Two-Capacity Compressor

    The calculation of the Equation 4.2-1 quantities differ 
depending upon whether the heat pump would operate at low capacity 
(section 4.2.3.1 of this appendix), cycle between low and high 
capacity (section 4.2.3.2 of this appendix), or operate at high 
capacity (sections 4.2.3.3 and 4.2.3.4 of this appendix) in 
responding to the building load. For heat pumps that lock out low 
capacity operation at low outdoor temperatures, the outdoor 
temperature at which the unit locks out must be that specified by 
the manufacturer in the certification report so that the appropriate 
equations can be selected.

[[Page 1580]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.255

    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TR05JA17.256

    b. If the H42 test is not conducted, evaluate the 
space heating capacity and electrical power consumption 
(Qhk=2(Tj) and Ehk=2 
(Tj)) of the heat pump when operating at high compressor 
capacity and outdoor temperature Tj by solving Equations 4.2.2-3 and 
4.2.2-4, respectively, for k=2. If the H42 test is 
conducted, evaluate the space heating capacity and electrical power 
consumption (Qhk=2(Tj) and Ehk=2 
(Tj)) of the heat pump when operating at high compressor 
capacity and outdoor temperature Tj using Equations 4.2.2-5 and 
4.2.2-6, respectively.
    Determine Qhk=1(62) and Ehk=1(62) from the 
H01 test, Qhk=1(47) and Ehk=1(47) 
from the H11 test, and Qhk=2(47) and 
Ehk=2(47) from the H12 test. Calculate all six 
quantities as specified in section 3.7 of this appendix. Determine 
Qhk=2(35) and Ehk=2(35) from the 
H22 test and, if required as described in section 3.6.3 
of this appendix, determine Qhk=1(35) and 
Ehk=1(35) from the H21 test. Calculate the 
required 35 [deg]F quantities as specified in section 3.9 in this 
appendix. Determine Qhk=2(17) and Ehk=2(17) 
from the H32 test and, if required as described in 
section 3.6.3 of this appendix, determine Qhk=1(17) and 
Ehk=1(17) from the H31 test. Calculate the 
required 17 [deg]F quantities as specified in section 3.10 of this 
appendix. Determine Qhk=2(5) and Ehk=2(5) from 
the H42 test and the calculation specified in section 
3.10 of this appendix.

4.2.3.1 Steady-State Space Heating Capacity When Operating at Low 
Compressor Capacity Is Greater Than or Equal to the Building Heating 
Load at Temperature Tj, Qhk=1(Tj) 
>=BL(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.257

[GRAPHIC] [TIFF OMITTED] TR05JA17.258


Where:

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

[delta]'(Tj) = the low temperature cutoff factor, 
dimensionless.
    Evaluate the heating mode cyclic degradation factor CDh as 
specified in section 3.8.1 of this appendix.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TR05JA17.259
    

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

4.2.3.2 Heat Pump Alternates Between High (k=2) and Low (k=1) 
Compressor Capacity To Satisfy the Building Heating Load at a 
Temperature Tj, Qhk=1(Tj) 
BL(Tj) Qhk=2(Tj)

[[Page 1581]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.260


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

    Determine the low temperature cut-out factor, 
[delta]'(Tj), using Equation 4.2.3-3.

4.2.3.3 Heat Pump Only Operates at High (k=2) Compressor Capacity at 
Temperature Tj and its Capacity Is Greater Than the Building 
Heating Load, BL(Tj) < Qhk=2(Tj). This 
Section Applies to Units That Lock Out Low Compressor Capacity 
Operation at Low Outdoor Temperatures
[GRAPHIC] [TIFF OMITTED] TR05JA17.261


where:

    Xk=2(Tj)= BL(Tj)/
Qhk=2(Tj). PLFj = 1 - 
ChD(k = 2) * [1 - Xk=2(Tj)]
    If the H1C2 test described in section 3.6.3 and Table 
13 of this appendix is not conducted, set CDh (k=2) equal to the 
default value specified in section 3.8.1 of this appendix.
    Determine the low temperature cut-out factor, 
[delta](Tj), using Equation 4.2.3-3.

4.2.3.4 Heat Pump Must Operate Continuously at High (k=2) Compressor 
Capacity at Temperature Tj, BL(Tj) 
>=Qhk=2(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.262

4.2.4 Additional Steps for Calculating the HSPF2 of a Heat Pump Having 
a Variable-Speed Compressor. Calculate HSPF2 Using Equation 4.2-1

[[Page 1582]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.263

    a. Minimum Compressor Speed. Evaluate the space heating 
capacity, Qhk=1(Tj), and electrical power consumption, 
Ehk=1(Tj), of the heat pump when operating at minimum 
compressor speed and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TR05JA17.264

[GRAPHIC] [TIFF OMITTED] TR05JA17.265

where Qhk=1(62) and Ehk=1(62) are determined from the H01 
test, Qhk=1(47) and Ehk=1(47) are determined from the H11 
test, and all four quantities are calculated as specified in section 
3.7 of this appendix.
    b. Minimum Compressor Speed for Minimum-speed-limiting Variable-
speed Heat Pumps: Evaluate the space heating capacity, 
Qhk=1(Tj), and electrical power consumption, 
Ehk=1(Tj), of the heat pump when operating at minimum 
compressor speed and outdoor temperature Tj using 
Equation 4.2.4-3
[GRAPHIC] [TIFF OMITTED] TR05JA17.266

[GRAPHIC] [TIFF OMITTED] TR05JA17.267

where Qhk=1(62) and Ehk=1(62) are determined from the H01 
test, Qhk=1(47) and Ehk=1(47) are determined from the H11 
test, and all four quantities are calculated as specified in section 
3.7 of this appendix; Qh\k=v\(35) and Eh\k=v\(35) are determined 
from the H2v test and are calculated as specified in 
section 3.9 of this appendix; and Qh\k=v\(Tj) and 
Eh\k=v\(Tj) are calculated using equations 4.2.4-5 and 
4.2.4-6, respectively.
    c. Full Compressor Speed for Heat Pumps for which the 
H42 test is not Conducted. Evaluate the space heating 
capacity, Qhk=2(Tj), and electrical power consumption, 
Ehk=2(Tj), of the heat pump when operating at full 
compressor speed and outdoor temperature Tj by solving 
Equations 4.2.2-3 and 4.2.2-4, respectively, for k=2, using 
Qhcalck=2(47) to represent Qhk=2(47) and 
Ehcalck=2(47) to represent Ehk=2(47) (see section 3.6.4.b 
of this appendix regarding determination of the capacity and power 
input used in the HSPF2 calculations to represent the H12 
Test). Determine Qhk=2(35) and Ehk=2(35) from the H22 
test and the calculations specified in section 3.9 or, if the 
H22 test is not conducted, by conducting the calculations 
specified in section 3.6.4. Determine Qhk=2(17) and Ehk=2(17) from 
the H32 test and the methods specified in section 3.10 of 
this appendix.
    d. Full Compressor Speed for Heat Pumps for which the 
H42 test is Conducted. For Tj above 17 [deg]F, 
evaluate the space heating capacity, Qhk=2(Tj), and 
electrical power consumption, Ehk=2(Tj), of the heat pump 
when operating at full compressor speed as described above for heat 
pumps for which the H42 is not conducted. For 
Tj between 5 [deg]F and 17 [deg]F, evaluate the space 
heating capacity, Qhk=2(Tj), and electrical power 
consumption, Ehk=2(Tj), of the heat pump

[[Page 1583]]

when operating at full compressor speed using the following 
equations:
[GRAPHIC] [TIFF OMITTED] TR05JA17.268

Determine Qhk=2(17) and Ehk=2(17) from the H32 test, and 
Qhk=2(5) and Ehk=2(5) from the H42 test, using the 
methods specified in section 3.10 of this appendix for all four 
values. For Tj below 5 [deg]F, evaluate the space heating 
capacity, Qhk=2(Tj), and electrical power consumption, 
Ehk=2(Tj), of the heat pump when operating at full 
compressor speed using the following equations:
[GRAPHIC] [TIFF OMITTED] TR05JA17.269

Determine Qhcalck=2(47) and Ehcalck=2(47) as 
described in section 3.6.4.b of this appendix. Determine Qhk=2(17) 
and Ehk=2(17) from the H32 test, using the methods 
specified in section 3.10 of this appendix.
    e. Intermediate Compressor Speed. Calculate the space heating 
capacity, Qh\k=v\(Tj), and electrical power consumption, 
Eh\k=v\(Tj), of the heat pump when operating at outdoor 
temperature Tj and the intermediate compressor speed used 
during the section 3.6.4 H2V test using
[GRAPHIC] [TIFF OMITTED] TR05JA17.270

[GRAPHIC] [TIFF OMITTED] TR05JA17.271

where Qh\k=v\(35) and Eh\k=v\(35) are determined from the 
H2V test and calculated as specified in section 3.9 of 
this appendix. Approximate the slopes of the k=v intermediate speed 
heating capacity and electrical power input curves, MQ 
and ME, as follows:
[GRAPHIC] [TIFF OMITTED] TR05JA17.272

    Use Equations 4.2.4-1 and 4.2.4-2, respectively, to calculate 
Qhk=1(35) and Ehk=1(35), whether or not the heat pump is a minimum-
speed-limiting variable-speed heat pump.

4.2.4.1 Steady-State Space Heating Capacity When Operating at Minimum 
Compressor Speed Is Greater Than or Equal to the Building Heating Load 
at Temperature Tj, Qhk=1(Tj >=BL(Tj)

    Evaluate the Equation 4.2-1 quantities

[[Page 1584]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.273

as specified in section 4.2.3.1 of this appendix. Except now use 
Equations 4.2.4-1 and 4.2.4-2 (for heat pumps that are not minimum-
speed-limiting) or Equations 4.3.4-3 and 4.2.4-4 (for minimum-speed-
limiting variable-speed heat pumps) to evaluate Qhk=1(Tj) 
and Ehk=1(Tj), respectively, and replace section 4.2.3.1 
references to ``low capacity'' and section 3.6.3 of this appendix 
with ``minimum speed'' and section 3.6.4 of this appendix. Also, the 
last sentence of section 4.2.3.1 of this appendix does not apply.

4.2.4.2 Heat Pump Operates at an Intermediate Compressor Speed (k=i) in 
Order To Match the Building Heating Load at a Temperature 
Tj, Qhk=1(Tj) j) 
j)

    Calculate
    [GRAPHIC] [TIFF OMITTED] TR05JA17.274
    
and [delta](Tj) is evaluated using Equation 4.2.3-3 
while, Qh\k=i\(Tj) = BL(Tj), the space heating 
capacity delivered by the unit in matching the building load at 
temperature (Tj), Btu/h. The matching occurs with the 
heat pump operating at compressor speed k=i. COP\k=i\(Tj) 
= the steady-state coefficient of performance of the heat pump when 
operating at compressor speed k=i and temperature Tj, 
dimensionless.
    For each temperature bin where the heat pump operates at an 
intermediate compressor speed, determine COP\k=i\(Tj) 
using the following equations,
    For each temperature bin where Qhk=1(Tj) 
j) j),
[GRAPHIC] [TIFF OMITTED] TR05JA17.275

    For each temperature bin where Qh\k=v\(Tj) 
<=BL(Tj) j),
[GRAPHIC] [TIFF OMITTED] TR05JA17.276

Where:
COPhk=1(Tj) is the steady-state coefficient of 
performance of the heat pump when operating at minimum compressor 
speed and temperature Tj, dimensionless, calculated using capacity 
Qhk=1(Tj) calculated using Equation 4.2.4-1 or 4.2.4-3 
and electrical power consumption Ehk=1(Tj) calculated 
using Equation 4.2.4-2 or 4.2.4-4;
COPh\k=v\(Tj) is the steady-state coefficient of 
performance of the heat pump when operating at intermediate 
compressor speed and temperature Tj, dimensionless, calculated using 
capacity Qh\k=v\(Tj) calculated using Equation 4.2.4-5 
and electrical power consumption Eh\k=v\(Tj) calculated 
using Equation 4.2.4-6;
    COPhk=2(Tj) is the steady-state coefficient of 
performance of the heat pump when operating at full compressor speed 
and temperature Tj, dimensionless, calculated using capacity 
Qhk=2(Tj) and electrical power consumption 
Ehk=2(Tj), both calculated as described in section 4.2.4; 
and
    BL(Tj) is the building heating load at temperature 
Tj, Btu/h.

4.2.4.3 Heat Pump Must Operate Continuously at Full (k=2) Compressor 
Speed at Temperature Tj, BL(Tj) 
>=Qhk=2(Tj). Evaluate the Equation 4.2-1 Quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.277

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

4.2.5 Heat Pumps Having a Heat Comfort Controller

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

[[Page 1585]]

the heat pump did not have the heat comfort controller.

4.2.5.1 Blower Coil System Heat Pump Having a Heat Comfort Controller: 
Additional Steps for Calculating the HSPF2 of a Heat Pump Having a 
Single-Speed Compressor and Either a Fixed-Speed Indoor Blower or a 
Constant-Air-Volume-Rate Indoor Blower Installed, or a Single-Speed 
Coil-Only System Heat Pump

    Calculate the space heating capacity and electrical power of the 
heat pump without the heat comfort controller being active as 
specified in section 4.2.1 of this appendix (Equations 4.2.1-4 and 
4.2.1-5) for each outdoor bin temperature, Tj, that is 
listed in Table 20. Denote these capacities and electrical powers by 
using the subscript ``hp'' instead of ``h.'' Calculate the mass flow 
rate (expressed in pounds-mass of dry air per hour) and the specific 
heat of the indoor air (expressed in Btu/lbmda [middot] 
[deg]F) from the results of the H1 test using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.278

where VIs, VImx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 20, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.279

    Evaluate eh(Tj/N), RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 of this appendix. For each bin 
calculation, use the space heating capacity and electrical power 
from Case 1 or Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9 of this appendix), determine Qh(Tj) and 
Eh(Tj) as specified in section 4.2.1 of this appendix 
(i.e., Qh(Tj) = Qhp(Tj) and 
Ehp(Tj) = Ehp(Tj)).

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

Case 2. For outdoor bin temperatures where 
To(Tj) >Tcc, determine 
Qh(Tj) and Eh(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.280


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

4.2.5.2 Heat Pump Having a Heat Comfort Controller: Additional Steps 
for Calculating the HSPF2 of a Heat Pump Having a Single-Speed 
Compressor and a Variable-Speed, Variable-Air-Volume-Rate Indoor Blower

    Calculate the space heating capacity and electrical power of the 
heat pump without the heat comfort controller being active as 
specified in section 4.2.2 of this appendix (Equations 4.2.2-1 and 
4.2.2-2) for each outdoor bin temperature, Tj, that is 
listed in Table 20. Denote these capacities and electrical powers by 
using the subscript ``hp'' instead of ``h.'' Calculate the mass flow 
rate (expressed in pounds-mass of dry air per hour) and the specific 
heat of the indoor air (expressed in Btu/lbmda [middot] 
[deg]F) from the results of the H12 test using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.281

where VIS, VImx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 20, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil using,

[[Page 1586]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.282

    Evaluate eh(Tj)/N, RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 of this appendix with the exception of 
replacing references to the H1C test and section 3.6.1 of this 
appendix with the H1C1 test and section 3.6.2 of this 
appendix. For each bin calculation, use the space heating capacity 
and electrical power from Case 1 or Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according 
to section 3.1.9 of this appendix), determine Qh(Tj) and 
Eh(Tj) as specified in section 4.2.2 of this appendix 
(i.e. Qh(Tj) = Qhp(Tj) and 
Eh(Tj) = Ehp(Tj)). Note: Even 
though To(Tj) >=TCC, resistive 
heating may be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) CC, determine 
Qh(Tj) and Eh(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.283


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

4.2.5.3 Heat Pumps Having a Heat Comfort Controller: Additional Steps 
for Calculating the HSPF2 of a Heat Pump Having a Two-Capacity 
Compressor

    Calculate the space heating capacity and electrical power of the 
heat pump without the heat comfort controller being active as 
specified in section 4.2.3 of this appendix for both high and low 
capacity and at each outdoor bin temperature, Tj, that is 
listed in Table 20. Denote these capacities and electrical powers by 
using the subscript ``hp'' instead of ``h.'' For the low capacity 
case, calculate the mass flow rate (expressed in pounds-mass of dry 
air per hour) and the specific heat of the indoor air (expressed in 
Btu/lbmda [middot] [deg]F) from the results of the 
H11 test using:
[GRAPHIC] [TIFF OMITTED] TR05JA17.284

where Vis, Vimx, v'n (or 
vn), and Wn are defined following Equation 3-
1. For each outdoor bin temperature listed in Table 20, calculate 
the nominal temperature of the air leaving the heat pump condenser 
coil when operating at low capacity using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.285

    Repeat the above calculations to determine the mass flow rate 
(mdak=2) and the specific heat of the indoor 
air (Cp,dak=2) when operating at high capacity 
by using the results of the H12 test. For each outdoor 
bin temperature listed in Table 20, calculate the nominal 
temperature of the air leaving the heat pump condenser coil when 
operating at high capacity using,
[GRAPHIC] [TIFF OMITTED] TR05JA17.286

    Evaluate eh(Tj)/N, RH(Tj)/N, 
Xk=1(Tj), and/or 
Xk=2(Tj), PLFj, and 
[delta]'(Tj) or [delta]''(Tj) as specified in 
section 4.2.3.1. 4.2.3.2, 4.2.3.3, or 4.2.3.4 of this appendix, 
whichever applies, for each temperature bin. To evaluate these 
quantities, use the low-capacity space heating capacity and the low-
capacity electrical power from Case 1 or Case 2, whichever applies; 
use the high-capacity space heating capacity and the high-capacity 
electrical power from Case 3 or Case 4, whichever applies.
    Case 1. For outdoor bin temperatures where 
Tok=1(Tj) is equal to or greater 
than TCC (the maximum supply temperature determined 
according to section 3.1.9 of this appendix), determine 
Qhk=1(Tj) and Ehk=1(Tj) 
as specified in section 4.2.3 of this appendix (i.e., 
Qhk=1(Tj) = 
Qhpk=1(Tj) and 
Ehk=1(Tj) = 
Ehpk=1(Tj).

    Note:  Even though Tok=1(Tj) 
>=TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.


[[Page 1587]]


    Case 2. For outdoor bin temperatures where 
Tok=1(Tj) TCC, determine 
Qhk=1(Tj) and Ehk=1(Tj) 
using,

Qhk=\1\(Tj) = Qhpk=\1\(Tj) + QCCk=\1\(Tj) Ehk=\1\(Tj) = Ehpk=\1\(Tj) 
+ ECCk=\1\(Tj)

    where,

    [GRAPHIC] [TIFF OMITTED] TR05JA17.287
    

    Note: Even though Tok=1(Tj) 
>=Tcc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.

    Case 3. For outdoor bin temperatures where 
Tok=2(Tj) is equal to or greater 
than TCC, determine Qhk=2(Tj) and 
Ehk=2(Tj) as specified in section 4.2.3 of 
this appendix (i.e., Qhk=2(Tj) = 
Qhpk=2(Tj) and 
Ehk=2(Tj) = 
Ehpk=2(Tj)).

    Note: Even though Tok=2(Tj) 
CC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.

    Case 4. For outdoor bin temperatures where 
Tok=2(Tj) CC, 
determine Qhk=2(Tj) and 
Ehk=2(Tj) using,

Qhk=\2\(Tj) = Qhpk=\2\(Tj) + QCCk=\2\(Tj) Ehk=\2\(Tj) = Ehpk=\2\(Tj) 
+ ECCk=\2\(Tj)
    where,

    [GRAPHIC] [TIFF OMITTED] TR05JA17.288
    

    Note: Even though Tok=2(Tj) 
Tcc, additional resistive heating may be required; 
evaluate RH(Tj)/N for all bins.

4.2.5.4 Heat Pumps Having a Heat Comfort Controller: Additional Steps 
for Calculating the HSPF2 of a Heat Pump Having a Variable-Speed 
Compressor [Reserved]

4.2.6 Additional Steps for Calculating the HSPF2 of a Heat Pump Having 
a Triple-Capacity Compressor

    The only triple-capacity heat pumps covered are triple-capacity, 
northern heat pumps. For such heat pumps, the calculation of the Eq. 
4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.289

differ depending on whether the heat pump would cycle on and off at 
low capacity (section 4.2.6.1 of this appendix), cycle on and off at 
high capacity (section 4.2.6.2 of this appendix), cycle on and off 
at booster capacity (section 4.2.6.3 of this appendix), cycle 
between low and high capacity (section 4.2.6.4 of this appendix), 
cycle between high and booster capacity (section 4.2.6.5 of this 
appendix), operate continuously at low capacity (section 4.2.6.6 of 
this appendix), operate continuously at high capacity (section 
4.2.6.7 of this appendix), operate continuously at booster capacity 
(section 4.2.6.8 of this appendix), or heat solely using resistive 
heating (also section 4.2.6.8 of this appendix) in responding to the 
building load. As applicable, the manufacturer must supply 
information regarding the outdoor temperature range at which each 
stage of compressor capacity is active. As an informative example, 
data may be submitted in this manner: At the low (k=1) compressor 
capacity, the outdoor temperature range of operation is 40 [deg]F <= 
T <= 65 [deg]F; At the high (k=2) compressor capacity, the outdoor 
temperature range of operation is 20 [deg]F <= T <= 50 [deg]F; At 
the booster (k=3) compressor capacity, the outdoor temperature range 
of operation is -20 [deg]F <= T <= 30 [deg]F.
    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor 
capacity and outdoor temperature Tj using the equations 
given in section 4.2.3 of this appendix for 
Qhk=1(Tj) and Ehk=1 
(Tj)) In evaluating the section 4.2.3 equations, 
Determine Qhk=1(62) and Ehk=1(62) from the 
H01 test, Qhk=1(47) and Ehk=1(47) 
from the H11 test, and Qhk=2(47) and 
Ehk=2(47) from the H12 test. Calculate all 
four quantities as specified in section 3.7 of this appendix. If, in 
accordance with section 3.6.6 of this appendix, the H31 
test is conducted, calculate Qhk=1(17) and 
Ehk=1(17) as specified in section 3.10 of this appendix 
and determine Qhk=1(35) and Ehk=1(35) as 
specified in section 3.6.6 of this appendix.
    b. Evaluate the space heating capacity and electrical power 
consumption (Qhk=2(Tj) and Ehk=2 
(Tj)) of the heat pump when operating at high compressor 
capacity and outdoor temperature Tj by solving Equations 4.2.2-3 and 
4.2.2-4, respectively, for k=2. Determine Qhk=1(62) and 
Ehk=1(62) from the H01 test, 
Qhk=1(47) and Ehk=1(47) from the 
H11 test, and Qhk=2(47) and 
Ehk=2(47) from the H12 test, evaluated as 
specified in section 3.7 of this appendix. Determine the equation 
input for Qhk=2(35) and Ehk=2(35) from the 
H22,test evaluated as specified in section 3.9.1 of this 
appendix. Also, determine Qhk=2(17) and 
Ehk=2(17) from the H32 test, evaluated as 
specified in section 3.10 of this appendix.
    c. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at booster compressor 
capacity and outdoor temperature Tj using

[[Page 1588]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.290

    Determine Qhk=3(17) and Ehk=3(17) from the 
H33 test and determine Qhk=2(5) and 
Ehk=3(5) from the H43 test. Calculate all four 
quantities as specified in section 3.10 of this appendix. Determine 
the equation input for Qhk=3(35) and Ehk=3(35) 
as specified in section 3.6.6 of this appendix.

4.2.6.1 Steady-State Space Heating Capacity When Operating at Low 
Compressor Capacity Is Greater Than or Equal to the Building Heating 
Load at Temperature Tj, Qhk=1(Tj) 
>=BL(Tj)., and the Heat Pump Permits Low Compressor Capacity 
at Tj. Evaluate the Quantities
[GRAPHIC] [TIFF OMITTED] TR05JA17.291

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

4.2.6.2 Heat Pump Only Operates at High (k=2) Compressor Capacity at 
Temperature Tj and Its Capacity Is Greater Than or Equal to 
the Building Heating Load, BL(Tj) 
k=2(Tj)

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.292
    
as specified in section 4.2.3.3 of this appendix. Determine the 
equation inputs Xk=2(Tj), PLFj, and 
[delta]'(Tj) as specified in section 4.2.3.3 of this 
appendix. In calculating the part load factor, PLFj, use 
the high-capacity cyclic-degradation coefficient, CDh(k=2) 
determined in accordance with section 3.6.6 of this appendix.

4.2.6.3 Heat Pump Only Operates at High (k=3) Compressor Capacity at 
Temperature Tj and its Capacity Is Greater Than or Equal to 
the Building Heating Load, BL(Tj) 
<=Qhk=3(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.293

Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3. Use the booster-capacity 
cyclic-degradation coefficient, CDh(k=3) determined in accordance 
with section 3.6.6 of this appendix.

4.2.6.4 Heat Pump Alternates Between High (k=2) and Low (k=1) 
Compressor Capacity To Satisfy the Building Heating Load at a 
Temperature Tj, Qhk=1(Tj) 
j) k=2(Tj)

    Evaluate the quantities

[[Page 1589]]

[GRAPHIC] [TIFF OMITTED] TR05JA17.294

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

4.2.6.5 Heat Pump Alternates Between High (k=2) and Booster (k=3) 
Compressor Capacity To Satisfy the Building Heating Load at a 
Temperature Tj, Qhk=2(Tj) 
j) k=3(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.295

and Xk=3(Tj) = Xk=2(Tj) 
= the heating mode, booster capacity load factor for temperature bin 
j, dimensionless. Determine the low temperature cut-out factor, 
[delta]'(Tj), using Eq. 4.2.3-3.

4.2.6.6 Heat Pump Only Operates at Low (k=1) Capacity at Temperature 
Tj and Its Capacity Is Less Than the Building Heating Load, 
BL(Tj) > Qhk=1(Tj)
[GRAPHIC] [TIFF OMITTED] TR05JA17.296

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

4.2.6.7 Heat Pump Only Operates at High (k=2) Capacity at Temperature 
Tj and Its Capacity Is Less Than the Building Heating Load, 
BL(Tj) > Qhk=2(Tj)

    Evaluate the quantities
    [GRAPHIC] [TIFF OMITTED] TR05JA17.297
    
as specified in section 4.2.3.4 of this appendix. Calculate 
[delta]''(Tj) using the equation given in section 4.2.3.4 
of this appendix.

4.2.6.8 Heat Pump Only Operates at Booster (k=3) Capacity at 
Temperature Tj and Its Capacity Is Less Than the Building 
Heating Load, BL(Tj) > Qhk=3(Tj) or 
the System Converts To Using Only Resistive Heating
[GRAPHIC] [TIFF OMITTED] TR05JA17.298

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

4.2.7 Additional Steps for Calculating the HSPF2 of a Heat Pump Having 
a Single Indoor Unit With Multiple Indoor Blowers. The Calculation of 
the Eq. 4.2-1 Quantities eh(Tj)/N and RH(Tj)/N 
Are Evaluated as Specified in the Applicable Subsection

4.2.7.1 For Multiple Indoor Blower Heat Pumps That Are Connected to a 
Singular, Single-Speed Outdoor Unit

    a. Calculate the space heating capacity, Qhk=1 (Tj), 
and electrical power consumption, Ehk=1 (Tj), of the heat 
pump when operating at the heating minimum air volume rate and 
outdoor temperature Tj using Eqs. 4.2.2-3 and 4.2.2-4, 
respectively. Use these same equations to calculate the space 
heating capacity, Qhk=2 (Tj) and electrical power 
consumption, Ehk=2 (Tj), of the test unit when operating 
at the heating full-load air volume rate and outdoor temperature 
Tj. In evaluating Eqs. 4.2.2-3 and 4.2.2- 4, determine 
the quantities Qhk=1(47) and Ehk=1(47) from 
the H11 test; determine

[[Page 1590]]

Qhk=2(47) and Ehk=2(47) from the H12 test. 
Evaluate all four quantities according to section 3.7 of this 
appendix. Determine the quantities Qhk=1(35) and 
Ehk=1(35) as specified in section 3.6.2 of this appendix. 
Determine Qhk=2(35) and Ehk=2(35) from the H22 
frost accumulation test as calculated according to section 3.9.1 of 
this appendix. Determine the quantities Qhk=1(17) and Ehk=1(17) from 
the H31 test, and Qhk=2(17) and Ehk=2(17) from the 
H32 test. Evaluate all four quantities according to 
section 3.10 of this appendix. Refer to section 3.6.2 and Table 12 
of this appendix for additional information on the referenced 
laboratory tests.
    b. Determine the heating mode cyclic degradation coefficient, 
CDh, as per sections 3.6.2 and 3.8 to 3.8.1 of this appendix. Assign 
this same value to CDh(k = 2).
    c. Except for using the above values of Qhk=1(Tj), Ehk=1(Tj), 
Qhk=2(Tj), Ehk=2(Tj), CDh, and CDh(k = 2), calculate the 
quantities eh(Tj)/N as specified in section 4.2.3.1 of 
this appendix for cases where Qhk=1(Tj) >= 
BL(Tj). For all other outdoor bin temperatures, 
Tj, calculate eh(Tj)/N and RHh(Tj)/N as specified in 
section 4.2.3.3 of this appendix if Qhk=2(Tj) > BL(Tj) or 
as specified in section 4.2.3.4 of this appendix if Qhk=2(Tj) <= 
BL(Tj).

4.2.7.2 For Multiple Indoor Blower Heat Pumps Connected to Either a 
Single Outdoor Unit With a Two-Capacity Compressor or to Two Separate 
but Identical Model Single-Speed Outdoor Units. Calculate the 
Quantities eh(Tj)/N and RH(Tj)/N as 
Specified in Section 4.2.3 of This Appendix

4.3 Calculations of Off-Mode Power Consumption

    For central air conditioners and heat pumps with a cooling 
capacity of: Less than 36,000 Btu/h, determine the off mode 
represented value, PW,OFF, with the following equation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.299

greater than or equal to 36,000 Btu/h, calculate the capacity 
scaling factor according to:
[GRAPHIC] [TIFF OMITTED] TR05JA17.300

where, QC(95) is the total cooling capacity at the A or 
A2 test condition, and determine the off mode represented 
value, PW,OFF, with the following equation:
[GRAPHIC] [TIFF OMITTED] TR05JA17.301

4.4 Rounding of SEER2 and HSPF2 for Reporting Purposes

    After calculating SEER2 according to section 4.1 of this 
appendix and HSPF2 according to section 4.2 of this appendix round 
the values off as specified per Sec.  430.23(m) of title 10 of the 
Code of Federal Regulations.
[GRAPHIC] [TIFF OMITTED] TR05JA17.302


    Table 21--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
                                                  Cooling      Heating
                Climatic region                  load hours   load hours
                                                    CLHR         HLHR
------------------------------------------------------------------------
I.............................................        2,400          493
II............................................        1,800          857
III...........................................        1,200        1,247
IV............................................          800        1,701
Rating Values.................................        1,000        1,572
V.............................................          400        2,202
VI............................................          200        1,842
------------------------------------------------------------------------

4.5 Calculations of the SHR, Which Should Be Computed for Different 
Equipment Configurations and Test Conditions Specified in Table 22.

[[Page 1591]]



                 Table 22--Applicable Test Conditions for Calculation of the Sensible Heat Ratio
----------------------------------------------------------------------------------------------------------------
                                        Reference
      Equipment configuration         table number    SHR computation with             Computed values
                                      of Appendix M       results from
----------------------------------------------------------------------------------------------------------------
Units Having a Single-Speed                       4  B Test...............  SHR(B).
 Compressor and a Fixed-Speed
 Indoor Blower, a Constant Air
 Volume Rate Indoor Blower, or
 Single-Speed Coil-Only.
Units Having a Single-Speed                       5  B2 and B1 Tests......  SHR(B1), SHR(B2).
 Compressor That Meet the section
 3.2.2.1 Indoor Unit Requirements.
Units Having a Two-Capacity                       6  B2 and B1 Tests......  SHR(B1), SHR(B2).
 Compressor.
Units Having a Variable-Speed                     7  B2 and B1 Tests......  SHR(B1), SHR(B2).
 Compressor.
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    The SHR is defined and calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TR05JA17.303
    
    Where both the total and sensible cooling capacities are 
determined from the same cooling mode test and calculated from data 
collected over the same 30-minute data collection interval.

4.6 Calculations of the Energy Efficiency Ratio (EER)

    Calculate the energy efficiency ratio using,
    [GRAPHIC] [TIFF OMITTED] TR05JA17.304
    
where Qck(T) and Eck(T) are the space cooling capacity and 
electrical power consumption determined from the 30-minute data 
collection interval of the same steady-state wet coil cooling mode 
test and calculated as specified in section 3.3 of this appendix. 
Add the letter identification for each steady-state test as a 
subscript (e.g., EERA2) to differentiate among the resulting EER 
values. The represented value of EER is determined from the A or 
A2 test, whichever is applicable. The represented value 
of EER determined in accordance with this appendix is called EER2.

[FR Doc. 2016-30004 Filed 1-4-17; 8:45 am]
 BILLING CODE 6450-01-P