### Appliance Standards and Rulemaking Federal Advisory Committee Commercial HVAC, WH, and Refrigeration Certification Working Group Alternative Efficiency Determination Methods (unanimous – note abstentions)

**Background (Unanimous)**  On February 26, 2013, members of the Appliance Standards and Rulemaking Federal Advisory Committee (ASRAC) unanimously decided to form a working group to negotiate rulemaking on certification for commercial heating, ventilation, and air

- conditioning (HVAC) , water heating (WH), and refrigeration equipment (CRE) . In communication with staff from the U.S. Department of Energy, ASRAC members established a deadline of September 1, 2013 for a final recommendation to be submitted to ASRAC for review and open delib eration . The Commercial HVAC, WH, and Refrigeration Certification Working Group (Commercial Certification WG) is also required to submit an interim report by June 26, 2013.

A notice of intent to form the Commercial Certification WG was published in the Fe deral Register on March 12, 2013 , to which DOE received 35 nominations. Of the 35, 22 were selected to serve as members, in addition to two members from ASRAC, and one DOE representative (see Appendix A). During the working group’s first meeting, working group members voted to expand the scope of the negotiated rulemaking efforts to include developing methods of estimating equipment performance based on simulations commonly referred to as Alternative Efficiency Determination Methods (AEDMs) . As a starting point, the Commercial Certification Working Group held a two

- day meeting at the U.S. Department of Energy’s headquarters in Washington, DC on May 14

- 15 to begin negotiations

.
Although the WG’s Ground Rules only require a consensus (defined as no more than two dissenting votes) to adopt a recommendation, the following sections describe the recommendations voted upon by the Commercial Certification WG during the 2

- day meetings along with the voting results for each subsection

.



### Pre- **approval of the**  **AEDM Prior to Use (Unanimous)** 
T he Commercial Certification WG recommends that AEDMs are not pre

- approv ed before use for any type of commercial HVAC, WH, or CRE equipment. This is consistent with DOE’s proposal ( 77 FR 32038 ).


### Applicable Products **(Unanimous)**
T he Commercial Certification WG recommends allowance of the use of AEDMs for the following product types:

**•** Commercial Air

- Conditioning Equipment;

o Commercial packaged air

- conditioning and heating equipment (air

- cooled,
water

- cooled, evaporative ly

- cooled, and water

- source)

o Packaged Terminal Air Conditioners and Heat Pumps

o Computer Room Air Conditioners

o Single Package Vertical Air Conditioners and Heat Pumpso Variable Refrigerant Flow Systems

**•** Commercial Water Heaters, Hot Water Supply Boilers, and Unfired Hot Water Storage Tanks ;

**•** Commercial Packaged Boilers;

**•** Commercial Warm

- Air Furnaces; and

**•** Commercial Refrigeration Equipment.


### Validation (What does a manufacturer need to do to validate his or her **AEDM prior to use?)** The Commercial Certification WG recommends the following requirements be met for selecting models for physical testing to the DOE test procedure for comparison to the AEDM prior to its

use :

For each AEDM, a manufacturer should select the minimum number of models that meet the following criteria for each of the validation classes to which the AEDM is going to apply
, where a manufacturer distributes in commerce equipment falling into each of the validation cla sses

. A manufacturer may elect to develop multiple AEDMs per validation class and each AEDM may span multiple validation classes, however, the minimum number of tests must be maintained per validation class for every AEDM a manufacturer chooses to develop

. Each selection represents a single test conducted in accordance with the DOE test procedure (or applicable DOE TP waiver) at a manufacturer’s testing facility or a third

- party testing facility
, whose test result should be directly compared to the result from the AEDM. All documentation of test results for these models, the AEDM results, and subsequent comparisons to the AEDM shou ld be maintained as part of both the test data underlying the certified rating and the AEDM validation package pursuant to 10 CFR Part 429.71.

1. Commercial HVAC Validation Classes (Unanimous) Validation Class Minimum Number of Distinct Models that Must be Tested per AEDM Air

- Cooled, Split and Packaged ACs and HPs less than 65,000 Btu/h Cooling Capacity (3

- Phase) 2 Models

Air

- Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling Capacity 2 Models

Water

- Cooled, Split and Packaged ACs and HPs, All Cooling Capacities 2 Basic Models

Evaporatively

- Cooled, Split and Packaged ACs and HPs, All Capacities 2 Basic Models

Water

- Source HPs, All Capacities 2 Basic Models Single Package Vertical ACs and HPs 2 Basic Models Packaged Terminal ACs and HPs 2 Basic Models Air

- Cooled, Variable Refrigerant Flow ACs and HPs 2 Basic Models Water

- Cooled, Variable Refrigerant Flow ACs and 2 Basic ModelsHPs Computer Room Air Conditioners, Air Cooled 2 Basic Models Computer Room Air Conditioners, Water

- Cooled 2 Basic Models

2. Water Heaters Validation Classes (Unanimous) Validation Class Minimum Number of Distinct Models that Must be Tested Gas

- fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons 2 Basic Models

Gas

- fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons 2 Basic Models

Oil

- fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons 2 Basic Models

Oil

- fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons 2 Basic Models

Electric Water Heaters 2 Basic Models Heat Pump Water Heaters 2 Basic Models Unfired Hot Water Storage Tanks (A lot of Abstentions) 2 Basic Models

3. Commercial Packaged Boilers Validation Classes (1 person abstain, unanimous) Validation Class Minimum Number of Distinct Models that Must be Tested Gas

- fired, Hot Water Only Commercial Packaged Boilers 2 Basic Models

Gas

- fired, Steam Only Commercial Packaged Boilers 2 Basic Models

Gas

- fired Hot Water/Steam Commercial Packaged Boilers 2 Basic Models

Oil

- fired, Hot Water Only Commercial Packaged Boilers 2 Basic Models

Oil

- fired, Steam Only Commercial Packaged Boilers 2 Basic Models Oil

- fired Hot Water/Steam Commercial Packaged Boilers 2 Basic Models

4. Commercial Furnaces Validation Classes (Unanimous) Validation Class Minimum Number of Distinct Models that Must be Tested Gas

- fired Furnaces 2 Basic Models Oil

- fired Furnaces 2 Basic Models

5. Commercial Refrigeration Equipment Validation Classes (3 Abstentions, Unanimous) Validation Class Minimum Number of Distinct Models that Must be TestedSelf

- Contained Open Refrigerators 2 Basic Models Self

- Contained Open Freezers 2 Basic Models Remote Condensing Open Refrigerators 2 Basic Models Remote Condensing Open Freezers 2 Basic Models Self

- Containe d Closed Refrigerators 2 Basic Models Self

- Contained Closed Freezers 2 Basic Models Remote Condensing Closed Refrigerators 2 Basic Models Remote Condensing Closed Freezers 2 Basic Models * The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a vertical model, a semi

- vertical model, a horizontal model, and a service

- over

- the counter model, as applicable based on the equipment offering. However, manufacturers do not need to include all types of these mode ls if it will increase the minimum number of tests that need to be conducted.



### AEDM **Tolerances (Unanimous)**  In order to validate the AEDM, the test results from each model required per the validation requirements above must be compared to the simulated results from the applicable AEDM.

The Commercial Certification WG recommends the following tolerance requirements to validate the AEDM :

**•** For energy consumption metrics, the AEDM Result for Model A must be greater than or equal to the test result for Model A * 0 .95 ; and

**•** For energy

- efficiency metrics, the AEDM Result for Model A must be less than or equal to the test result for Model A*1.05

. 

### Application of Validated AEDM and Certified Ratings **(Unanimous)** Once an AEDM has been validated by meeting the validation requirements in terms of minimum number of models to be tested and the applicable tolerances associated with validating the simulated results, the AEDM may be applied to any model within a given validated substantiation class at the manufacturer s’ discretion.

For each model distributed in commerce, manufacturers must determine the certified rating based on testing or use of an AEDM. Manufacturers may always conservatively rate. This

means that at the manufacturer’ s discretion , t he manufacturer may elect to certify a rating that meets the following requirement:

**•** For energy consumption metrics: t he AEDM Result for Model A < the certified rating for Model A < the Federal standard for Model A.

**•** For energy efficiency metric: the Federal standard for M odel A ≤ the certified rating for Model A ≤ the AEDM Result for Model A.



### DOE **Verification**The Commercial Certification WG recommends the following process and tolerance for DOE verification of certified ratings.

DOE may select any model distributed in commerce and verify the equipment performance at any time. DOE verification will be conducted per the process set forth below.

Certification – Elections for Verification: (Unanimous)

**•** A manufacturer must elect a p athway for witness testing upon certifying a model. The two options are:

o A manufacturer may elect to have a DOE representative and a manufacturer’s representative on site for the initial test for up to 10% of basic models it certifies. If this option is elected, a manufacturer gives up its right to an automatic retest for the models it has elected to witness initially. The results from the initial test would be used to make a definitive determination regarding the invalid rating.

o DOE will perform testing without manufacturer or DOE presence for all models that a manufacturer does not elect to witness based on the allowance above. Models that are initially tested without manufacturer witness are eligible for an automatic re

- test at the manufacturer ’ s disc retion based on the process outlined below.

Verification – Single Unit Spot

- Check Process: (Unanimous)

**•** DOE selects a single unit for test either from retail or by obtaining a sample from a manufacturer.

**•** DOE conducts the test on a single unit of a given model at the lab of DOE’s choice and in accordance with the lab applicability requirements below witho ut DOE or manufacturer on site unless:

o T he model is specifically required to be started only by a factory

- trained installer per the installation manual in structions. In which case, DOE and the manufacturer may be on site for set

- up and DOE will coordinate.

o The manufacturer has elected, as part of their certification of that model, to witness testing. In which case, DOE and the manufacturer may be on sit e for set

up ant testing and DOE will coordinate.

o The model is a variable refrigerant flow system. In which case, DOE and the manufacturer may be on site for set

- up and DOE will coordinate.

**•** DOE will supply the following additional information to the lab f or testing:

o Any additional information that is needed regarding test set up or testing will be provided from the manufacturer (or its third party representative) to DOE through the certification process. DOE will then provide this information to the labor atory as long as it is in accordance with the applicable DOE test procedure (or DOE TP waiver)

. The laboratory may not use any additional information during the testing process that has not been provided by DOE or shipped (packaged) with the unit upon arr ival.**•** The laboratory may request from the Department additional information on set

- up, installation, or testing, as needed. Upon receiving a request from the laboratory for additional information, DOE and the manufacturer will have a discussion with the lab to discuss additional details of the testing and additional testing instructions could be given as agreed on by the Department and manufacturer. The laboratory may not speak with the manufacturer without the Department present.

**•** If a unit is outside t he tolerance ( i.e., test result of a single unit of a given model compared to rated value for the given model evaluated per the tolerance below ), DOE will initiate a discussion with the manufacturer showing all test set

- up, test conditions, and test results for the unit.

**•** At that time, a manufacturer may present all claims regarding testing issues associated with the single unit and initiate a discu ssion regarding retesting. If the manufacturer was not previously on site for the initial test, a manufacturer can request a retest of the same unit (automatically) and DOE and the manufacturer can be on site for the retest

. The retest can be conducted on a different unit of the same mod el if DOE and the manufacturer agree it is necessary.

Verification Laboratory Requirements (Unanimous) All verification tests should be conducted at a third

- party testing facility of DOE’s choice, except the commercial equipment which cannot be tested at a third

- party facility and may be tested at a manufacturer’s facility upon DOE’s request

.

Verification Tolerance s (Unanimous) In order to verify the certified rating of a given model, the test results from a single unit test of a given model will be comp ared to the certified rating in accordance with the tolerances set forth below. The Commercial Certification WG recommends the following tolerance requirements to verify a certified rating of a given model:

**•** For energy consumption metrics, the test result for Model A must be less than or equal to the Certified Rating for Model A * (1 + the Applicable T olerance ) ; and

**•** For energy

- efficiency metrics, the test result for Model A must be greater than or equal to the test result for Model A* (1 - the Applicable T olerance ). If the certified rating does not meet the above requirements, it is an invalid rating.

**Equipment Applicable Tolerance and Associated Metric**  Commercial Packaged Boilers 5 % on Combustion or Thermal Efficiency Commercial Water Heaters or Hot Water Supply Boilers 5 % on Thermal Efficiency and 10% on Standby Loss Unfired Storage Tanks 10% on R

- Value Air

- Cooled, Split and Packaged ACs and HPs less than 65,000 Btu/h Cooling Capacity (3

- Phase) 5% on SEER and HSPF and 10% on EER

Air

- Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling 5% on EER and COP and 10% on IEERCapacity Water

- Cooled, Split and Packaged ACs and HPs, All Cooling Capacities 5% on EER and COP and 10% on IEER

Evaporatively

- Cooled, Split and Packaged ACs and HPs, All Capacities 5% on EER and COP and 10% on IEER

Water

- Source HPs, All Capacities 5% on EER and COP and 10% on IEER Single Package Vertical ACs and HPs 5% on EER and COP Packaged Terminal AC s and HPs 5% on EER and COP Variable Refrigerant Flow ACs and HPs 5% on EER and COP and 10% on IEER Computer Room Air Conditioners 5% on SCOP Commercial Warm

- Air Furnaces 5% on Thermal Efficiency Commercial Refrigeration Equipment 5% on Daily Energy Consumption

Invalid Rating Process : (Unanimous) Once DOE has determined the model is outside of the tolerance based on going through the verification process above , the manufacturer has the option of:

**•** Rerating and recertif ying based on the single DOE

- test data only (conservative rating still allowed); or

**•** Discontinuing the model through the certification process; or

**•** Additional manufacturer testing – Certified rating will be based on all testing (including DOE test data and any a dditional manufacturer testing is conducted on additional units of the same model). All test documentation and subsequent calculations underlying the certified rating must be maintained. Manufacturer will report pathway to DOE within 15 working days and determine through discussions with DOE a date at which the process will be completed. The process should not exceed 180 days.

Invalid Rating Consequences: (Unanimous) A manufacturer will be subject to the following requirements based upon the number of invalid ratings that DOE has determined through testing: Number of Individual Models DOE has Tested Within 24 rolling months, beginning with failure determination and ending with unit selection, that were Rated by the same AEDM** where DOE has Found the Certified Ratings Invalid Consequences*A manufacturer may discuss with DOE’s Office of Enforcement whether existing test data on different basic models within the validation classe s to which that specific AEDM was applied may be used to meet this requirement. **Where the same AEDM means a computer simulation or mathematical model that is identified by the manufacturer at the time of certification as having been used to rate a model or group of models.

Regaining AEDM Use: (Unanimous) If, as a result of eight or more invalid ratings, a manufacturer has lost the privilege of using an AEDM for rating, the manufacturer may regain the ability to use an AEDM by:

**•** Investigating cause(s) for failures;

**•** Identifying root cause of failures;

**•** Taking corrective action to address root cause;

**•** Performing six new tests per validation class, a minimum of two of which must be performed by an independent, third part to laboratory to validate the AEDM;

**•** Obtain DOE authorization to resume use of the AEDM. DOE may, at its discretion, reduce or waive these requirements and will provide justification in writing. 2 Different testing to validate that AEDM within the validation classes to which it is applied.*

4 Additional validation testing (Double Minimum) within the validation classes to which the AEDM is applied.

6 Additional validation testing of minimum at third party lab and 1⁄2 of minimum at manufacturer’s facility (or third party lab at his/her discretion) within the validation classes to which the AEDM is applied. (1.5 total)

>=8 All rating for models within the validation classes to which the AEDM is applied should be rated through testing route (2 units per basic model)