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[6450-01-P] 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

Docket No. EERE–2009–BT–TP–0004 

RIN 1904–AB94 

Energy Conservation Program for Consumer Products: Test Procedure for 

Residential Central Air Conditioners and Heat Pumps 

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

Energy.

ACTION: Notice of proposed rulemaking and public meeting. 

SUMMARY: The U.S. Department of Energy (DOE) proposes amendments to its 

test procedure for residential central air conditioners and heat pumps. The proposed 

amendments would add requirements for the calculation of sensible heat ratio, 

incorporate a method to evaluate off mode power consumption, and add parameters 

for establishing regional measures of energy efficiency. DOE will hold a public 

meeting to receive and discuss comments on the proposal. 

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DATES: DOE will hold a public meeting in Washington, DC on Friday, June 11, 

2010 from 9:00 a.m. to 4:00 p.m. The purpose of the meeting is to receive comments 

and to help DOE understand potential issues associated with this proposed 

rulemaking. DOE must receive requests to speak at the meeting before 4:00 p.m. 

Friday, June 4, 2010. DOE must receive a signed original and an electronic copy of 

statements to be given at the public meeting before 4:00 p.m. Friday, June 4, 2010. 

DOE will accept comments, data, and other information regarding this notice 

of proposed rulemaking (NOPR) before or after the public meeting, but no later than

[INSERT DATE 75 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL 

REGISTER]. See section V. , “Public Participation,” of this NOPR for details. 

ADDRESSES: The public meeting will be held at the U.S. Department of Energy, 

Forrestal Building, Room 8E-089. You may submit comments, identified by docket 

number EERE–2009–BT–TP–0004 and/or Regulation Identifier Number (RIN) 

1904–AB94, by any of the following methods: 

1. Federal eRulemaking Portal: http://www.regulations.gov. Follow the 

instructions for submitting comments. 

2. E-mail: RCAC–HP–2009–TP–0004@ee.doe.gov. Include the docket number 

EERE–2009–BT–TP–0004 and/or RIN number 1904–AB94 in the subject line 

of the message. 

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3. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 1000 Independence Avenue, SW., 

Washington, DC, 20585–0121. Please submit one signed paper original. 

4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, 

Building Technologies Program, 6th Floor, 950 L’Enfant Plaza, SW., 

Washington, DC, 20024. Telephone: (202) 586-2945. Please submit one 

signed paper original. 

Instructions: All submissions must include the agency name and docket 

number or RIN for this rulemaking. For detailed instructions on submitting comments 

and additional information on the rulemaking process, see section V. , “Public 

Participation,” of this document. 

Docket: For access to the docket to read background documents or comments 

received, visit the U.S. Department of Energy, 6th Floor, 950 L’Enfant Plaza, SW., 

Washington, DC, 20024, (202) 586-2945, between 9:00 a.m. and 4:00 p.m., Monday 

through Friday, except Federal holidays. Please call Ms. Brenda Edwards at (202) 

586-2945 for additional information regarding visiting the Resource Room. Please 

note: DOE’s Freedom of Information Reading Room (Forrestal Building, Room 1E–

190) no longer houses rulemaking materials. 

FOR FURTHER INFORMATION CONTACT: Mr. Wes Anderson, U.S. 

Department of Energy, Office of Energy Efficiency and Renewable Energy, Building 

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Technologies Program, EE–2J, 1000 Independence Avenue, SW., Washington, DC 

20585–0121. Telephone: (202) 586-7335. E-mail: Wes.Anderson@ee.doe.gov. 

Ms. Francine Pinto, U.S. Department of Energy, Office of the General 

Counsel, GC–71, 1000 Independence Avenue, SW., Washington, DC 20585. 

Telephone: (202) 586-7432. E-mail: Francine.Pinto@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Authority and Background 

A. Authority 

B. Background 

II. Summary of the Proposed Rule 

III. Discussion 

A. Framework Comment Summary and DOE Responses 

1. Test Procedure Schedule 

2. Bench Testing of Third-Party Coils 

3. Defaults for Fan Power 

4. Changes to External Static Pressure Values 

5. Fan Time Delay Relays 

6. Inverter-Driven Compressors 

7. Addition of Calculation for Sensible Heat Ratio 

8. Regional Rating Procedure 

9. Address Testing Inconsistencies for Ductless Mini- and Multi-Splits 

10. Standby Power Consumption and Measurement 

B. Summary of the Test Procedure Revisions 

1. Modify the Definition of “Tested Combination” for Residential Multi-Split 

Systems. 

2. Add Alternative Minimum External Static Pressure Requirements for Testing 

Ducted Multi-Split Systems 

3. Clarify that Optional Tests May Be Conducted Without Forfeiting Use of the 

Default Value(s) 

4. Allow a Wider Tolerance on Air Volume Rate to Yield More Repeatable 

Laboratory Setups 

5. Change the Magnitude of the Test Operating Tolerance Specified for the External 

Resistance to Airflow and the Nozzle Pressure Drop

6. Modify Third-Party Testing Requirements when Charging the Test Unit 

7. Clarify Unit Testing Installation Instruction and Address Manufacturer and 

Third-Party Testing Laboratory Interactions 

8. When Determining the Cyclic Degradation Coefficient CD, Correct the IndoorSide Temperature Sensors Used During the Cyclic Test to Align with the 

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Temperature Sensors Used During the Companion Steady-State Test, If 

Applicable 

9. Clarify Inputs for the Demand Defrost Credit Equation 

10. Add Calculations for Sensible Heat Ratio 

11. Incorporate Changes to Cover Testing and Rating of Ducted Systems Having 

More than One Indoor Blower 

12. Add Changes To Cover Triple-Capacity, Northern Heat Pumps 

13. Specify Requirements for the Low-Voltage Transformer Used when Testing 

Coil-Only Air Conditioners and Heat Pumps and Require Metering of All 

Sources of Energy Consumption During All Tests 

14. Add Testing Procedures and Calculations for Off Mode Energy Consumption 

15. Add Parameters for Establishing Regional Standards 

a. Use a Bin Method for Single-Speed SEER Calculations for the Hot-Dry Region 

and National Rating 

b. Add New Hot-Dry Region Bin Data 

c. Add Optional Testing at the A and B Test Conditions with the Unit in a Hot-Dry 

Region Setup 

d. Add a New Equation for Building Load Line in the Hot-Dry Region 

16. Add References to ASHRAE 116–1995 (RA 2005) for Equations that Calculate 

SEER and HSPF for Variable Speed Systems

17. Update Test Procedure References to the Current Standards of AHRI and 

ASHRAE 

IV. Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the National Environmental Policy Act 

C. Review Under the Regulatory Flexibility Act 

D. Review Under the Paperwork Reduction Act 

E. Review Under the Unfunded Mandates Reform Act of 1995 

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

G. Review Under Executive Order 13132 

H. Review Under Executive Order 12988 

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

J. Review Under Executive Order 13211 

K. Review Under Executive Order 12630 

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

1974 

V. Public Participation 

A. Attendance at Public Meeting 

B. Procedure for Submitting Requests to Speak 

C. Conduct of Public Meeting 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

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I. Authority and Background 

A. Authority

Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 et seq.; 

EPCA or the Act) sets forth a variety of provisions designed to improve energy 

efficiency. Part A of Title III (42 U.S.C. 6291–6309) establishes the “Energy 

Conservation Program for Consumer Products Other Than Automobiles.” (This part 

was originally titled Part B; however, it was redesignated Part A in the United States 

Code for editorial reasons. The program covers consumer products and certain 

commercial products (collectively “covered products”), including residential central 

air conditioners and heat pumps having rated cooling capacities less than 65,000 

British thermal units/hour (Btu/h). (42 U.S.C. 6291(1)–(2), (21) and 6292(a)(3)) 

Under the Act, the overall program consists of testing, labeling, and Federal 

energy conservation standards. Manufacturers of covered products must use the test 

procedures prescribed under EPCA to measure energy efficiency, to certify to DOE 

that products comply with EPCA’s energy conservation standards, and for 

representing the energy efficiency of their products. Similarly, DOE must use these 

test procedures when determining whether the equipment complies with energy 

conservation standards adopted pursuant to EPCA. 

Section 323 of EPCA (42 U.S.C. 6293) sets forth generally applicable criteria 

and procedures for DOE’s adoption and amendment of such test procedures. For 

example, the Act states that “[a]ny test procedures prescribed or amended under this 

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section shall be reasonably designed to produce test results which measure energy 

efficiency, energy use . . . or estimated annual operating cost of a covered product 

during a representative average use cycle or period of use, as determined by the 

Secretary [of Energy], and shall not be unduly burdensome to conduct.” (42 U.S.C. 

6293(b)(3)) DOE’s existing test procedures for central air conditioners and heat 

pumps adopted pursuant to these provisions appear under Title 10 of the Code of 

Federal Regulations (CFR) part 430, subpart B, appendix M (“Uniform Test Method 

for Measuring the Energy Consumption of Central Air Conditioners and Heat 

Pumps”). 

Further, if any rulemaking amends a test procedure, DOE must determine “to 

what extent, if any, the proposed test procedure would alter the measured energy 

efficiency . . . of any covered product as determined under the existing test 

procedure.” (42 U.S.C. 6293(e)(1)) If it determines that the amended test procedure 

would alter the measured efficiency of a covered product, DOE must amend the 

applicable energy conservation standard accordingly. (42 U.S.C. 6293(e)(2)) The 

amendments proposed in today’s rulemaking will not alter the measured efficiency, as 

represented in the regulating metrics of SEER and HSPF. Thus, today’s proposed test 

procedure changes can be adopted without amending the standards for SEER and 

HSPF. 

On December 19, 2007, the President signed the Energy Independence and 

Security Act of 2007 (EISA 2007; Pub. L. No. 110–140), which contains numerous 

amendments to EPCA. Section 310 of EISA 2007 established that the Department’s 

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test procedures for all covered products must account for standby and off mode 

energy consumption. (42 U.S.C. 6295(gg)(2)(A)) DOE must modify the test 

procedures to integrate such energy consumption into the energy descriptor(s) for 

each product, unless the Secretary determines that “(i) the current test procedures for 

a covered product already fully account for and incorporate the standby mode and off 

mode energy consumption of the covered product; or (ii) such an integrated test 

procedure is technically infeasible . . . in which case the Secretary shall prescribe a 

separate standby mode and off mode energy use test for the covered product, if 

technically feasible. (42 U.S.C. 6295 (gg)(2)(A)) In addition, section 306(a) of EISA 

2007 amended EPCA section 325(o)(6) to consider one or two regional standards for 

central air conditioners and heat pumps (among other products) in addition to a base 

national standard. (42 U.S.C. 6295(o)(6)(B)) EPCA 325(o)(6)(C)(i) requires that 

DOE consider only regions made up of contiguous States. (42 U.S.C. 

6295(o)(6)(C)(i)) Accordingly, today’s proposed test procedure rulemaking includes 

additions that specifically address sections 306 and 310 of EISA 2007. 

B. Background

Most portions of the existing test procedure for central air conditioners and 

heat pumps were originally published as a final rule in the Federal Register on 

December 27, 1979. 44 FR 76700. DOE modified the test procedure on March 14, 

1988 to expand coverage to variable-speed central air conditioners and heat pumps, to 

address testing of split non-ducted units, and to change the method for crediting heat 

pumps that provide a demand defrost capability. 53 FR 8304. 

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The next revision of the central air conditioners and heat pumps test procedure 

was published as a final rule on October 11, 2005 and became effective on April 10, 

2006. 70 FR 59122. The October 2005 final rule provided a much needed updating to 

reference current standards, adopted improved measurement capabilities, and 

presented more detail on how to conduct the laboratory testing. The 2005 final rule 

also expanded coverage for equipment features previously not covered (e.g., twocapacity northern heat pumps, heat comfort controllers, triple-split systems, etc.) . 

During this revision process, the test procedure was significantly reorganized in an 

effort to improve its readability. 

On July 20, 2006, DOE published a proposed rule to consider additional 

changes to the test procedure in response to issues interested parties submitted before 

the October 2005 publication of the final rule. 71 FR 41320. DOE determined that it 

was appropriate to consider additional modifications to the test procedure for the 

following reasons: (1) to implement test procedure revisions for new energy 

conservation standards for small-duct, high-velocity (SDHV) systems; (2) to address 

test procedure waivers for multi-split systems; and (3) to address interested parties’ 

concerns about sampling and rating after new energy conservation standards became 

effective on January 23, 2006. (10 CFR 432.32(c)(2)) DOE issued a final rule 

adopting relevant amendments to the central air conditioner and heat pump test 

procedures on October 22, 2007, which became effective on April 21, 2008. 72 FR 

59906. This latter final rule was published before EISA’s implementation on 

December 19, 2007; therefore, the test procedures did not incorporate the 

requirements in sections 306 and 310 of EISA 2007. 

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While making changes necessary to comply with the amendments in EISA 

2007, DOE is considering additional changes to the test procedure that were 

identified after finalizing the prior rulemaking. 

II. Summary of the Proposed Rule 

DOE proposes amendments to its test procedure for residential central air 

conditioners and heat pumps. The amendments would add calculations for 

determination of sensible heat ratio (SHR), would incorporate a method to evaluate 

off mode power consumption, and would add parameters for establishing regional 

measures of energy efficiency.. 

In addition to statutory requirements for amended test procedures, EISA 2007 

has three separate provisions regarding the inclusion of standby mode and off mode 

energy use in any energy conservation standard that have bearing on the current test 

procedure rulemaking. First, test procedure amendments to include standby mode and 

off mode energy consumption shall not be used to determine compliance with 

standards established prior to the adoption of such test procedure amendments. (42 

U.S.C. 6295(gg)(2)(C)) Second, standby mode and off mode energy use must be 

included into a single amended or new standard for a covered product adopted in a 

final rule after July 1, 2010. Finally, a separate standard for standby mode and off 

mode energy consumption is required if a single amended or new standard is not 

feasible. (42 U.S.C. 6295(gg)(3)(B)) 

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In order to accommodate the above-mentioned first provision, DOE clarifies 

that today’s proposed amended test procedure would not alter the measure of energy 

efficiency used in existing energy conservation standards; therefore, this proposal 

would neither affect a manufacturer’s ability to demonstrate compliance with 

previously established standards nor require retesting and rerating of existing units 

that are already certified. These amended test procedures would become effective, in 

terms of adoption into the CFR, 30 days after the date of publication in the Federal

Register of the final rule in this test procedure rulemaking. However, DOE is 

proposing added language to the regulations codified in the CFR that would state that 

any added procedures and calculations for determining off mode energy consumption 

and regional cooling mode performance being proposed in order to satisfy the 

relevant provisions of EISA 2007 need not be performed at this time to determine 

compliance with the current energy conservation standards. Subsequently, and 

consistent with the second provision above, manufacturers would be required to use 

the amended test procedures’ off mode and regional cooling mode provisions to 

demonstrate compliance with DOE’s energy conservation standards on the effective 

date of a final rule establishing amended energy conservation standards for these 

products that address off mode energy consumption and/or regional cooling mode 

performance, at which time the limiting statement in the DOE test procedure would 

be revised or removed. Further clarification would also be provided that as of 180 

days after publication of a test procedure final rule, any representations as to the off 

mode energy consumption and regional cooling mode performance of the products 

that are the subject of this rulemaking would need to be based upon results generated 

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under the applicable provisions of this test procedure. (42 U.S.C. 6293(c)(2)) A 

separate standard for off-mode energy consumption is required if a single amended or 

new standard is not feasible. (42 U.S.C. 6295(gg)(3)(B)) 

III. Discussion 

 

The current standards rulemaking preliminary analysis for residential central 

air conditioners and heat pumps is ready for stakeholder review and comment. This 

preliminary analysis follows the first step in the standards rulemaking process, the 

release of the framework document 

(http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/cac_fra

mework.pdf) and the subsequent June 12, 2008 public meeting. At and following this 

latter meeting, stakeholder comments were received, some of which apply to today’s 

proposed test procedure. 

In formulating today’s notice of proposed rulemaking (NOPR), DOE 

considered these test procedure related comments and, where appropriate, proposed 

changes to the test procedure. Moreover, DOE responses to stakeholder comments are 

provided in the following subject areas: 

1. Test Procedure Schedule 

2. Bench Testing of Third Party coils 

3. Defaults for Fan Power 

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4. Changes to External Static Pressure Values 

5. Fan Time Delay Relays 

6. Inverter-Driven Compressors 

7. Addition of Calculation for Sensible Heat Ratio 

8. Regional Rating Procedure 

9. Address Testing Inconsistencies for Ductless Mini- and Multi-Splits 

10. Standby Power Consumption and Measurement 

Section III. A. provides a more in-depth discussion on those comments that 

questioned or disagreed with DOE’s positions in the framework document. 

Section III. B. provides a summary of the proposed changes to the test 

procedure, including 

1. Modify the definition of “tested combination” for residential multi-split 

systems 

2. Add Alternative Minimum External Static Pressure Requirements for Testing 

Ducted Multi-Split Systems 

3. Clarify that Optional Tests May Be Conducted Without Forfeiting Use of the 

Default Value(s) 

4. Allow a Wider Tolerance on Air Volume Rate to Yield More Repeatable 

Laboratory Setups 

5. Change the Magnitude of the Test Operating Tolerance Specified for the 

External Resistance to Airflow and the Nozzle Pressure Drop 

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6. Modify Third-Party Testing Requirements when Charging the Test Unit 

7. Clarify Unit Testing Installation Instruction and Address Manufacturer and 

Third-Party Testing Laboratory Interactions 

8. When Determining the Cyclic Degradation Coefficient CD, Correct the 

Indoor-Side Temperature Sensors Used During the Cyclic Test to Align with 

the Temperature Sensors Used During the Companion Steady-State Test, If 

Applicable 

9. Clarify Inputs for the Demand Defrost Credit Equation 

10. Add Calculations for Sensible Heat Ratio 

11. Incorporate Changes to Cover Testing and Rating of Ducted Systems Having 

More than One Indoor Blower 

12. Add Changes To Cover Triple-Capacity, Northern Heat Pumps. 

13. Specify Requirements for the Low-Voltage Transformer Used when Testing 

Coil-Only Air Conditioners and Heat Pumps and Require Metering of All 

Sources of Energy Consumption During All Tests 

14. Add Testing Procedures and Calculations for Off Mode Energy Consumption 

15. Add Parameters for Establishing Regional Standards 

As part of today’s rulemaking, DOE provides the specific proposed changes to 

10 CFR 430, subpart B, appendix M, “Uniform Test Method for Measuring the 

Energy Consumption of Central Air Conditioners and Heat Pumps.” 

A. Framework Comment Summary and DOE Responses

A notation in the form “Southern Company Systems (SCS), No. 13 at p. 105” 

identifies a written comment DOE has received and has included in the docket of this 

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rulemaking. This particular notation refers to a comment (1) by the Southern 

Company Systems (SCS); (2) in document number 13 in the docket of this 

rulemaking; and (3) appearing on page 105 of document number 13. 

1. Test Procedure Schedule 

Several interested parties commented that DOE should consider the timeline 

necessary when modifying this test procedure, and how the publication of the test 

procedure coincides with publication of the revised standard. (Southern Company 

Systems (SCS), No. 13 at p. 105; Air-Conditioning, Heating and Refrigeration 

Institute (AHRI), No. 13 at p. 116; the American Council for an Energy Efficient 

Economy (ACEEE), No. 13 at p. 117; Trane, No. 13 at p. 123) 

DOE is coordinating the publication timelines of both the test procedure and 

the amended standard. The test procedure NOPR will be open for public comments. 

DOE will then address those comments and publish a final test procedure rule. The 

associated standard will proceed concurrently with the test procedure rulemaking to 

maximize the time interval between the test procedure final rule and the revised 

energy standards final rule. 

2. Bench Testing of Third-Party Coils 

The Northeast Energy Efficiency Partnerships (NEEP) comment stated that 

test procedures should require laboratory/bench testing for independent coil 

manufacturers’ (ICM) indoor units. (NEEP, No. 37 at p. 3) NEEP includes 

representatives from the Connecticut Office of Policy and Management, New 

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Hampshire Office of Energy and Planning, Efficiency Maine, and Department of 

Energy Resources for the Commonwealth of Massachusetts. 

As amended, EPCA makes all residential central air conditioners and heat 

pumps sold in the United States subject to specific testing, rating, minimum 

efficiency, and labeling requirements. These requirements apply to complete systems, 

including those split systems where the outdoor components are provided by one 

manufacturer, while the indoor components are provided by a separate manufacturer. 

The typical two-manufacturer split system is where the indoor unit is provided by an 

ICM and the outdoor unit is provided by an original equipment manufacturer (OEM). 

Because the ICM wants to advertise the performance of its indoor coils with various 

OEM outdoor units, the ICM is responsible for obtaining the system seasonal energy 

efficiency ratio (SEER) and heating seasonal performance factor (HSPF) ratings 

according to DOE requirements. In obtaining these ratings, the ICM can either test 

complete systems or use a DOE-approved alternative rating method (ARM) to 

calculate the rating. Approval of the ARM requires laboratory test results for 

complete systems, but inputs to the ARM may or may not require testing of just the 

indoor unit. (10 CFR 430.24) 

Although DOE does not have the authority to regulate a component of an air 

conditioner or heat pump system, it does regulate the complete systems. The system 

ratings published by ICMs must be obtained in accordance with DOE requirements 

summarized above.. 

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3. Defaults for Fan Power 

A Joint Comment stated that the present rating method does not credit 

advanced air handler designs adequately because the default value is much lower than 

the average air handler energy use observed in the field. (Joint Comment, No. 25 at 

pp. 4, 6–7) According to the Joint Comment, a low default value for fan power 

reduces the incentive to improve fan efficiency. The Joint Comment includes 

representatives from ACEEE, Appliance Standards Awareness Project (ASAP), the 

California Energy Commission (CEC), the Northwest Power and Conservation 

Council (NPCC), and the Western Cooling Efficiency Center (WCEC). 

Proctor Engineering Group (Proctor) stated that the inside coil fan energy 

needs to represent the median values from actual installations, and also provided 

input on the methodology for evaluating fan power based on air volume rate and 

equipment tonnage. (Proctor, No. 38 at p. 1) 

NEEP stated that testing should be required for motors in actual operation and 

that the procedure should include provisions for testing while air handler fans are 

running. (NEEP, No. 37 at p. 3) 

Split-system ducted air conditioners and heat pumps are primarily designed 

for two different applications. These applications depend on whether the air 

conditioner or heat pump is installed with a hot-air furnace and share a common duct 

system. Air conditioners and heat pumps not designed for installation with a hot-air 

furnace must contain a blower to circulate air through the indoor coil and ductwork. 

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Systems that include the integral or modular indoor blower are typically referred to as 

blower-coil units. Coil-only units—air conditioners and heat pumps designed for 

installation with a hot-air furnace—rely on the furnace blower to circulate air through 

the indoor coil, ductwork, and the furnace section when the compressor and outdoor 

fan are operating. 

The Joint Comment pertains to coil-only units, so discussion in the following 

paragraphs is limited to those products. This comment does not apply to blower-coil 

units within the test procedure because there is no required default assumption for the 

average air handler. With regard to the NEEP comment, the ratings for blower coil 

units already reflect the performance of the system’s particular indoor blower. When 

blower coils are tested, the indoor blower operates, and its performance is accounted 

for in the measured system capacity and power consumption values and ultimately in 

SEER and HSPF. 

A coil-only air conditioner or heat pump can be installed with a multitude of 

new and existing furnaces. The key considerations for matching a coil-only unit with 

a furnace are (1) the furnace blower’s ability to provide the necessary air volume rate 

for the system; and (2) whether the outlet flange dimensions of the furnace are 

compatible with the inlet flanges on the indoor coil-only section of the air conditioner 

or heat pump. Another factor for field application is whether the overall height 

(length) of the furnace and coil-only indoor section will fit into the available building 

space. 

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The SEER and HSPF ratings represent the seasonal efficiencies of a complete, 

functioning air conditioner or heat pump system. However, coil-only split systems in 

laboratory testing are incomplete because a hot-air furnace is not part of the setup. 

Instead of the furnace blower, the exhaust fan in the test facility pulls air through the 

indoor unit of the coil-only system. The exhaust fan is located downstream of the test 

unit’s indoor section, outlet instrumentation, and air volume measurement station. 

When the hot-air furnace and blower are removed from testing, the associated power 

consumption and measured cooling or heating capacity are adjusted to account for the 

hypothetical hot-air furnace blower. The Joint Comment asserted that the test 

procedure default value is too low and should require additional real-time blower 

testing. Proctor Engineering Group agreed and offered an alternative default equation 

based on data collected from actual installations. 

Given the variety of furnaces within which a coil-only unit may be installed, 

the range of blower sizes and associated efficiency of a complete installed system are 

unknown. As a result, there are several options for calculating the assumed power and 

heat contributions for the hypothetical hot-air furnace blower. To obtain a SEER (and 

for heat pumps, an HSPF) rating for each coil-only split system, the hot-air furnace 

blower receives a default value. According to the DOE test procedure, the 

hypothetical hot-air furnace blower contribution is expressed in terms of power 

(watts) and heat (Btu/h) per unit of air volume rate (in this case, 1,000 standard cubic 

feet per minute [scfm]). 

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Since it was issued in 1979, the DOE test procedure for central air 

conditioners and heat pumps has used the same default fan power and heat for rating 

coil-only air conditioners and heat pumps: 365 watts per 1,000 scfm and 1,250 Btu/h 

per 1,000 scfm. These default values result in the adjustment range from 

approximately 220 watts (750 Btu/h) for a 1.5-ton unit to approximately 730 watts 

(2,500 Btu/h) for a 5-ton unit. 

The default value does not indicate the efficiency of blowers in furnaces; it 

simply provides a means of comparing products on a complete system basis. The 

long-standing default values represent a typical furnace blower while not being overly 

conservative. Changing the default values would shift the SEER and HSPF ratings, 

but the ranking among most comparably sized equipment would change minimally, if 

at all. DOE evaluated the worst-case scenario: multiple units with the same SEER 

calculated using the existing fan power and heat defaults, but with degradation 

coefficients (CD) varying from 0.01 and 0.25, and capacities differing up to 10 

percent. If the SEER calculation uses a higher default like 500 watts per 1,000 scfm 

(1,700 Btu/h per 1,000 scfm), the new SEER ratings would all decrease but lie within 

a range that spans less than 0.20 points (on the SEER rating scale). The minimal 

impact on the ranking lessens the need for better defaults. To determine whether 

higher default values better represent actual installations, DOE must address three 

questions: 

• What data can accurately represent the typical installation? 

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• What coordination will ensure that blower coils and coil-only units are 

evaluated on a common basis? 

• Should poor duct systems affect equipment ratings? 

DOE expects that addressing these questions will require additional data 

collection, analysis, and input from interested parties. With minimal impact on 

altering the relative ranking among competing products combined with the need to 

answer the above questions, DOE chose not to propose alternative default values for 

the power and heat contribution of the hypothetical furnace blower used when 

calculating the SEER and HSPF for coil-only air conditioners and heat pumps. 

4. Changes to External Static Pressure Values 

A Joint Comment stated that the current assumed inches of water column (in 

wc) values are lower than those typically found in the field and unrealistically 

deemphasize the importance of fan efficiency as a part of overall system 

effectiveness. (Joint Comment, No. 25 at pp. 4, 6) The discrepancy often leads to less 

airflow in a field application, which generally improves latent (at the expense of 

sensible) capacity. 

The Joint Utility Comment suggested that new test conditions for external 

static pressure and default fan power should be consistent with current field research 

findings. (Joint Utility Comment, No. 30 at pp. 1, 21) The Joint Utility Comment 

includes representatives from Pacific Gas and Electric Company (PG&E), Southern 

California Edison, Sempra Energy Utilities (Southern California Gas Company and 

EERE-2009-BT-TP-0004 1.1.001
22

San Diego Gas and Electric Company; hereafter “Sempra”), Sacramento Municipal 

Utility District, the Nevada Power Company, and Sierra Pacific Power. 

DOE received a number of comments requesting that the minimum external 

static pressure levels be increased. (Florida Solar Energy Center (FSEC), No. 31 at p. 

4; Sempra, No. 13 at p. 121; SCS, No. 39 at p. 2) Additionally, Proctor Engineering 

Group (Proctor) provided a formula for estimating the static pressure based on the 

rated cfm/ton (Proctor, No. 38 at p. 2). 

Some split system and all single-package system air conditioners and heat 

pumps are sold with integral indoor blowers. Split systems with integral indoor 

blowers (i.e., blower-coil units) may be designed for ducted or non-ducted 

installation. The integral indoor blower may be located either upstream (push-through 

configuration) or downstream (draw-through configuration) of the indoor refrigerantto-air heat coil. 

To mimic a field installation, single-package and blower-coil split air 

conditioners and heat pumps are laboratory tested with installed components to 

include the most restrictive filter(s), supplementary heating coils, and other 

equipment specified as part of the unit. The DOE test procedure allows testing of a 

ducted unit without an indoor air filter but requires a compensatory increase of 0.08 

in wc for the minimum external static pressure requirement. Otherwise, the test 

procedure requires that the unit be installed and configured in accordance with the 

manufacturer’s instructions. 

EERE-2009-BT-TP-0004 1.1.001
23

The DOE test procedure requires that a minimum external static pressure be 

equaled or exceeded during the wet-coil cooling mode test. If this requirement is not 

met initially, the configuration of the indoor unit is incrementally changed (e.g., 

switched to the next highest speed tap), and the wet-coil test is repeated until the 

measured external static pressure meets or surpasses the applicable DOE test 

procedure minimum value. 

Since its issuance in 1980, the DOE test procedure for central air conditioners 

and heat pumps has used the same set of minimum external static pressure values 

(except for SDHV systems): 0.10 in wc for systems with a rated cooling capacity less 

than or equal to 28,800 Btu/h, 0.15 in wc for 29,000 to 42,500 Btu/h, and 0.20 in wc 

for 43,000 to 64,500 Btu/h. The laboratory static pressure measurement tries to 

account for the supply and return home or building duct system unit flow resistance. 

Limited field testing reports and the general decline in the quality of installed 

duct systems (in part from the proliferation of the flexible duct) would support an 

increase in the minimum external static pressure. Efforts by building trades and code 

compliance communities to improve the quality of installed duct systems would 

support smaller increases in the minimum statics prescribed in the DOE test 

procedure. More field data would be helpful but would likely never be acquired to the 

level needed to provide a definitive basis for selecting new minimums. The greater 

impact of higher minimum external static pressures will be on lowering the SEER and 

HSPF of all units equally. Lacking a basis to propose new values or reference a 

consensus standard where alternatives to the current minimums are established, DOE 

EERE-2009-BT-TP-0004 1.1.001
24

chose not to propose an alternative to the existing minimum values as part of today’s 

NOPR. 

5. Fan Time Delay Relays 

FSEC and SCS commented that the fan time delay relays should be disabled 

for the SEER test procedure. (FSEC, No. 31 at p. 3; SCS, No. 39 at p. 2) 

Many air conditioners and heat pumps employ a fan-off delay feature on the 

indoor blower. This delay, which is usually active for both the cooling and heating 

modes, is used to extract stored energy from the indoor coil immediately after the 

compressor has cycled off. The indoor blower typically continues to operate for 45 to 

90 seconds after the compressor cycles off. 

The DOE test procedure seeks to evaluate the performance of central air 

conditioners and heat pumps without making the process overly burdensome or 

expensive. The test procedure includes optional cyclic tests used to quantify the 

degradation in performance from the system cycling (predominantly in field 

installation) compared with operating continuously (as in most laboratory tests). 

During these cyclic tests, the fan-off delay feature is not disabled. The evaluation thus 

accounts for an incremental increase in total delivered capacity at the expense of 

increased electrical energy consumption in extending the indoor blower operation. 

Disabling the fan time delay from central air conditioners and heat pumps 

during the cooling season will prevent re-evaporation of moisture on the indoor coil 

EERE-2009-BT-TP-0004 1.1.001
25

and in the condensation pan. Substantial re-evaporation can occur if the indoor 

blower continues for an extended period after compressor shutoff. Because of this 

evaporative mechanism, continuous fan operation is discouraged during the cooling 

season. However, DOE is not aware of definitive data that show significant reevaporation during short fan-off delays. Part of the data void is due to the challenge 

of measuring rapidly changing values (humidity and temperature) during the 

relatively short fan-off delay period. Because of this difficulty, the cyclic cooling 

mode test, used in establishing the SEER, is conducted at an indoor wet bulb (wb) 

temperature that results in a dry coil. This also explains why this test cannot be used 

to address the concern about re-evaporation. 

In a related comment, Proctor recommended conducting the cooling mode 

cyclic tests with the indoor conditions set to the same values used for the steady-state 

tests, 80 degrees Fahrenheit (°F) dry bulb (db)/67 °F wb (Proctor, No. 38 at p. 2). 

Proctor stated that such a change to wet-coil cooling mode cyclic tests is well within 

the reach of today’s measurement technologies. 

DOE needs additional information to quantify the potential benefits of 

converting from dry-coil to wet-coil cyclic testing. DOE must evaluate any potential 

benefits relative to any laboratory upgrades that would be needed to achieve 

acceptably accurate and repeatable results across the industry, and the impact of 

changing the time required to run a cyclic test. DOE seeks data and information that 

would aid efforts to quantify the relative performance impact and associated expense 

of laboratory upgrades in combination with achievable measurement uncertainty. 

EERE-2009-BT-TP-0004 1.1.001
26

Until more is known about the impact of changing from the long-standing dry-coil 

tests to a wet-coil cyclic test, DOE has tentatively decided not to modify this test 

procedure to convert to wet-coil cyclic testing. 

6. Inverter-Driven Compressors 

Mitsubishi Electric and Electronics USA, Inc. (MEUS) commented that new 

systems incorporating inverter-driven compressor technology require a modification 

to the test procedure. (MEUS, No. 13 at p. 19) 

Since 1988, the DOE test procedure has covered air conditioners and heat 

pumps with variable-speed compressors, single indoor units, and single outdoor units. 

The October 2007 final rule extended coverage to variable-speed multi-split systems. 

72 FR 59906. Before DOE can offer a more substantive evaluation of the comment, 

DOE will need specific examples, including laboratory data, of how the test 

procedure fails to capture the performance characteristics of an air conditioner or heat 

pump that uses “new inverter-driven compressor technology.” 

7. Addition of Calculation for Sensible Heat Ratio 

The Joint Comment contended that the latent heat removal capability of CAC 

equipment should be measured under typical operating conditions, as opposed to high 

temperature conditions, and should be certified for all models sold in hot and humid 

climates. (Joint Comment, No. 25 at p. 4) FSEC expressed similar views and 

suggested that the latent heat ratio should be measured under different test conditions 

for single speed and multi-speed equipment. (FSEC, No. 31 at p. 2) Ice Energy 

EERE-2009-BT-TP-0004 1.1.001
27

suggested that the dehumidification capability of CAC equipment under hot and 

humid conditions be included in the standard, and any regional standard for the 

Southeast region should address this issue. (Ice Energy, No. 33 at p. 3) On the other 

hand, the Edison Electric Institute (EEI) wants dehumidification capability to be 

included in the standards for all regions. (EEI, No. 20 at p. 4) SCS stated that for hot 

and humid climates, a higher dehumidification capacity should be incorporated in the 

standard. (SCS, No. 13 at p. 42) SCS also stated that any regional air conditioning 

standard should provide for minimum dehumidification performance that should be 

measured at normal operating conditions and not at a higher temperature like 95 °F. 

(SCS, No. 39 at p. 1) The Joint Utilities Comment stated that DOE should require that 

all units be certified and rated for SHR at 82 °F ambient db temperature. (Joint 

Comment, No. 30 at pp. 1, 21) Proctor stated that the rating for humid climates 

should include information about what portion of the capacity is latent. (Proctor, No. 

38 at p. 2) 

DOE proposes including the calculation for the SHR within the revised DOE 

test procedure. (10 CFR 430, subpart B, appendix M, revised section 3.3c and 

proposed section 4.5) The Federal Trade Commission (FTC) could then consider 

incorporating this information in labels for these products. 

8. Regional Rating Procedure 

DOE received some comments that were supportive and others that were 

neutral on the development of regional ratings. The Joint Comment noted that DOE 

already applies regional rating methods in the current test procedure for residential 

EERE-2009-BT-TP-0004 1.1.001
28

central air conditioners and heat pumps. (Joint Comment, No. 25 at pp. 3–4) It further 

noted that adoption of regional rating methods might allow DOE to set standards of 

comparable stringency, but using different rating conditions. (Joint Comment, No. 25 

at p. 8) Ice Energy stated that the test protocol should be comprehensive and should 

span outdoor ambient conditions over the complete range of expected operating 

conditions. (Ice Energy, No. 33 at p. 3) FSEC stated that DOE should develop new 

cooling season bin temperature profiles using 2008 typical meteorological year 

(TMY) data from the National Renewable Energy Laboratory (NREL). (FSEC, No. 

31 at pp. 3–4) The National Rural Electric Cooperative Association (NRECA) 

commented that DOE should evaluate whether its test procedures account for the vast 

differences in ambient humidity levels in different regions. The air conditioner and 

heat pump standards should also take into account the effects of humidity on different 

regional standards. (NRECA, No. 35 at p. 1) 

A second Joint Comment (Joint Comment 2) from the National Resources 

Defense Council, National Consumer Law Center, Inc., and Enterprise stated that 

DOE should strengthen the SEER test procedure to provide a more robust measure of 

actual performance in varying conditions in different regions. (Joint Comment 2, No. 

36 at p. 2) PG&E noted that DOE needs to reevaluate test procedures to determine the 

performance of this equipment in the various climate zones. (PG&E, No. 13 at p. 116) 

EEI suggested that the test procedure be updated to account for ambient conditions in 

hot-dry and hot-humid climates. (EEI, No. 20 at p. 3) Proctor commented that the 

temperature bins used for the rating calculation are not representative of the hotter 

portions of the United States and provided data representative of specific hot 

EERE-2009-BT-TP-0004 1.1.001
29

climates. Proctor also commented that the ratings for dry climates should be based 

only on the sensible capacities measured in the test, and suggested that the sensible 

capacities and latent capacities, as well as the appropriate watt draws, be measured in 

the existing 115 °F test. Further, the results of that test should be used in conjunction 

with any intermediate tests to establish the relationship between the energy efficiency 

ratio (EER) and outdoor temperature. Proctor also suggested that in defining regions, 

DOE start with examination of the existing DOE climate map (currently used in the 

DOE Building Energy Codes Program), which defines dry and humid regions of the 

United States. (Proctor, No. 38 at pp. 1, 2) SCS also commented that measuring 

performance at 115 °F would allow the design of temperature bin profiles that better 

reflect the actual climate of the desert Southwest. SCS supports the concept of a 

regional rating that reflects actual weather conditions, stating that for a “hot-dry” 

regional standard, setting the performance rating at 115 °F would be of great value to 

consumers and would not put an unreasonable burden on manufacturers. (SCS, No. 

39 at p. 2) SCS stated, however, that it is neutral at this time on whether a hot-humid 

regional standard should be established, due to uncertainties about changes in test 

procedures, future design options manufacturers could use to reach higher efficiency, 

of the ability of local jurisdictions to limit use of equipment with poor 

dehumidification performance, and changes in consumer repair versus replacement or 

substitute behavior due to higher standards. (SCS, No. 39 at pp. 2, 3, 4) 

Regarding the comments that favor region-specific cooling mode performance 

evaluations, DOE proposes changes that will allow the calculation of a regionspecific SEER. (10 CFR 430, subpart B, appendix M, proposed section 2.2e and 

EERE-2009-BT-TP-0004 1.1.001
30

revised sections 3.2.1, 3.2.2.1, 3.2.3, and 3.2.4) The calculation parameters that 

permit this proposed region-specific SEER are the fractional bin hour distribution and 

the outdoor design temperature. DOE proposes modifying the indoor wet bulb 

temperature as part of additional required and optional testing. (10 CFR 430, subpart 

B, appendix M, revised sections 3.2.1 (table 3A), 3.2.2.1 (table 4A), and 3.2.2 (table 

5A)) These test procedure proposed changes will complement efforts to evaluate the 

merit of a regional standard for a cooling-dominated region with dry climate. DOE 

believes that similar changes are not needed for cooling-dominated States with humid 

climates. The current indoor side entering wet-bulb test condition of 67 °F, fractional 

bin-hour distribution, and outdoor design temperature sufficiently represent the 

conditions for a humid climate. Calculation of the SHR from such existing tests, 

however, is proposed in today’s NOPR to quantify the product’s dehumidification 

capabilities. 

Section 306(a) of EISA amended section 325(o) of EPCA to require that 

regions defined for the purposes of regional standards are required to be composed of 

contiguous States. (42 U.S.C. 6295(o)(6)(C)(i)) In addition, individual States shall be 

placed only into a single region. (42 U.S.C. 6295(o)(6)(C)(iii)) DOE is proposing an 

alternative regional efficiency metric, a region-specific SEER (SEER-HD) for a fourState region consisting of Arizona, California, Nevada, and New Mexico. The 

proposed SEER-HD reflects equipment performance in this region. 

DOE does not endorse the recommendation to add testing at 115 °F outdoor 

temperature. A linear fit of data collected from the cooling mode tests at 82 °F and 95 

EERE-2009-BT-TP-0004 1.1.001
31

°F can sufficiently estimate capacity and power consumption at 105 °F, 110 °F, and 

even 115 °F. Interested parties have not provided, and DOE has not identified, 

examples where a SEER rating or the proposed region-specific SEER was statistically 

different as a result of being evaluated based on laboratory data at 115 °F as opposed 

to 95 °F. 

In other related comments, ACEEE asked how DOE would capture and 

evaluate the efficiency of continuous ventilation for regional standards, as it is 

provided and used in a reasonable fraction of houses. (ACEEE, No. 13 at p. 138) 

Sempra indicated that the test protocols should be able to accommodate technologies 

other than air-cooled expansion unitary equipment. Sempra also commented that 

DOE should consider using the time value of energy in the new test procedures. 

(Sempra, No. 13 at p. 121) WCEC contended that certain changes in the test 

procedures could result in energy savings: (1) a 24-hour test protocol that can 

measure and characterize the energy and peak demand implications of control and 

thermal storage technologies; (2) a test protocol that provides different types of 

evaporative-cooled equipment with directly comparable SEER ratings; and (3) a test 

protocol that seriously addresses installation and performance-longevity issues. 

(WCEC, No. 41 at p. 2) ACEEE stated that DOE could use an alternative rating route 

to deal with enhanced dehumidification products. (ACEEE, No. 13 at p. 154) 

Regarding installation and performance longevity issues, DOE does not have 

the authority to implement new performance metrics for characterizing such features 

at this time. Presently, the only metrics available for representing performance are 

EERE-2009-BT-TP-0004 1.1.001
32

SEER and HSPF. These are seasonal performance metrics and are not useful for 

characterizing installation issues, performance longevity, or quantifying performance 

at peak demand. 

DOE notes that while there may be value in defining a test procedure that can 

provide consistent, comparable rating of alternative cooling systems, including 

evaporative cooling technologies and technologies incorporating thermal storage, 

such expansion of the test procedure is beyond the scope of this rulemaking. This 

rulemaking seeks to address changes mandated in EISA and otherwise improve upon 

coverage of comparatively conventional air conditioners and heat pumps. 

Determining additions and changes needed to allow testing and rating of thermal 

storage technologies, for example, is a formidable task, one that requires significant 

investigation. Such an investigation is difficult to pursue until such equipment is 

readily available as a commercial product. 

9. Address Testing Inconsistencies for Ductless Mini- and Multi-Splits 

Two interested parties commented that there are inconsistencies within the 

central air conditioning test procedure for mini- and multi-split systems. (MEUS, No. 

13 at p. 21 and 22; Daikin, No. 28 at p. 6) 

The proposed changes to items 1 through 3 of Appendix M, cover test 

procedure changes addressing inconsistencies for ductless mini- and multi-splits. In 

EERE-2009-BT-TP-0004 1.1.001
33

response to the comments, DOE proposes three changes to the test procedure to 

address these inconsistencies: (1) modify the definition of tested combination for 

multi-split systems. DOE proposes to use the term “nominal cooling capacity” within 

the definition of “tested combination” (proposed change to 10 CFR 430, subpart A, 

section 430.2, Definitions, Tested Combination) and to simplify the requirements for 

multi-split systems with cooling capacities of 24,000 Btu/h or lower; (2) add an 

alternative minimum static pressure requirement for use when testing ducted multisplit systems (10 CFR 430, subpart B, appendix M, proposed table 2); (3) clarify 

within the test procedure that optional testing may be conducted without forfeiting the 

use of default values (10 CFR 430, subpart B, appendix M, proposed section 3.6.4d). 

10. Standby Power Consumption and Measurement 

Interested parties submitted comments refuting the need to revise the test 

procedure to consider standby power consumption when EISA does not explicitly call 

for its revision, and noting that standby power consumption is already addressed in 

the standard. (AHRI, No. 13 at p. 105; Sempra, No. 13 at p. 133; Energy Solutions, 

No. 13 at p. 108; Emerson, No. 13 at p. 111) Some contended that the test 

procedure’s accounting of standby power consumption is adequate and does not 

require modification. (Trane, No. 16 at p. 3; Carrier Corporation (Carrier), No. 18 at 

p. 1; ASAP, No. 13 at p. 114; MEUS, No. 19 at p. 1; AHRI, No. 24 at p. 2). Trane 

and Carrier representatives both stated that the standby power consumption 

calculation is already captured in the degradation coefficient, CD calculation. (Trane, 

No. 16 at p. 3; Carrier, No. 18 at p. 1) 

EERE-2009-BT-TP-0004 1.1.001
34

SEER reflects all modes of climate control energy consumption that occur 

during the cooling season, as HSPF does for the heating season. SEER does not 

capture the time that an air conditioner could be energized but idle during the noncooling season. Similarly, the current test procedure does not capture energy 

consumed by a heat pump during the non-cooling and non-heating seasons. These are 

the shoulder seasons that occur between the cooling and heating seasons and can be 

quantified by converting the cooling and heating load hours for any location into 

actual hours. In each case, the actual site or region-specific cooling and heating 

season hours always sum to less than 8,760. To calculate annual energy consumption 

or annual operating cost, all 8,760 hours of the year must be accounted for. Until 

now, these annual quantities have been based on energy consumption of fewer than 

8,760 hours. The DOE test procedure must account for the idle mode energy 

consumption of the air conditioner and heat pump during the shoulder seasons and the 

idle mode energy consumption of an air conditioner during the heating season. 

Several interested parties commented that although the current standard does 

address standby power consumption, standby and off mode power need to be better 

defined. (Joint Comment, No. 25 at p. 6; CFM Equipment Distributors, No. 13 at p. 

129; Lennox, No. 13 at pp. 113, 134; Carrier, No. 13 at p. 113; the Unico System, No. 

13 at p. 129; Trane, No. 13 at pp. 130, 131, 136; PG&E, No. 13 at pp. 132, 137; 

General Electric, No. 13 at p. 135; EEI, No. 20 at p. 5; ASAP, No. 13 at p. 132) 

DOE concurs with the commenters. The definitions of standby and off mode 

as provided in EPCA section 325(gg) were amended by section 310 of EISA and are 

EERE-2009-BT-TP-0004 1.1.001
35

purposely generic so that they can apply to all covered products. (42 U.S.C. 

6295(gg)(1)(A)(iii), (42 U.S.C. 6295(gg)(1)(A)(ii), respectively) EPCA section 325 

allows DOE to redefine these definitions, including off mode, as part of this 

rulemaking. (42 U.S.C. 6295(gg)(1)(B)) The proposed definition is as follows: 

The term “off mode” means: 

(1) For air conditioners, all times during the non-cooling season of an air 

conditioner. This mode includes the “shoulder seasons” between the cooling 

and heating seasons when the unit provides no cooling to the building and the 

entire heating season, when the unit is idle; The air conditioner is assumed to 

be connected to its main power source at all times during the off mode; and 

(2) For heat pumps, all times during the non-cooling and non-heating seasons 

of a heat pump. This mode includes the “shoulder seasons” between the 

cooling and heating seasons when the unit provides neither heating nor 

cooling to the building. The heat pump is assumed to be connected to its main 

power source at all times during the off mode. 

DOE requests comments on this proposed definition (10 CFR, subpart B, 

appendix M, proposed section 1.48). 

B. Summary of the Test Procedure Revisions

Today’s proposed rule contains the following proposed changes to the test 

procedure in 10 CFR 430, subpart B, appendix M. 

1. Modify the Definition of “Tested Combination” for Residential Multi-Split 

Systems. 

DOE procedures require testing a complete system, not just its components. 

For multi-split systems, each model of outdoor unit may be installed with numerous 

indoor unit combinations. Systems may differ in the number of connected indoor 

EERE-2009-BT-TP-0004 1.1.001
36

units, their physical type (e.g., wall-mounted versus ceiling cassette, ducted versus 

non-ducted), and individual capacities. 

As part of the October 2007 final rule, multi-split units with rated cooling 

capacities less than 65,000 Btu/h were newly covered in the DOE central air 

conditioner and heat pump test procedure. As part of this coverage, manufacturers are 

required to test each model of a multi-split outdoor unit with at least one set of nonducted (and at least one set of ducted, if applicable) indoor units. DOE placed limits 

on the set of indoor units selected to meet this testing requirement for each multi-split 

outdoor unit. These limits are prescribed in 10 CFR 430.2 definition for “tested 

combination.” During the previous test procedure rulemaking, DOE refined the 

“tested combination” definition from the version published in the July 20, 2006 

NOPR to the version published in the October 2007 final rule. After implementing the 

new test procedures, manufacturers of multi-split systems requested additional 

changes. 

In its May 27, 2008 letter to DOE, the Air-Conditioning, Heating, and 

Refrigeration Institute (AHRI) recommended three changes to the “tested 

combination” definition. First, AHRI supported changing specific references to 

“capacity” and “nominal capacity” to “nominal cooling capacity.” AHRI argued that 

“this correction is necessary to clarify that the test procedures are based on the 

cooling (rather than heating) capacity of the equipment and to recognize that the 

nominal means the cooling capacity of the system at 95 °F ambient, 80/67 °F indoor 

conditions.” 

EERE-2009-BT-TP-0004 1.1.001
37

Second, AHRI requested that the requirement preventing the use of an indoor 

unit having a nominal cooling capacity that exceeds 50 percent of the nominal 

cooling capacity of the outdoor unit be waived for outdoor units with a nominal 

cooling capacity of 24,000 Btu/h or lower. AHRI noted that it is not always possible 

to meet this requirement, especially because of the additional DOE requirement that 

the nominal cooling capacities of the indoor units, when summed, must fall between 

95 and 105 percent of the outdoor unit’s nominal capacity. AHRI gave the example of 

an outdoor unit rated for 20,000 Btu/h that is designed to be used with indoor units 

having nominal capacities of 9,000 and 12,000 Btu/h. In this case, the only 

combination that meets the 95 to 105 percent indoor-outdoor capacity criteria is 

where two indoor units are used, one having a capacity of 12,000 Btu/h and one 

having a capacity of 9,000 Btu/h. The current definition for tested combination, 

however, does not allow this combination because the 12,000 Btu/h indoor unit 

exceeds the 50 percent limit on the capacity of the indoor unit to the capacity of the 

outdoor unit. 

AHRI’s final suggested change pertains to multi-split systems with nominal 

capacities greater than 150,000 Btu/h. The current limit of five indoor units to 

complete the system is often insufficient for the required 95 to 105 percent match 

with the outdoor unit. As AHRI stated in its letter, AHRI recognizes that “this 

capacity is beyond the cooling capacity limit of 65,000 Btu/h . . . but many 

manufacturers have been granted waivers in which this tested combination definition 

applies.” 

EERE-2009-BT-TP-0004 1.1.001
38

DOE concurs with two of the three changes AHRI requested. DOE proposes 

to adopt the wording “nominal cooling capacity” within the definition of “tested 

combination.” (10 CFR 430.2) DOE will also waive the restriction that no indoor unit 

shall have a nominal cooling capacity exceeding 50 percent of the outdoor unit’s 

nominal cooling capacity for multi-split systems having a nominal cooling capacity of 

24,000 Btu/h or less. (10 CFR 430.2(2)(iii)) Additionally, DOE proposes to modify 

the definition for “tested combination” to indicate that the allowed range for the 

indoor to outdoor capacity percentages is 95 to 105 percent, inclusive. (10 CFR 

430.2(2)(ii) The current wording calls for the match to be “between” (i.e., not 

“including”) these bounds. Especially with the above switch to using “nominal 

cooling capacity,” specifying a set of indoor units that yields an indoor to outdoor 

capacity percentage of either 95 or 105 percent increases should be allowed. 

With regard to the third change requested by AHRI, DOE will not establish a 

different limit on the number of indoor units used when testing multi-split systems 

with nominal capacities greater than 150,000 Btu/h because these systems are outside 

the scope of this residential test procedure rulemaking. 

2. Add Alternative Minimum External Static Pressure Requirements for Testing 

Ducted Multi-Split Systems 

Since the inception of DOE central air conditioner and heat pump test 

procedures, the majority of covered products have used a single indoor unit designed 

to work with a multi-branch duct system to distribute air within a building. This 

EERE-2009-BT-TP-0004 1.1.001
39

system imposes an additional load (quantified as external static pressure (ESP)) on 

the indoor blower as it distributes and returns air to and from the conditioned space. 

When a system is laboratory tested according to the DOE test procedure, 

airflow resistance imposed on the blower by external attachments is measured when 

the indoor blower and the laboratory’s airflow measurement apparatus maintain the 

manufacturer-specified air volume rate. To constitute a valid setup for ducted indoor 

units, this external resistance measurement must equal or exceed a value—the 

minimum ESP expressed in wc—specified in the DOE test procedure. The minimum 

ESP value depends on one of three minimum rated cooling capacities of the tested 

system: 0.1 in wc for units up to 28,800 Btu/h, 0.15 in wc for units between 29,000 

and 42,500 Btu/h, and 0.2 in wc for units 43,000 Btu/h and above. These minimums 

were adopted from industry standards that were in place when the test procedure was 

developed and that have remained unchanged. 

The majority of multi-split systems use non-ducted indoor units. In laboratory 

testing following the DOE test procedure, these free discharge units are tested with an 

ESP of 0 in wc. Multi-splits are also offered where one or more of the indoor units is 

ducted. Compared with conventional ducted units, indoor unit ducting for multi-splits 

is shorter and used on the return or supply, or both. 

In its May 27, 2008 letter, AHRI stated that “many ductless manufacturers 

have ‘ducted’ indoor units that are intended for a minimum (less than a few feet) or 

no duct runs and as a result have a rated external static pressure capability of less than 

EERE-2009-BT-TP-0004 1.1.001
40

0.1 ESP and usually around 0.02 ESP.” AHRI recommended a mechanism and 

language for addressing this issue in the DOE test procedure. Specifically, AHRI 

suggested that DOE amend its test procedure by adding the following footnote to 

Table 2 of Appendix M (shown as Table III.1 below): “If the manufacturer’s rated 

external static pressure is less than 0.10 in wc (25 Pascals (Pa)), then the indoor unit 

should be tested at that rated external static pressure.” 

Table III.1. Minimum External Static Pressure for Ducted Systems Tested with 

an Indoor Fan Installed* 

Rated Cooling or 

Heating Capacity**

Btu/h

Minimum External Resistance†

in wc

SDHV Systems†† All Other Systems 

< 28,800 1.10 0.10 

29,000 to 42,500 1.15 0.15 

43,000 > 1.20 0.20 * Source: Table 2 from 10 CFR 430, modified for today’s NOPR.

** For air conditioners and heat pumps, this is the value the manufacturer cites in published literature 

for the unit’s capacity when operated at the A or A2 test conditions. For heating-only heat pumps, this 

is the value the manufacturer cites in published literature for the unit’s capacity when operated at the 

H1 or H12 test conditions. 

† For ducted units tested without an air filter installed, increase the applicable tabular value by 0.08 in 

wc. 

†† See definition 1.35 to determine if equipment qualifies as an SDHV system. If a closed-loop airenthalpy test apparatus is used on the indoor side, limit the resistance to airflow on the inlet side of the 

indoor blower coil to a maximum of 0.1 in wc. Impose the balance of airflow resistance on the outlet 

side of the indoor blower. 

In the field, ducted multi-split systems are installed using lower pressure duct 

systems than are typically used to install a conventional ducted central air conditioner 

or heat pump. Consequently, DOE recognizes that ducted multi-split systems should 

not be subject to the same minimum ESP requirements as conventional central 

systems. Specifying appropriate minimums, however, is difficult. 

One problem with the language AHRI proposed is that a manufacturer could 

choose an unrealistically low value for the rated external static pressure. Because this 

EERE-2009-BT-TP-0004 1.1.001
41

would likely be a secondary concern (if not completely overlooked) when a system is 

selected, the manufacturer lacks an incentive to choose a representative rating. 

Additionally, because the manufacturer is not allowed to select the minimum external 

static pressure when testing a conventional unit, allowing the manufacturer to select 

the minimum when testing a ducted multi-split systems would create an unjustifiable 

inconsistency. 

DOE considered three related factors before formulating an alternative to the 

AHRI proposal. First, the following approach appears in the Draft International 

Standard (DIS) ballot of ISO Standard 15402, “Multi-Split System Air Conditioners 

and Air-to-Air Heat Pumps: Testing and Rating for Performance.” 

This ESP shall be greater than the minimum value given in Table 1 but not 

greater than 80% of the maximum external static pressure specified by the 

manufacturer. . . . If the maximum ESP of the unit is lower than the minimum 

ESP given in Table 1, then the airflow rate is lowered to achieve an ESP equal 

to 80% of the maximum ESP of the manufacturer. In case this ESP is lower 

than 25 Pa, the unit can be considered as a free delivery unit. 

Where the ISO approach ties the tested minimum external static pressure to a 

manufacturer published maximum value while approximating the smallest indoor 

units as non-ducted, the two other inputs suggest that the current test procedure 

requirements are manageable. Specifically, manufacturers of single indoor blower 

coil units that use short ducts —sometimes referred to as “furred down or ceiling 

mounted air handling units”—have never requested that DOE lower the minimum 

static pressure requirements. Further, DOE has received no evidence showing that 

EERE-2009-BT-TP-0004 1.1.001
42

any multi-split indoor unit could not achieve the applicable DOE minimum external 

static pressure when delivering its air volume rate. 

DOE proposes an approach that does not require publication of the maximum 

external static pressure. For the systems meeting the definition of “multiple-split air 

conditioner and heat pumps” in the test procedure (10 CFR part 430, subpart B, 

appendix M, section 1.30), DOE proposes a new set of minimum external static 

pressures. The proposed minimums will be listed in table 2 of appendix M of the test 

procedure, along with the current values for SDHV and all other systems. The 

proposed values are 0.03 in wc for units through 28,800 Btu/h, 0.05 in wc for units 

between 29,000 and 42,500 Btu/h, and 0.07 in wc for units 43,000 Btu/h and above. 

The proposed minimums seek to capture the relative differences between a 

conventional central ducted system and one with the shorter ducts of a typical multisplit system installation. Because ducts add resistance, DOE will not adopt the ISO 

approach of testing the smallest systems at zero static pressure. For multi-split 

systems, the applicable minimum external static pressure will be assigned based on 

the nominal/rated cooling capacity of the outdoor unit. A static pressure equal to or 

higher that this minimum will be achieved in each outlet duct upstream of the point 

where they connect to the common plenum that leads to the test room’s airflow 

measuring apparatus. In addition to ducted multi-split systems, DOE proposes 

applying this new set of minimum external static pressures to ducted mini-splits or 1-

to-1 systems where the indoor air handler is a ducted furred down/ceiling-mounted 

unit. To limit the 1-to-1 products that qualify for the lower minimum static pressures, 

EERE-2009-BT-TP-0004 1.1.001
43

the single indoor unit must not exceed specified dimensions (e.g., no more than 11 in 

high and less than 24 in deep), the indoor unit must use a single slab coil that is 

perpendicular to the flow stream, and the system’s rated capacity must not exceed 

39,000 Btu/h. 

DOE requests comment from interested parties on the proposed lower external 

static pressure levels for certain equipment as described above and on the proposed 

language for ensuring that these levels are used only for testing the intended products: 

ducted multi-splits, ducted mini-splits, and ducted furred down/ceiling mounted oneto-one units.. 

3. Clarify that Optional Tests May Be Conducted Without Forfeiting Use of the 

Default Value(s) 

In the DOE test procedure, the manufacturer has two options for obtaining a 

required parameter within the SEER or HSPF calculation algorithm: (1) run one or 

two additional tests to obtain the necessary data; or (2) use a “default value,” which 

may be fixed or derived from an approximating equation. For certain frost 

accumulation tests, the DOE test procedure gives the manufacturer the option of 

conducting the test or using default equations to determine the pump’s power 

consumption and space heating capacity at 35 °F outdoor temperature and at the 

designated compressor capacity. The test procedure is not clear whether defaults are 

forfeited if the manufacturer conducts the optional laboratory test. This matter is 

clarified here. 

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44

As stated in the DOE test procedure (10 CFR 430, subpart B, appendix M, 

sections 3.2.1, 3.2.2.1, and 3.2.3), the manufacturer may run the optional test(s) for 

determining a cyclic degradation coefficient but still use the default if it is lower than 

the tested value. DOE proposes allowing manufacturers to run the optional test(s), 

with the understanding that they can still use the default value if it is more favorable 

for optional frost accumulation tests. Specifically, the manufacturer may use the 

power consumption and heating capacity values derived from conducting the optional 

frost accumulation test or the values calculated using the default equations, whichever 

set contributes to a higher Region IV HSPF based on the minimum design heating 

requirement. 

4. Allow a Wider Tolerance on Air Volume Rate to Yield More Repeatable 

Laboratory Setups 

A goal of the DOE test procedure is specifying a consistent equipment 

configuration to obtain repeatable laboratory test results. For example, the indoor 

blower of a particular model should be consistently set to the same blower speed 

setting for a given test configuration. More generally, the blower speed setting should 

be the same when performing the same test on all units of the same equipment model. 

As part of the equipment setup requirements for most blower-coil units, the 

testing entity (e.g., manufacturer or third party) turns on both the indoor unit blower 

and the test facility exhaust fan. The exhaust fan and/or an airflow damper are 

adjusted until the manufacturer-specified indoor air volume rate is obtained. If the 

EERE-2009-BT-TP-0004 1.1.001
45

measured external static pressure equals or exceeds the test procedure specified 

minimum value, testing proceeds without adjustment to the indoor unit configuration. 

If the measured external static pressure is below the DOE minimum, the setup 

requires additional effort. The first step is to reduce the air volume rate until the 

measured external static pressure equals the DOE minimum. As currently specified in 

the test procedure, if the measured external static pressure does not equal the DOE 

minimum by the time the air volume rate has been reduced to 95 percent of the rated 

value, then the indoor unit blower is turned off, and the indoor unit’s setup is adjusted 

to the next highest speed setting. 

The above setup procedure will typically result in the indoor blower-coil set to 

the same speed setting for testing all units of the same model. In essence, the 

procedure handles the inherent variability in the external static pressure and air 

volume rate produced and measured for multiple equipment setups. This variability is 

due to manufacturing tolerances and lab measurement uncertainties. 

In its May 27, 2008 letter, AHRI requested that the 5-percent tolerance on air 

volume rate be increased to 10 percent. In addition, AHRI recommended that the 

language for the indoor blower coil setup procedure be refined to recognize that some 

incremental setting changes may affect more than fan speed. AHRI gives the example 

that “some speed tap settings may equate to a specific duration of fan delay whereas 

other settings may translate to no fan delay.” To address this issue, AHRI 

EERE-2009-BT-TP-0004 1.1.001
46

recommends that DOE make incremental changes to the indoor blower setting among 

settings that provide similar operating features. 

AHRI offers two reasons in its May 27, 2008 letter for supporting a greater 

tolerance on air volume rate during the initial setup process: the expanding use of 

constant torque motors for central air conditioners and heat pumps blower coils, and 

the effect of barometric pressure. AHRI states that “for a given speed tap, the air 

volume rate achieved using a constant torque motor is comparatively more variable; 

also the change in power draw as a function of an incremental change in the speed tap 

is also comparatively greater so the impact on efficiency will be more pronounced.” 

Barometric pressure affects air density and the water vapor content for a given db/wb 

combination. Thus, barometric pressure affects capacity through both the air volume 

rate and the enthalpy change of the air. As referenced in the AHRI letter, barometric 

pressure effects are especially important, as most manufacturers’ in-house testing is 

conducted at a lower elevation and typically higher barometric pressure than at the 

industry’s primary independent certification testing facility. 

In response to AHRI’s May 27, 2008 letter, DOE proposes to increase the 

tolerance on air volume rate from 5 to 10 percent. In addition, DOE proposes to adopt 

AHRI’s recommendation to refine the indoor blower coil setup procedure to 

recognize that some incremental changes to the setting may affect more than the fan 

speed. DOE used computer modeling and laboratory data to determine that a 10 

percent difference in air volume rate will cause total capacity to decrease between 1.3 

to 2 percent, while having the total system power consumption fall between 1 to 1.8 

EERE-2009-BT-TP-0004 1.1.001
47

percent for a minimally compliant system. Because capacity and power impacts are 

similar, the EER and SEER impacts are less. SEER is projected to decrease between 

0.2 and 0.4 percent. Thus, this proposed change has the potential to affect the 

measured capacity such that it may make it more difficult to meet the industry 

certification program’s 95 percent capacity tolerance. The impact on the DOE 

regulated descriptor of SEER, however, is well within the measurement uncertainty, 

even for the limiting case of a 10-percent departure. 

DOE requests data and comments from interested parties on the impact of the 

change from 5 to 10 percent tolerance on air volume rate. 

5. Change the Magnitude of the Test Operating Tolerance Specified for the External 

Resistance to Airflow and the Nozzle Pressure Drop 

The DOE test procedure specifies both test operating and condition tolerances. 

Test operating tolerances indicate the maximum range that a parameter may vary 

during the data collection interval. For any given test, operating tolerances are 

specified for a few different parameters. For each parameter, the difference between 

the highest and lowest instantaneous measurement for the data collection interval 

must not exceed the specified operating tolerance in order to constitute a valid test. 

The test operating tolerance for external resistance to airflow is 0.05 in wc. 

The test operating tolerance for nozzle pressure drop is 2.0 percent. Both tolerances, 

which apply for all cooling and heating tests were included in industry standards (e.g., 

ASHRAE Standard 37) that pre-date the first publication of the DOE central air 

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48

conditioner and heat pump test procedure. The DOE test procedure adopted the two 

tolerances at its inception and has not changed it. For current industry standards, the 

tolerances appear in the 2009 version of ASHRAE Standard 37. 

The two test operating tolerances are often exceeded when an electronic 

pressure transducer is used to measure differential pressure instantaneously. The 

likelihood of exceeding the tolerance increases with higher sampling rates and when 

testing indoor blowers whose controls actively regulate operation of the blower’s 

motor. One example is a blower with a variable-speed motor designed to maintain the 

air volume rate regardless of the airflow resistance. In contrast, these test operating 

tolerances are usually satisfied if the differential pressures are measured using liquid 

manometers. The fluid provides mechanical damping that tends to stabilize readings. 

DOE proposes to loosen the existing tolerances from 0.05 to 0.12 in wc for the 

test operating tolerance assigned to the external resistance to airflow and from 2.0 

percent to 8.0 percent for the nozzle pressure drop tolerance because the pressure 

fluctuations are real (10 CFR, subpart B, appendix M, revised tables 7, 8, 13, 14 and 

15). The proposed changes in the magnitude of the tolerances are based on limited 

data obtained from laboratory testing of a variable-speed, constant air-volume-rate 

blower using electronic pressure transducers with a 5-second sampling rate. This data 

indicated that the current tolerances could rarely be achieved when using and 

electronic pressure transducer instead of a liquid manometer. Matching or remaining 

within the proposed tolerances, by comparison, was far more achievable. 

EERE-2009-BT-TP-0004 1.1.001
49

At this stage, DOE proposes amended values for the two tolerances rather 

than their complete elimination because they still help assure data is taken during a 

period of relatively steady operation. Additional steps, however, may be warranted. 

For example, a prescribed algorithm for identifying outliers and/or establishing 

minimum intervals over which all instantaneous measurements are averaged (e.g., 

minutely averages) may also be needed to strike the necessary balance between 

defining test tolerances that promote repeatable test results while not extending test 

times. Another option may be to introduce a mechanical means for damping the high 

frequency pressure fluctuations that are fed to the electronic pressure transducer to 

mimic a liquid manometer. Such damping would be acceptable because the 

measurements would still reveal whether the flow was steady or trending higher or 

lower. 

DOE seeks comments from interested parties about the proposal to increase 

the test operating tolerance for the external resistance to airflow from 0.05 to 0.12 in 

wc and increase the test operating tolerance for the nozzle pressure drop from 2.0 

percent to 8.0 percent. In addition, comments on alternative or additional steps to 

assure the capacity and electrical power data are collected over a 30-minute period of 

consistent operation are encouraged. 

6. Modify Third-Party Testing Requirements when Charging the Test Unit 

DOE proposes to revise section 2.2.5, “Additional refrigerant charging 

requirements,,” of the test procedure. Most of the proposed revisions originate from 

the requirements listed in section 9.8.1.1 of the 2008 ARI General Operations Manual 

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50

for AHRI Certification Programs. DOE adopted the current language in section 2.2.5 

of the DOE test procedure in the October 2005 final rule. The section 2.2.5 text 

covers details not addressed in the test procedure prior to the October 2005 rule, such 

as charging instructions that differ for field installations versus laboratory testing and 

the procedure for manufacturers and third-party testing entities to resolve questions 

on charging a particular system. In the months following publication of that rule, 

AHRI members reconsidered refrigerant charging, mainly within the context of 

implementing its third-party certification program. During the August 23, 2006 public 

meeting, Rheem Manufacturing Company shared AHRI’s view of key shortcomings. 

These include provisions in section 2.2.5 regarding available options when a unit is 

charged and tested by a third party. These provisions failed to disallow charge 

manipulation during the testing process (e.g., different charging criteria for the 

cooling mode tests versus the heating mode tests). 

AHRI provided language from the current version of the AHRI General 

Operations Manual so that all or part of it may be considered for incorporation into 

the DOE test procedure. The specific AHRI text of interest is as follows: 

9.8.1.1 Test Sample Refrigerant Charge. All test samples will be 

charged in accordance with the following instructions and those 

provided in the manufacturers’ Installation and Operational (I/O) 

Manuals. 

Determine refrigerant charge at the Standard Rating Condition in 

accordance with instructions from I/O Manual. For a given specified 

range for superheat, sub-cooling, or refrigerant pressure, the average of 

the range shall be used to determine the refrigerant charge. If multiple 

instructions are given, the manufacturer will be asked to sign off on 

the preferred method. 

EERE-2009-BT-TP-0004 1.1.001
51

The testing laboratory will then add or subtract the correct amount of 

refrigerant to achieve the pre-determined superheat, sub-cooling, or 

refrigerant pressure. This single charge will then be used to conduct all 

cooling cycle and heating cycle tests. 

Once the correct refrigerant charge is determined, the test will run until 

completion without interruption. 

DOE proposes to adopt selected elements of the above AHRI procedures. (10 

CFR 430, subpart B, appendix M, section 2.2.5) The proposed changes promote 

consistency with current AHRI certification practices, including explicitly 

disallowing charge manipulation once the initial charging procedure is completed, 

while differing on the approach of addressing cases where a manufacturer either 

provides no instructions or provides more than one set of charging instructions. In 

particular, DOE chose not to implement a “sign off” option as AHRI uses because the 

proposed approach of specifically addressing the setup procedure in these two special 

cases is effective and less burdensome. 

7. Clarify Unit Testing Installation Instruction and Address Manufacturer and ThirdParty Testing Laboratory Interactions 

DOE proposes to add language to section 2.2 of the test procedure. The 

additions seek to clarify installation instructions and, when third-party testing is 

conducted, to clarify that interaction with the manufacturer is allowed. 

The AHRI Certification Program and the DOE test procedure focus on 

different aspects of the rating process. The AHRI program conducts verification 

testing of full production of randomly sampled units taken from the manufacturer’s 

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52

inventory. By comparison, the DOE test procedure is typically conducted before a 

new model of air conditioner or heat pump is introduced into the market. Therefore, 

testing is usually performed on first production or pre-production units, each of which 

meets the requirement in 10 CFR 430.24 that testing be done on “units which are 

production units, or are representative of production units.” When testing preproduction units, the installation instructions are not packaged with the unit or 

perhaps not even finalized. DOE proposes adding language on how to handle such 

cases. (appendix M, revised section 2.2) Some of the restrictions on interactions 

between third-party testing laboratories and manufacturers, imposed as part of the 

AHRI Certification Program, do not apply to the DOE test procedure. One example is 

AHRI’s General Operations Manual requirement that “only laboratory personnel shall 

install test units.” The policy is useful to AHRI because certification testing checks 

DOE ratings. AHRI does not want individual manufacturers to slow the testing 

process or reveal information about a competitor. On the other hand, DOE will not 

prohibit a manufacturer from interacting with a third-party testing laboratory if the 

latter is contracted to perform work similar to in-house manufacturers. (10 CFR 430, 

subpart B, appendix M, revised section 2.2a) In the event of a DOE enforcement 

action, DOE places no restrictions on manufacturer involvement as long as the test 

unit installation and laboratory testing are conducted in complete compliance with all 

other requirements in the DOE test procedure. The highest order of these other 

requirements is to install the unit according “the manufacturer’s installation 

instructions,” as stated in section 8.2 of ASHRAE Standard 37, where the first source 

for those instructions is the published literature that comes packaged with the unit. 

EERE-2009-BT-TP-0004 1.1.001
53

This second issue on the allowed interactions between third-party testing 

laboratory and the manufacturer was addressed in a previous rulemaking (70 FR 

59122) but only as it pertained to the specific installation step of refrigerant charging 

(section 2.2.5 of the test procedure). Because the interaction applies to the entire 

installation process, DOE proposes to address the issue in section 2.2 and, as a result, 

existing section 2.2.5 language on this topic is proposed for deletion, 

8. When Determining the Cyclic Degradation Coefficient CD, Correct the Indoor-Side 

Temperature Sensors Used During the Cyclic Test to Align with the Temperature 

Sensors Used During the Companion Steady-State Test, If Applicable 

In the DOE test procedure, the results from two optional dry-coil cooling 

mode tests—one steady-state, one cyclic—provide the inputs to calculate cooling 

mode cyclic degradation coefficient(s), Cc

D. For the heating mode, the results from 

one of the required steady-state tests plus the results from an optional cyclic test are 

used to calculate the heating mode cyclic degradation coefficient, Ch

D. In all cases, 

the two tests for calculating a cyclic degradation coefficient are conducted 

consecutively, with the steady-state test conducted first. 

Both the steady-state (10 CFR 430, subpart B, appendix M, sections 3.4 and 

3.7) and cyclic (10 CFR 430, subpart B, appendix M, sections 3.5 and 3.8) CD tests 

require calculating the change in the db temperature on the indoor side. To complete 

these measurements, the laboratory test setup includes redundant sets of temperature 

sensors and associated instrumentation. In many cases, one set of temperature sensors 

provides the primary measurement of the change in db temperature for all steady-state 

EERE-2009-BT-TP-0004 1.1.001
54

tests, while the second set provides the same primary measurement for all transient 

tests, including the cyclic CD test. Using two sets of temperature sensors allows 

highly accurate measurements during the steady-state test; comparatively less 

accurate but necessarily faster-responding measurements are achieved during the 

transient tests. The DOE test procedure refers to ASHRAE Standard 41.1–1986 (RA 

2001) for recommendations and requirements on making these temperature 

measurements. 

Cyclic degradation coefficients are used to obtain a relationship between partload factor (PLF) and the percent on-time of the unit. PLF is a ratio of the cyclic to 

the steady-state EER. The consecutive CD tests are used to obtain one point on the 

PLF versus percent on-time plot. Because the results of the consecutive CD tests 

define a ratio, the preferred testing approach is to limit differences between the two 

tests. Using one set of instrumentation to measure the change in the db air 

temperature entering and leaving the indoor unit during the steady-state CD test and a 

different set for the companion cyclic CD test is a source of potential bias. 

To avoid conflict, DOE may require that the same temperature measurement 

instrumentation be used for both consecutive CD tests. The Standards Project 

Committee revising ASHRAE Standard 116, “Methods of Testing for Rating 

Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps,” considered this 

alternative but chose to make it a recommendation, not a requirement (see clause 

5.1.4 of ASHRAE Standard 116-1995R, “Method of Testing for Rating Seasonal 

Efficiency of Unitary Air Conditioners and Heat Pumps,” First Public Review draft). 

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55

A second option is to correlate the instrumentation used for the primary measurement 

of the temperature difference of the cyclic CD test to that used for the primary 

measurement during the steady-state CD test. Some industry members have 

implemented this correlation approach and found that it improves repeatability. 

DOE proposes to require a correlation step for testing laboratories that use 

different instrumentation to measure the change in the db temperature of the air 

entering and leaving the indoor unit during the steady-state CD test versus the cyclic 

CD test. This correlation step is conducted during the steady-state CD test. During the 

test, both sets of instrumentation—those sensors providing the primary measurement 

during the steady-state (set SS) and during the cyclic (set CYC) tests—measure the 

indoor-side air db temperature difference. For both sets of instrumentation, 

measurements made at equal intervals that span 5 minutes or less determine the 

temperature difference. Once the 30-minute data collection period begins for the 

steady-state CD test, an average temperature difference is calculated based on the sets 

SS and CYC instrumentation after a minimum of 7 data samples and 6 minutes or 

more. The average temperature differences are then used to calculate the CD

correlation factor, FCD: 

F T(Set SS) T(Set CYC) CD =Δ Δ

An updated FCD value shall be recalculated every minute or after each data 

sample, whichever occurs later. In addition, each recalculated ratio shall be based on 

the same number of data samples and same elapsed time as used for the first FCD. For 

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56

the example case of a sampling rate of 1 minute or less, the first FCD shall be based on 

data collected from elapsed time of 0 to 6 minutes, the second from 1 to 7 minutes, 

the third from 2 to 8 minutes, and so on. 

Upper and lower limits are proposed for FCD to provide a uniform basis as to 

how much the two temperature measurements may deviate. The proposed allowable 

range of FCD is 0.94 to 1.06. Laboratories that sample at a rate of every minute or less 

can evaluate the first FCD as soon at 6 minutes after the start of the normal 30-minute 

data collection period. If this first or any subsequent value of FCD is outside the 

proposed application range of 0.94 to 1.06, then the testing laboratory can make a 

decision to abort the test in advance of completing the 30-minute data collection 

period. By comparison, if a 5-minute sample rate is used, FCD falling within the 

allowed range will remain unknown until the 30-minute data collection period is 

completed. In this case, up to 24 minutes of laboratory testing time may be lost from a 

longer wait to evaluate compliance. 

If the value of FCD at the conclusion of the 30-minute period (saved FCD) falls 

outside the range of 1.0 ± 0.6, then the test sequence must be terminated, and steps 

taken to improve the agreement between the sets SS and CYC instrumentation. 

Calibration of one or both sets of instrumentation in accordance with ASHRAE 

Standard 41.1 may be necessary. Once the remedial steps are complete, the steadystate CD test shall be repeated. For cases within the accepted range, the saved FCD

shall thereafter be used during the cyclic CD test to adjust the indoor-side temperature 

difference or a time-integrated value of the same determined using the set CYC 

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57

instrumentation. For example, with respect to section 3.5 of Appendix M, the 

equation for the integrated, indoor-side air temperature difference will be written as 

follows: 

[ ] 2

1

F T() T ()d CD a1 a2

τ

τ Γ= τ − τ τ ∫

The value of FCD shall be used only to adjust the set CYC temperature 

difference measurement from the cyclic CD test that immediately follows the steadystate CD test that yields the correlation factor. The FCD determined and applied for one 

set of consecutive CD tests shall not be used to adjust the set CYC temperature 

difference measured during a second cyclic CD test or during a frost accumulation 

test. 

DOE proposes to decrease the minimum sampling rate of the db temperature 

difference from the current value of every 10 minutes to every 5 minutes to obtain a 

more representative value of FCD. As an extension of this modification, DOE 

proposes to change the long-standing minimum sampling rate for all steady-state tests 

from 10 to 5 minutes. The 10-minute sampling interval rate allows time for some 

measurements to be hand-recorded. Improved test quality and results, advances in 

electronic instrumentation, and the low cost of computer-based versus manual 

recording justify the minimum sampling rate change. 

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58

DOE seeks comments from interested parties on the introduction and 

calculation of the cyclic degradation correlation factor. DOE also seeks comments on 

the change in sampling rate from 10 to 5 minutes. 

9. Clarify Inputs for the Demand Defrost Credit Equation 

The demand defrost credit (Fdef) is a direct multiplier within the HSPF 

calculation Eq. 4.2–1 in the DOE test procedure. The factor provides nominal credit 

for heat pumps with a demand defrost control system. Systems that meet DOE 

requirements in test procedure definition 1.21, “demand defrost control system,” 

qualify for this credit. The multiplier has a value between 1.00 and 1.03, which is a 0 

to 3 percent increase in the HSPF rating. The credit is evaluated using the following 

equation from section 3.9.2 of the DOE test procedure: 

⎥

⎦

⎤ ⎢

⎣

⎡

−Δ

−Δ

−×+=

5.1

5.1

103.01

max τ

τ def Fdef

Where: 

∆τdef = time between defrost terminations (in hours) or 1.5, whichever is 

greater, and 

∆τmax = maximum time between defrosts as allowed by the controls (in hours) 

or 12, whichever is less. 

The demand defrost credit was incorporated into the test procedure during the 

rulemaking completed in March 1988 and has remained unchanged. 53 FR 8319. 

DOE mistakenly overlooked inputs to this equation during the most recent test 

procedure final rulemaking, in which DOE shortened the maximum duration of all 

frost accumulation tests from 12 to 6 hours. DOE has since considered two options 

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59

for calculating the credit: (1) update the evaluation of ∆τmax to read “maximum time 

between defrosts as allowed by the controls (in hours) or 6 hours, whichever is less;” 

and (2) reinforce that the current form of the equation still applies and, when a defrost 

cycle is not completed before the maximum time, assign ∆τdef the value of 6 hours. 

DOE proposes to adopt this second option in today’s notice. 

As discussed in the October 2007 final rule, the change from a maximum test 

duration of 12 to 6 hours rarely affected testing; when it did, there was a negligible 

impact on the calculation of the average heating capacity and power consumption at a 

35 °F outdoor temperature. The main reason for changing the maximum limit to 6 

hours was to reduce the test burden when frost did not build on the outdoor coil. The 

frost accumulation tests at low-capacity for two-capacity heat pumps and at the 

intermediate compressor speed for variable-speed units are the two leading cases 

where this revision may help reduce that burden. Since the institution of this change, 

DOE has not received any comments or information about the effects on heating 

capacity or power. 

Shortening the maximum duration of the frost accumulation test affects heat 

pumps that would otherwise conduct a defrost after 6 but before 12 hours in two 

ways. First, as recognized during the October 2007 final rule process, such heat 

pumps benefit slightly from not having a defrost cycle factored into their average 

heating capacity calculation. Second, they earn a higher demand defrost credit than 

they would have earned previously. As a worst case (e.g., unit’s demand defrost 

controls actuate at 11.999 hours while the unit’s maximum duration is 12 hours or 

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60

more), the approximated demand defrost credit is now 1.017 compared to the “true” 

value of 1.000. 

In summary, the proposed rule includes additional language clarifying that 

manufacturers must assign ∆τdef the value of 6 hours if this limit is reached during a 

frost accumulation test and the heat pump has not completed a defrost cycle. A 

sentence is also added to indicate that the manufacturer must provide the value of 

∆τmax. 

DOE seeks comments from interested parties on this proposal for calculating 

the demand defrost credit (Fdef) for cases where the Frost Accumulation Test is 

terminated because the heat pump does not initiate a defrost within the maximum 

allowed 6-hour heating interval.. 

10. Add Calculations for Sensible Heat Ratio 

SHR is a parameter that indicates the relative contributions of the air 

conditioner’s or heat pump’s cooling output that reduces the db temperature of the air 

(i.e., sensible cooling) to the cooling output that reduces the moisture content in the 

air (i.e., latent cooling). The parameter is calculated by dividing the sensible cooling 

capacity by the total cooling capacity. Total cooling capacity is the sum of the 

sensible and latent cooling capacities. For example, an SHR of 0.75 indicates that 75 

percent of the cooling is sensible and 25 percent is latent. 

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The DOE test procedure considers total building cooling loads and total 

cooling equipment capacities as part of the SEER calculation. The cooling load and 

capacity are not divided into their sensible and latent components. Based on historical 

data, equipment SHRs have remained relatively unchanged as equipment SEER 

ratings have increased. In addition, cooling equipment has historically provided a 

reasonable match to the sensible and latent loads of the building or residence. 

However, better insulation of homes and small commercial buildings has helped 

reduce sensible building loads. Particularly in more humid climates, this reduction in 

the sensible building load can make the latent building load more prominent. 

SHR differences among equipment having approximately the same SEER 

have always existed. For example, 2001 Amrane, Hourahan, and Potts data reported 

in the January 2003 ASHRAE Journal (pp. 28–31) show SHR values that vary by at 

least 0.10 for a given SEER value. When humidity control is a concern, consumers 

and their contractors may wish to know the SHRs of different units to make a more 

informed decision. 

The measurements required to calculate the SHR from a DOE wet-coil 

cooling mode test are taken as part of the DOE test procedure. In fact, manufacturers 

and independent testing laboratories routinely determine SHR. DOE proposes to add 

the SHR calculation to its test procedure to endorse the calculation and its continued 

use explicitly. (10 CFR 430, subpart B, appendix M, revised section 3.3c and 

proposed section 4.5) 

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11. Incorporate Changes to Cover Testing and Rating of Ducted Systems Having 

More than One Indoor Blower 

The majority of residential central air conditioners and heat pumps employ a 

single blower and a single refrigerant-to-air coil. Typical multi- and some mini-splits 

use more than one indoor unit, with the indoor units using one blower and one coil. 

However, a newer type of residential central system that uses more indoor blowers 

than indoor coils does not follow this one-to-one blower-to-coil ratio. 

The multi-blower design facilitates zoning when the system responds to more 

than one thermostat. Associated with the zoning feature are capacity modulation and 

variations in electrical power consumption. The first and more limited means of 

affecting capacity and power use is controlling the number of indoor blowers that are 

turned on and, where applicable, altering the blower’s speed (if equipped with a 

multi-stage or variable-speed motor). The second and broader means of affecting 

power consumption occurs in systems that use a single outdoor unit equipped with a 

two-stage compressor or in systems consisting of two outdoor units, each having 

single-speed compressors. 

DOE proposes modifications to cover the testing and rating of systems using a 

multi-blower indoor unit. These systems will be treated as if all zones depend on 

outdoor temperature such that they respond to the same load profile as a single-zone 

system. DOE test procedure algorithms for covering two-capacity units and systems 

having a single-speed compressor with a variable-air-volume rate indoor blower 

would provide the basis for the algorithms that address systems with a multi-blower 

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indoor unit (10 CFR 430, subpart B, appendix M, revised sections 2.2.3, 2.4.1, 

3.1.4.1.1, 3.1.4.2, 3.1.4.4.2, 3.1.4.5, 3.2.2, 3.2.2.1, and 3.6.2; proposed sections 3.2.6, 

3.6.7, 4.1.5, and 4.2.7; and revised tables 4 and 10). 

On August 28, 2008, DOE published a decision and order granting a waiver 

from the DOE Residential Central Air Conditioner and Heat Pump Test Procedure for 

a line of multi-blower indoor units that may be combined with one single-speed heat 

pump outdoor unit, one two-capacity heat pump outdoor unit, or two separate singlespeed heat pump outdoor units. 73 FR 50787–50797. For the two separate singlespeed outdoor units, the chosen indoor coil contains two independent refrigeration 

circuits, each fed by one of the outdoor units. 

The above-referenced waiver covers products that use two to eight indoor 

blowers with a single- or dual-circuit indoor coil. To simplify the testing and rating 

algorithm, DOE structured the waiver so that each system was evaluated with all and 

with half of the indoor blowers operating. DOE did not consider any other potential 

blower combinations. For systems offering compressor modulation, a high-stage 

compressor operation was evaluated only when all blowers were on, and the lowstage was evaluated with half the blowers on. 

DOE proposes to amend the test procedure to allow the coverage of systems 

that use a multi-blower indoor unit to address the same type of equipment covered by 

the test procedure waiver granted to Cascade Group, LLC. 

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12. Add Changes To Cover Triple-Capacity, Northern Heat Pumps 

On February 5, 2010, DOE granted Hallowell International a waiver from the 

DOE test procedure on how to test and rate its line of boosted compression heat 

pumps. (24 FR 6014–6018) These heat pumps offer three stages of compressor 

capacity when heating, with the third stage being designed to provide greater heating 

capacity at the lowest outdoor temperatures. The approved waiver contained 

additional laboratory tests and calculations steps that were specific to obtaining an 

HSPF rating for the Hallowell heat pumps. No changes to the DOE test procedure 

were required to evaluate the SEER for these heat pumps. The test procedure sections 

covering two-capacity systems when operating in a cooling mode are applicable for 

the Hallowell heat pumps. 

Proposed test procedure amendments are offered as part of this rulemaking to 

cover heat pumps that provide three levels or stages of heating capacity like the 

Hallowell units. The proposals seek to cover the more generic case of such 

technology.. The proposal includes, additional laboratory testing to capture the effect 

on both capacity and power of the additional stage of heating operations.. The 

proposed building load assigned by HSPF calculations requires evaluation based on 

the application in which high-stage compressor capacity for heating exceeds that for 

cooling. Finally, the proposed coverage accounts for controls that lock out one or two 

EERE-2009-BT-TP-0004 1.1.001
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heating mode capacity levels at any given outdoor temperature. Once these proposals 

are incorporated into the test procedure, the need for a waiver will be eliminated and 

the requirements will apply to all manufacturers who offer equipment with this 

technology. 

DOE proposes adding two required steady-state tests to quantify the heating 

capacity and power consumption characteristics of the third stage of heating. One test 

would be conducted at the existing outdoor temperature test condition of 17 °F db/15 

°F wb temperature (H33). The second test would be at a new outdoor test condition 

(H43), 2 °F db/1 °F wb. This proposed outdoor temperature condition is slightly 

higher than the 0 °F db/-2 °F wb condition proposed by Hallowell and cited in the 

approved waiver. The alternative condition is proposed with the intent of specifying 

a test condition that is marginally more achievable for testing laboratories. Finally, 

two optional tests are proposed, a Frost Accumulation Test and a cyclic test with the 

heat pump operating at its third or boosted compression stage (10 CFR 430, subpart 

B, appendix M, proposed section 3.6.6). 

 DOE is proposing equations for calculating the capacity and electrical power 

consumption of the heat pump as a function of the outdoor temperature when 

operating at its highest stage of compressor capacity.. As part of the proposal, the 

heating building load used in the HSPF calculation, , would also be based on the 

capacity measured during the H1 test condition (47 °F db/43 °F wb outdoor 

temperatures). The compressor would operate at the same speed or stage as in the 

(A2) cooling mode test at 95 °F outdoor db. The HSPF calculation algorithm would 

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be an extension of the approach currently used in the DOE test procedure for twocapacity heat pumps. The active stages of heating capacity available for each bin 

temperature calculation would be based on the control logic of the unit (10 CFR 430, 

subpart B, appendix M, proposed section 4.2.6). 

DOE seeks comments from interested parties on the inclusion of test 

procedure amendments to cover heat pumps that offer three stages of compressor 

capacity when heating. 

13. Specify Requirements for the Low-Voltage Transformer Used when Testing CoilOnly Air Conditioners and Heat Pumps and Require Metering of All Sources of 

Energy Consumption During All Tests 

The transformer that powers the low-voltage components of a field-installed 

hot-air furnace and add-on (coil-only) air conditioner or heat pump resides in the 

furnace. A coil-only air conditioner or heat pump with a hot-air furnace is not 

typically laboratory tested. As a result, the DOE test procedure does not specify the 

low-voltage source of power for the compressor contactor, control boards, and most 

heat pump reversing valves. Because the test procedure does not stipulate metering 

requirements, the associated power consumption is typically unmetered, which makes 

the choice of the transformer used inconsequential. A 100 volt amp (VA) transformer 

powered by a 230 V input works as well as a 40 VA model powered by a 115 V 

input. 

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Because coil-only equipment mainly competes against like equipment, not 

accounting for low-voltage components’ power consumption in the past was not a 

glaring deficiency as the comparable impact on SEER and HSPF ratings. However, in 

seeking to account for all modes and sources of energy consumption as per section 

310 of EISA 2007, DOE proposes that the energy consumption of low-voltage 

components of coil-only systems be measured and included in the applicable rating 

descriptors. DOE anticipates needing to specify a VA rating for the transformer used 

for laboratory testing, while requiring that the input voltage be the same as that 

provided to the outdoor unit (e.g., 230 V). 

An indoor wall thermostat is not typically used for laboratory testing of a 

central air conditioner or heat pump. For this rulemaking, DOE considered but 

decided against assigning a default power value to account for the absence of the wall 

thermostat. Some thermostats use no power or are battery powered. If a low-voltagepowered electronic thermostat is used, its power consumption is often low, usually 

less than a watt or two. In most cases, an air conditioner or heat pump can be installed 

in a system that includes a variety of wall thermostats. It is not possible to know the 

type of thermostat that will be used or its power consumption. 

For testing coil-only air conditioners and heat pumps, DOE proposes that the 

power consumption of the low-voltage system components be metered. Additionally, 

the transformer would be rated to provide 24 V, have a load rating of either 40 or 50 

VA, and would be designed to operate with a primary input of 230 V, single phase, 

60 hertz. The transformer may be powered by the same source as the outdoor unit or a 

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separate 230 V source. The key requirement is that the instrument measuring the 

transformer’s power consumption during the off mode power or any other test must 

do so within the prescribed measurement accuracy. 

14. Add Testing Procedures and Calculations for Off Mode Energy Consumption 

SEER is a seasonal descriptor that accounts for all (modes of) energy 

consumption that occurs during the cooling season, including times when the air 

conditioner or heat pump is cycled off because the building thermostat is satisfied. 

HSPF is a seasonal descriptor for heat pumps that accounts for all (modes of) energy 

consumption during the heating season. The current test procedure does not cover the 

energy consumption of an air conditioner during the heating season when the unit is 

typically turned off at the thermostat but its controls and protective devices remain 

energized. The current test procedure also does not account for a complete 8,760-hour 

year as part of the annual cost calculation. As documented in appendix A of 

ASHRAE Standard 137–2009, “Method of Testing for Efficiency of SpaceConditioning/Water Heating Appliances that Include a Desuperheater Water Heater,” 

the combination of the location-specific cooling and heating load hours used in the 

annual cost calculation is less than 8,760. The missing hours correspond to the 

intervals during which space conditioning is not required because the outdoor 

temperature is moderate, as during the shoulder seasons that occur between the 

cooling and heating seasons. Neither SEER nor HSPF account for energy consumed 

during the shoulder seasons. 

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To provide a means for more clearly accounting for the energy consumption 

during the shoulder seasons and, for air conditioners, the energy consumption during 

the heating season, DOE proposes to define that such times occur when the air 

conditioner or heat pump is in an “off mode.” DOE proposes the following definition. 

The term “off mode” means: 

(1) For air conditioners, all times during the non-cooling season of an air 

conditioner. This mode includes the “shoulder seasons” between the cooling 

and heating seasons when the unit provides neither heating nor cooling to the 

building plus the entire heating season, when the unit is idle. The air 

conditioner is assumed to remain connected to its main power source at all 

times during the off mode; and 

(2) For heat pumps, all times during the non-cooling and non-heating seasons 

of a heat pump. This mode includes the “shoulder seasons” between the 

cooling and heating seasons when the unit provides neither heating nor 

cooling to the building. The heat pump is assumed to remain connected to its 

main power source at all times during the off mode. 

Notably, the above proposed definition differs from the one provided in 

section 310 of EISA 2007, which amended section 325(gg)(1)(A) of EPCA. (42 

U.S.C. 6295(gg)(1)(A)) This section of EPCA applies to a wide range of covered 

products, and as a result, the definitions for off-mode, active mode, and standby mode 

are relatively general in order to address all possible energy consuming modes. 

Rather than introduce alternative definitions for all of these modes within the central 

air conditioner and heat pump test procedure, DOE proposes modifying only the 

definition for off-mode as part of this rulemaking. 

EERE-2009-BT-TP-0004 1.1.001
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DOE proposes new laboratory tests and a separate calculation algorithm for 

estimating the energy consumption during the off-mode season. The new tests and 

calculations are used to determine an average power consumption for the collective 

shoulder seasons and, for air conditioners, an average power consumption during the 

heating season. The shoulder season’s off-mode power consumption will be 

designated as P1, which affects both air conditioner and heat pump energy usage. The 

heating season off-mode power consumption will be designated as P2, which only 

affects air conditioner energy usage. 

(10 CFR 430, subpart B, appendix M, proposed section 3.13) 

DOE has determined that it is not technically feasible to integrate off-mode 

energy use into the SEER and HSPF metrics because they are both seasonal 

descriptors. These seasonal descriptors should not be used to account for the out-ofseason of off-mode energy consumption – i.e., the energy consumed during the 

shoulder seasons and during the heating season. To do so would alter the basis of 

SEER and HSPF. The basis for the integrated SEER for an air conditioner would be 

annual performance, while the basis for the integrated SEER and HSPF for a heat 

pump would be part-year performance. Annual and part-year bases for SEER and 

HSPF are inconsistent with the definitions of these regulating metrics. Moreover, the 

difference in bases, annual for the air conditioner versus part-year for the heat pump, 

disallows the use of the integrated SEER for comparing an air conditioner to a heat 

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71

pump. Therefore, to maintain the technical integrity of SEER and HSPF and to 

account for off-mode (off season) energy consumption, DOE has developed a 

separate algorithm to calculate the off-mode (off season) energy consumption. 

The proposed P1 and P2 parameters are used to evaluate the off-mode energy 

consumption for any generalized climatic region or specific location. 

The shoulder season average off-mode power P1 (for air conditioners and heat 

pumps) would be multiplied by the appropriate shoulder season hours to obtain the 

energy consumed during the collective shoulder seasons. For air conditioners during 

the heating season, the average off-mode power P2 would be multiplied by the 

applicable heating season hours to obtain the energy consumed. The calculation of an 

air conditioner’s annual energy consumption and annual operating cost would include 

both the shoulder season energy consumption and the energy consumed during the 

heating season. For heat pumps, the energy consumption during the shoulder seasons 

would be included in the calculation of the annual energy consumption and annual 

operating cost. 

As part of today’s notice, DOE provides the actual hours associated with 

cooling, heating, and the collective shoulder seasons for six generalized climatic 

regions currently defined in the test procedure. DOE also includes actual hours that 

correspond to the 1,000 cooling load and the 2,080 heating load hours referenced in 

10 CFR 430.23(m), “Test procedures for the measurement of energy and water 

consumption – central air conditioners and heat pumps,” as the representative average 

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use cycles. Additionally, DOE provides equations for calculating the actual hours for 

the cooling, heating, and collective shoulder seasons corresponding to any cooling 

and heating load hour combination. 

As noted above, it is not technically feasible to use SEER and HSPF to 

account for the off-mode energy use. SEER and HSPF are the seasonal performance 

descriptors for the cooling and heating seasons, respectively. Moreover, such 

changes would have a deleterious impact on the manufacturer and confuse the 

consumer. Air conditioners and heat pumps would no longer be comparable and their 

energy efficiency values would only apply to similar climactic regions (i.e. one 

specific combination of cooling season hours, heating season hours, and shoulder 

season hours). If these energy efficiency values were integrated, SEER would be 

different in Maine than in Florida for similar air conditioner design. Therefore, 

additional precautions would be required to make sure the manufacturer only labels 

the units with a “locally integrated” SEER when selling a unit. This new complexity 

would require the consumer to have a technically pertinent knowledge to make an 

informed purchasing decision. 

DOE seeks comments from interested parties about off-mode power 

consumption, its definition, and how DOE proposes to add it to the test procedure. 

15. Add Parameters for Establishing Regional Standards 

Implementation of regional standards for central air conditioners and heat 

pumps is allowed if justified. (42 U.S.C. 6295(o)(6)(D)(i)) Before DOE can establish 

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73

regional standards it must fulfill two statutory requirements: (1) that the establishment 

of additional regional standards will produce significant energy savings in 

comparison to establishing only a single national standard; and (2) that the additional 

regional standards are economically justified. DOE has considered regional standards 

from two perspectives: (1) using the existing SEER and/or HSPF rating but setting 

the regional standard higher than the national standard; and (2) evaluating the 

regional SEER and/or HSPF using a different algorithm and establishing a standard 

based on this region-specific SEER and/or HSPF. As part of its standards rulemaking, 

DOE is considering the merits of both alternatives. Notably, DOE does not have 

authority to use a performance metric other than SEER and HSPF to quantify 

performance, either as part of a national rating or as part of a regional rating. EER 

and COP, for example, cannot be used. 

To consider a standard based on a region-specific SEER and/or HSPF, DOE 

must implement changes to the test procedure. Proposed test procedure changes are 

itemized below. These proposed changes were formulated based on the framework 

specified in EISA 2007 and from the results of the preliminary analysis conducted as 

part of the standards rulemaking. For that framework, section 306 of EISA 2007 

permits DOE to establish up to two regional standards for cooling products in 

addition to the national standard. (42 U.S.C. 6295(o)(6)(B)) Further, individual States 

shall be placed only into a single region. (42 U.S.C. 6295(o)(6)(C)(iii)) In response, 

DOE has tentatively decided to limit its consideration of regional standards to 

cooling-dominated contiguous States and, in addition, to focus only on a regionspecific SEER, not HSPF. The natural division of the cooling-dominated region is an 

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74

east-west partitioning where the eastern region generically qualifies as having a hot, 

humid climate, where the western region may be generically categorized as hot and 

dry. 

SEER, which has and will continue to be used to establish the national 

standard, is evaluated based on indoor test conditions of 80 °F db/67 °F wb. These 

conditions would be suitable to evaluate performance when the equipment is applied 

in the proposed hot-humid region. As a result, test procedure changes are not 

necessary to complement a potential hot-humid regional standard. As currently 

planned, any hot-humid regional standard would be based on the current SEER 

algorithm. The final SEER assigned to the hot-humid regional standard, however, 

could be higher than the value assigned for the national standard. 

As for the proposed hot-dry region, DOE identified States that could be 

included in this region. These States and the basis for their selection is described in 

the technical support document (TSD) prepared as part of the development of the 

residential central air conditioners and heat pumps standards. For this region, DOE is 

considering the option of establishing a regional SEER standard based on a regionspecific SEER rating (i.e., SEER or SEER Hot-Dry (SEER-HD)). The subsections 

that follow discuss test procedure elements that offer mechanisms for capturing 

equipment performance in a climate that differs from the average climate represented 

in the national SEER rating. Until DOE finalizes the list of States in the targeted 

region, some numbers and inputs are subject to change. 

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a. Use a Bin Method for Single-Speed SEER Calculations for the Hot-Dry 

Region and National Rating 

The bin calculation structure currently used in the DOE test procedure for 

calculating the SEER of two-capacity and variable-speed systems accounts for the 

effects of outdoor db temperature (including a shift in the frequency of occurrence), 

the equipment sizing criteria, and an alternative building load profile. The bin 

calculation method allows a mechanism to evaluate the relative impact of installing 

an air conditioner or heat pump in different climates, including a hot climate. 

The simple short-cut equation provided in the DOE test procedure for rating 

most single-speed systems typically yields a SEER value that is close to the SEER 

value obtained using the temperature bin method; i.e., if the fractional bin hour 

distribution, the sizing criteria, and the building load line algorithm are the national 

average values. As deviations to this specific case are introduced, however, the bin 

calculated SEER will change accordingly while the short-cut SEER will remain 

unchanged and equal to the value that results from the calculations in 10 CFR 430, 

subpart B, appendix M, section 4.1.1. Thus, the current short-cut SEER method 

cannot be used if any calculation parameter changes. 

Three potentially differentiating parameters of the proposed hot-dry region are 

the addition of operating hours at bin temperatures above the current maximum of 

102 °F, an appreciable redistribution in the percentage of hours occurring in each 5 °F 

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76

outdoor temperature bin, and a different outdoor design temperature. To account for 

the dryness of the region, in addition, cooling capacity and electrical power can be 

based on performance achieved when operating with comparatively drier indoor 

conditions. Because of these projected departures, DOE proposes a bin calculation 

method for evaluating the region-specific SEER for all types of systems, including 

those units having a single-speed compressor. 

The proposed SEER-HD temperature bin method will use a single set of new 

fractional bin hours representative of the applicable contiguous States. A revised 

outdoor design temperature would be used in defining the building load for each 

temperature bin. The zero-load balance point will remain at 65 °F, and the assumed 

oversizing would remain at 10 percent. The assumed linear relationship between 

outdoor db temperature and building load would also remain. The performance of the 

air conditioner or heat pump as a function of outdoor db temperature would be based 

on operating at indoor ambient conditions comparatively drier than those used for the 

national rating. 

With the planned institution of a bin calculation method for all systems when 

determining the SEER-HD, DOE proposes to eliminate the use of the short-cut 

method for all single-speed systems when determining the national SEER, replacing it 

with the bin calculation algorithm on which the short-cut method is based. The 

benefits of this proposed transition include consistency between rating fixed speed 

and modulating systems, an increase in the potential impact of the A Test relative to 

the B Test, avoidance of potential confusion about the validity and basis of the shortEERE-2009-BT-TP-0004 1.1.001
77

cut method, elimination of concerns that the short-cut method often yields a slightly 

higher SEER than the bin method for current equipment, and consistency between the 

calculation of the national SEER and regional SEER-HD (10 CFR 430, subpart B, 

appendix M, revised sections 4.1 and 4.1.1). 

b. Add New Hot-Dry Region Bin Data 

An important component for implementing a new SEER-HD rating is defining 

a representative set of outdoor temperature data for the cooling season. This data set 

is the fractional bin hours assigned to each 5 °F temperature bin. Using TMY2 

weather data combined with the calculated building load for each temperature bin 

(based on using the ASHRAE 1 percent design dry-bulb temperature for specific 

location in place of the 95 °F used in the DOE test procedure), DOE generated 

cooling load profiles for cities within those States being considered as part of the hotdry region. Using population-based weighting factors for each TMY location, DOE 

calculated a population-averaged annual cooling load profile and a corresponding 

fractional bin hour distribution. 

Table III.2 lists the proposed cooling season fractional bin hour distribution 

for the hot-dry region under the column heading SEER-HD (for basis of this table, 

see chapter 7 of the preliminary TSD of the central air conditioner standards 

rulemaking). For comparison, the current DOE test procedure cooling season 

fractional bin hour distribution is shown along with the cooling load profiles 

calculated from each bin hour distribution. To three decimal places, the cooling 

season fractional bin hours for the SEER-HD in the 110 to 114 °F temperature bin is 

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78

shown as 0.000; however, the actual bin hour fraction, 0.0002, resulted in a 0.001 

annual cooling load fraction as shown in the rightmost column. DOE requests 

comments on the chart below. 

Table III.2. Proposed Four-State Hot-Dry Region: Arizona, California, New 

Mexico, Nevada 

Temperature 

°F

Cooling Season Fractional Bin Hours Resulting Cooling Load Profile 

DOE PT.430 SEER-HD DOE PT.430 SEER-HD 

65–69 0.214 0.477 0.036 0.115 

70–74 0.231 0.208 0.137 0.175 

75–79 0.216 0.119 0.220 0.172 

80–84 0.161 0.086 0.232 0.176 

85–89 0.104 0.047 0.194 0.124 

90–94 0.052 0.027 0.119 0.088 

95–99 0.018 0.021 0.049 0.082 

100–104 0.004 0.011 0.013 0.050 

105–109 0.000 0.004 0.000 0.018 

110–114 0.000 0.000 0.000 0.001 

c. Add Optional Testing at the A and B Test Conditions with the Unit in a 

Hot-Dry Region Setup 

Bin calculations account for how the air conditioner or heat pump’s total 

cooling capacity and electrical power consumption change with outdoor temperature 

(and, for modulating systems, with the compressor’s capacity or speed). During the 

cooling season for the proposed hot-dry region, the air conditioner or heat pump will 

operate mostly when comparatively less latent cooling is needed. By comparison, the 

performance data from the currently required laboratory tests (Tests A and B for 

single-speed systems) correspond to indoor test conditions that result in a fully wetted 

coil and a significant amount of latent cooling (typically 20 to 30 percent of the total 

capacity). The electrical power consumption and EER of a system operating with a 

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79

fully wetted coil also differ slightly from the values obtained from operating with a 

partially wetted or dry coil. 

In addition to evaluating the SEER-HD using the same performance data used 

to calculate the national SEER, at least two other options are available: specify hotdry, steady-state cooling mode tests (where indoor conditions are representative of 

such an installation), or test at the same indoor conditions currently specified for the 

dry-coil tests used to determine the cooling mode cyclic degradation coefficient(s). 

To determine the potential impact that the indoor conditions (wb temperature) 

may have on the new SEER-HD rating, DOE conducted sample calculations for the 

bracketing cases. A unit with a tested national SEER of 13.6 would earn a SEER-HD 

of 13 using the 80 °F/67 °F data and a SEER-HD of 11 using the dry-coil data. The 

first drop reflects the effects of the fractional bin hour distribution and a different 

outdoor design temperature for the hot-dry region. The second drop captures the 

impact of using dry- instead of wet-coil data. The magnitude of the latter drop 

persuaded DOE to explore a different option. Acknowledging the greater test burden, 

DOE seeks to specify conditions more representative of a hot-dry region installation. 

Lacking any contrary data or comments supporting an indoor db temperature 

for the hot-dry region tests greater than the 80 °F db temperature used for standard 

SEER tests, DOE proposes to use the 80 °F db temperature to minimize the increased 

test burden. For the companion wb test condition, DOE considered four values: 63 °F, 

64 °F, 64.5 °F, and 65 °F. These candidate wb temperatures were selected based upon 

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80

published reports of field data collected in California drier climate zones, a review of 

indoor test conditions selected for hot-dry testing by private and university 

researchers, and the practical aspect of differentiating from the current test condition 

of 67 °F wb temperature (Proctor Engineering Group, Ltd., “Hot Dry Climate Air 

Conditioner [HDAC] Proof of Concept [POC] – Final 3-Ton Laboratory Test 

Analysis Report,” Draft Report, July 13, 2006 and Southern California Edison, 

Proctor Engineering Group Ltd., and Bevilacqua-Knight, Inc., “Energy Performance 

of Hot, Dry Optimized Air-Conditioning Systems,” PIER Final Project Report, CEC500-2008-056, July 2008). DOE today proposes to use an indoor wb temperature of 

64 °F because it lies at the midpoint of the considered range. 

The effect of outdoor temperature on cooling capacity and power consumption 

can be approximated by a linear fit when calculating the national SEER using a bin 

method. As such, DOE prefers testing at two different outdoor temperatures, with all 

other operating parameters constant. Ideally, the two temperatures should provide a 

range of application to maximize interpolation values and minimize extrapolation. 

The national SEER test pair of 82 °F and 95 °F approach the specified criterion for 

singlespeed units, for the high capacity of two-capacity units, and for the maximum 

speed of variable-speed systems. The test pair of 67 °F and 82 °F for the low capacity 

performance of two-capacity units and for the minimum speed performance of 

variable-speed systems provide the same utility. 

Because of the availability of the national SEER wet-coil test data, the need to 

minimize the test burden, and the fact that the performance ratings only apply to the 

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81

hot-dry regional climate, DOE seeks to minimize the number of new required tests. 

Therefore, DOE proposes a combination of required and optional tests. Instead of 

conducting optional tests, DOE proposes using simplified approximating equations to 

capture the change in performance as the outdoor temperature changes. 

As proposed, single-speed systems will have a single required SEER-HD test, 

which will occur at an outdoor temperature of 95 °F and be designated “the AD Test.” 

Systems having a modulating capability will have two required tests: one (AD2) 

occurring at a 95 °F outdoor temperature with the unit operating at high capacity or 

maximum speed, and the other (BD1) occurring at a 82 °F outdoor temperature with 

the unit operating at low capacity or minimum compressor speed. Before conducting 

the first SEER-HD tests, the system shall be (re)configured, as applicable, in 

accordance with any published instructions from the manufacturer that pertain to 

installations in a hot-dry region. 

As proposed, single-speed systems will have a single optional SEER-HD test 

(BD) that would occur at an outdoor temperature of 82 °F. Systems with a modulating 

capability would have two optional tests: one (BD2) occurring at a 82 °F outdoor 

temperature with the unit operating at high capacity or maximum compressor speed, 

and the other (FD1) occurring at a 67 °F outdoor temperature with the unit operating 

at low capacity or minimum compressor speed. These optional tests provide the 

additional data necessary to determine how the cooling capacity and power 

consumption change with outdoor temperature. 

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Instead of conducting the optional test(s), manufacturers can use the capacity 

and power data collected from the national SEER cooling mode tests conducted using 

80 °F db/67 °F wb as the indoor entering air conditions to approximate how the hotdry region capacity and power consumption change with outdoor temperature for a 

given compressor capacity. Specifically, the slope of the capacity (or power 

consumption) versus outdoor temperature relationship for the comparable 80 °F db/67 

°F wb tests will be scaled by multiplying the ratio of the capacity (or power 

consumption) determined from the SEER-HD test by the capacity (power 

consumption) determined from the national SEER test conducted at the same outdoor 

temperature. Using a single-speed system as an example, the slope based on the A

and B Tests is multiplied by the ratio of the AD Test capacity (or power 

consumption) to the A Test capacity (or power consumption). 

For approximating the capacity and power consumption dependency with 

outdoor temperature, DOE proposes global adjustment factors to assist in obtaining a 

conservative SEER-HD. Applying the approximated slope, estimated capacities for 

temperatures above the single-test temperature point will be over-predicted, while 

capacities for temperatures below will be under-predicted. Given the proposed 

required tests for the hot-dry region, the calculated weighted energy consumption for 

temperature bins below the required test temperature (e.g., 95 °F) should be higher 

than the bin-weighted total energy consumed for temperature bins above the test 

temperature. Conversely, the total bin-weighted cooling delivered for temperature 

bins less than the test temperature should exceed the cooling contribution from 

temperature bins above the test temperature. As a result, a conservative rating would 

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be achieved if the capacity at the lower temperatures is under-predicted and the power 

consumption at these temperatures is over-predicted. To determine the underprediction of capacity, the magnitude of the negative slope for the approximated 

capacity versus temperature relationship should be reduced slightly. DOE proposes a 

capacity slope adjustment factor of 0.95. Similarly, the magnitude of the positive 

slope for the approximated power consumption versus temperature relationship 

should be reduced slightly. DOE proposes a power consumption slope adjustment 

factor of 0.95. These adjustment factors are assigned based on the goal of 

safeguarding against the default equations yielding a higher SEER-HD than the tested 

values. DOE specifically requests data showing whether the magnitudes of these 

adjustment factors should be changed. 

Collectively, the approximation approach that includes the proposed 

adjustment factors should yield a SEER-HD equal to or slightly less than the SEERHD determined from the optional test(s). DOE wants the approximation to provide a 

conservative rating, which will avoid over-predicting the actual value. When the 

optional testing is conducted but yields a poorer outcome, a manufacturer shall not be 

penalized for having conducted the optional SEER tests. If the SEER-HD determined 

using the approximations defined above is higher than the SEER-HD determined 

using the data from the optional test(s), the manufacturer may use the higher value. 

(10 CFR 430, subpart B, appendix M, revised sections 3.6.2, 3.6.3, and 3.6.4) 

DOE considered additional options for modifying the laboratory testing to 

differentiate equipment installed in a hot-dry region. For example, DOE considered 

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setting higher minimum external static pressure requirements for the required and 

optional SEER-HD laboratory tests, as some interested parties have advocated 

increasing the current minimums. DOE elected not to change these minimums as part 

of the SEER-HD tests to maximize consistency between the SEER-HD and national 

SEER tests. This consistency is necessary given the above-described method for 

approximating the relationship between cooling capacity (power consumption) and 

outdoor temperature for the hot-dry condition. DOE also considered ways to account 

for an extended indoor fan time delay mode designed to re-evaporate condensate 

trapped on the coil or lying in the pan. Because the current CD tests are dry-coil tests, 

DOE was unable to conceive of a change that would permit measurement of such an 

evaporative cooling (latent recovery) mechanism if employed in the field. 

d. Add a New Equation for Building Load Line in the Hot-Dry Region 

As part of the evaluation of the newly proposed region-specific performance 

rating, SEER-HD, DOE must establish a building load line for the SEER-HD (just as 

used for evaluating the national SEER): 

OS

OD

k

HDc

OD ZB

ZBj

j F

TQ

TT

TT

TBL )(

)(

)( )( , &

× −

− =

Where: 

Tj = the bin temperature, 

TZB = the zero load balance point, 

TOD = the outdoor design temperature, 

)( , OD

k & HDc TQ = the unit’s capacity at the design outdoor temperature, and 

FOS = the oversizing factor. 

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As with the calculation of the national SEER, the building load is assumed to 

vary linearly with outdoor temperature. Other parameters common to the two building 

load calculations are the zero load balance point, the outdoor design temperature, and 

the oversizing factor: 65 °F, 95 °F and 10 percent (i.e., FOS=1.1), respectively. As for 

the 95 °F outdoor design temperature, DOE arrived at it by calculating the 

population-weighted average of the ASHRAE Handbook 1 percent design dry-bulb 

temperature for multiple cities located within the proposed hot-dry region. DOE 

recognizes that across the hot-dry region there are significant differences in cooling 

design conditions by location but has proposed 95 °F for establishing the load line. 

DOE requests comments from interested parties on the introduction of 

regional standards, the use of the bin method for determining regional and national 

SEER, the proposed hot-dry regional bin data, and the addition of required and 

optional testing in a hot-dry region setup. 

16. Add References to ASHRAE 116–1995 (RA 2005) for Equations that Calculate 

SEER and HSPF for Variable-Speed Systems 

DOE proposes to reference specific language and equations within ASHRAE 

Standard 116-1995 (RA 2005) that provide greater detail in determining the three 

balance point temperatures needed when calculating the SEER of an air conditioner 

or heat pump having a variable-speed compressor. DOE proposes to do the same for 

the HSPF variable-speed algorithm. 

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The DOE test procedure does not include the equations used for calculating 

the outdoor temperatures at which the unit’s cooling or heating capacity matches the 

building’s cooling or heating load when operating at minimum, intermediate, or 

maximum compressor speeds. (Intermediate speed is used for laboratory testing.) The 

DOE test procedure defines these three outdoor temperatures and how they are 

evaluated. ASHRAE Standard 116-1995 (RA 2005) provides explicit equations for 

calculating the three outdoor temperatures for cooling and the three outdoor 

temperatures for heating. Referencing this standard within the DOE test procedure is 

worthwhile, as it may be especially helpful for those new to either test procedures or 

testing and rating variable-speed products. 

DOE proposes adding a sentence within test procedure sections 4.1.4.2 and 

4.2.4.2 to reference the applicable sections of the ASHRAE Standard that provide the 

exact equations, along with explanatory text and figures. 

DOE seeks comments on this proposal. 

17. Update Test Procedure References to the Current Standards of AHRI and 

ASHRAE 

Since the October 2007 final rule, ARI has merged with the Gas Appliance 

Manufacturers Association to become AHRI. References to ARI within Appendix M 

need to be updated accordingly, as documented below. 

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IV. Regulatory Review 

A. Review Under Executive Order 12866

Today’s regulatory action is not a “significant regulatory action” under 

Executive Order (E.O.) 12866, “Regulatory Planning and Review.” 58 FR 51735 

(October 4, 1993). Accordingly, this action was not subject to review by the Office of 

Management and Budget under the Executive Order. 

B. Review Under the National Environmental Policy Act of 1969

In this proposed rule, DOE proposes amendments to test procedures that may 

be used to implement future energy conservation standards for central air 

conditioners. These amendments will not affect the quality or distribution of energy 

usage and, therefore, will not result in any environmental impacts. DOE has 

determined that this rule falls into a class of actions that are categorically excluded 

from review under the National Environmental Policy Act of 1969 (NEPA) (42 

U.S.C. 4321 et seq.) and the Department’s implementing regulations at 10 CFR part 

1021. More specifically, this rule is covered by the Categorical Exclusion in 

paragraph A5, to subpart D, 10 CFR part 1021.. Accordingly, neither an 

environmental assessment nor an environmental impact statement is required. 

C. Review Under the Regulatory Flexibility Act 

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of 

an initial regulatory flexibility analysis (IRFA) for any rule that by law must be 

proposed for public comment, unless the agency certifies that the rule, if 

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promulgated, will not have a significant economic impact on a substantial number of 

small entities. As required by E.O. 13272, “Proper Consideration of Small Entities in 

Agency Rulemaking” (67 FR 53461 (August 16, 2002)), DOE published procedures 

and policies on February 19, 2003, to ensure that the potential impacts of its rules on 

small entities are properly considered during the rulemaking process. 68 FR 7990. 

DOE has made its procedures and policies available on the Office of the General 

Counsel’s website (http://www.gc.doe.gov). 

 DOE reviewed today’s proposed rule, which would amend the test 

procedures for residential central air conditioners and heat pumps, under the 

provisions of the Regulatory Flexibility Act and the procedures and policies 

published on February 19, 2003. DOE tentatively concludes and certifies that the 

proposed rule, if adopted, would not result in a significant impact on a substantial 

number of small entities. The factual basis for this certification is set forth below. 

As defined by the Small Business Administration (SBA) for the AirConditioning and Warm Air Heating Equipment manufacturing industry, small 

businesses are manufacturing enterprises with 750 employees or fewer. DOE used the 

small business size standards published on January 31, 1996, as amended, by the SBA 

to determine whether any small entities would be required to comply with the rule. 61 

FR 3286, January 31, 1996, as amended at 67 FR 3045, January 23, 2002 and at 69 

FR 29203, May 21, 2004; see also 65 FR 30836, 30850 (May 15, 2000), as amended 

at 65 FR 53533, 53545 (September 5, 2000). The size standards are codified at 13 

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CFR part 121. The standards are listed by North American Industry Classification 

System (NAICS) code and industry description and are available at 

http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.

pdf. 

 Residential central air conditioner and heat pump equipment manufacturing is 

classified under NAICS 333415, “Air-Conditioning and Warm Air Heating 

Equipment and Commercial and Industrial Refrigeration Equipment Manufacturing.” 

70 FR 12395 (March 11, 2005). DOE reviewed AHRI’s listing of residential central 

air conditioner and heat pump equipment manufacturer members and surveyed the 

industry to develop a list of domestic manufacturers. As a result of this review, DOE 

identified 22 manufacturers of residential central air conditioners and heat pumps, of 

which 15 would be considered small manufacturers with a total of approximately 3 

percent of the market sales. DOE seeks comment on its estimate of the number of 

small entities that may be impacted by the proposed test procedure. 

Potential impacts of the proposed test procedures on all manufacturers, 

including small businesses, come from impacts associated with the cost of proposed 

additional testing. DOE estimates the incremental cost of the proposed additional tests 

described in 10 CFR 430, subpart B, appendix M (revised sections 3.1, 4.3.1, and 

4.3.2; and proposed sections 3.13 and 4.2.7) to be an increase of $1,000 to $1,500 per 

unit tested. This estimate is based on private testing services quoted on behalf of DOE 

in the last two years for central air conditioners and heat pumps. Typical costs for 

running the cooling tests appear to be approximately $5,000. DOE estimated that the 

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additional activities required by the revised test procedure would introduce a 20 to 30 

percent increase in testing time resulting in approximately $1,000 to $1,500 

additional cost. The largest additional cost would be associated with conducting 

steady-state cooling mode tests and the dry climate tests (for SEER-HD). 

Because the incremental cost of running the extra tests is the same for all 

manufacturers, DOE believes that all manufacturers would incur comparable costs for 

testing of individual basic models as a result of the proposed test procedures. DOE 

expects that small manufacturers will incur less testing expense compared with larger 

manufacturers as a result of the proposed testing requirements because they have 

fewer basic models and thus require proportionally less testing when compared with 

large manufacturers that have many basic models. DOE recognizes, however, that 

smaller manufacturers may have less capital available over which to spread the 

increased costs of testing. 

DOE compared the cost of the testing to the total value added by the 

manufacturers to determine whether the impact of the proposed test procedure 

amendments is significant. The value added represents the net economic value that a 

business creates when it takes manufacturing inputs (e.g. materials) and turns them 

into manufacturing outputs (e.g. manufactured goods). Specifically as defined by the 

U.S. Census, the value added statistic is calculated as the total value of shipments 

(products manufactured plus receipts for services rendered) minus the cost of 

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materials, supplies, containers, fuel, purchased electricity, and contract work 

expenses. 

DOE analyzed the impact on the smallest manufacturers of central air 

conditioners and heat pumps because these manufacturers would likely be the most 

vulnerable to cost increases. DOE calculated the additional testing expense as a 

percentage of the average value added statistic for the five individual firms in the 25 

to 49 employee size category in NAICS 333415 as reported by the U.S. Census (U.S. 

Bureau of the Census, American Factfinder, 2002 Economic Census, Manufacturing, 

Industry Series, Industry Statistics by Employment Size) 

http://factfinder.census.gov/servlet/EconSectorServlet?_lang=en&ds_name=EC0200

A1&_SectorId=31&_ts=288639767147>). The average annual value for 

manufacturers in this size range from the census data was 1.26 million dollars in 

2001$, per the 2002 Economic Census, or approximately 1.52 million dollars per year 

in 2009$ after adjusting for inflation using the implicit price deflator for gross 

domestic product (U.S. Department of Commerce Bureau of Economic Analysis 

<http://www.bea.gov/national/nipaweb/SelectTable.asp>). 

DOE also examined the average value added statistic provided by census for 

all manufacturers with less than 500employees in this NAICS classification as the 

most representative value from the 2002 Economic Census data of the CAC 

manufacturers with less than 750 employees that are considered small businesses by 

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the SBA (15 manufacturers). The average annual value added statistic for all small 

manufacturers with less than 500 employees was 7.88 million dollars (2009$). 

Given this data, and assuming the high-end estimate of $1,500 for the 

additional testing costs, DOE concluded that the additional costs for testing of a 

single basic model product under the proposed requirements would be approximately 

0.1% of annual value added for the five smallest firms, and approximately 0.02% of 

the average annual value added for all small CAC manufacturers (15 firms). DOE 

estimates that testing of basic models may not have to be updated more than once 

every five years, and therefore the average incremental burden of testing one basic 

model may be one fifth of these values when the cost is spread over several years. 

DOE requires that only the highest sales volume split system combinations be 

lab tested (10 CFR 430.24(m)). The majority of air conditioners and heat pumps 

offered by a manufacturer are typically split systems that are not required to be lab 

tested but can be certified using an alternative rating method which does not require 

DOE testing of these units. DOE reviewed the available data for five of the smallest 

manufacturers to estimate the incremental testing cost burden for those small firms 

that might experience the greatest relative burden from the revised test procedures. 

These manufacturers had an average of 10 models requiring testing (AHRI Directory 

of Certified Product Performance 

http://www.ahridirectory.org/ahridirectory/pages/home.aspx), while large 

manufacturers will have well over a hundred such models. The additional testing cost 

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for final certification for 10 models was estimated at $15,000. Meanwhile these 

certifications would be expected to last the product life, estimated to be at least five 

years based on the time frame established in EPCA for DOE review of CAC 

efficiency standards. This test burden is therefore estimated to be approximately 0.2% 

of the estimated five-year value added for the smallest five manufacturers. DOE 

believes that these costs are not significant given other, much more significant costs 

that the small manufacturers of central air conditioners and heat pumps incur in the 

course of doing business. DOE seeks comment on its estimate of the impact of the 

proposed test procedure amendments on small entities and its conclusion that this 

impact is not significant. 

Accordingly, as stated above, DOE tentatively concludes and certifies that this 

proposed rule would not have a significant economic impact on a substantial number 

of small entities. Accordingly, DOE has not prepared an IRFA for this rulemaking. 

DOE will provide its certification and supporting statement of factual basis to the 

Chief Counsel for Advocacy of the SBA for review under 5 U.S.C. 605(b). 

D. Review Under the Paperwork Reduction Act

This rule contains a collection-of-information requirement subject to the 

Paperwork Reduction Act (PRA) and which has been approved by OMB under 

control number 1910-1400. Public reporting burden for the collection of test 

information and maintenance of records on regulated residential central air 

conditioners and heat pumps based on the certification and reporting requirements is 

estimated to average 30 hours per response, including the time for reviewing 

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instructions, searching existing data sources, gathering and maintaining the data 

needed, and completing and reviewing the collection of information. Send comments 

regarding this burden estimate, or any other aspect of this data collection, including 

suggestions for reducing the burden, to DOE (see ADDRESSES) and by e-mail to 

Christine_Kymn@omb.eop.gov. 

Notwithstanding any other provision of the law, no person is required to 

respond to, nor shall any person be subject to a penalty for failure to comply with, a 

collection of information subject to the requirements of the PRA, unless that 

collection of information displays a currently valid OMB control number. 

E. Review Under the Unfunded Mandates Reform Act of 1995

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA; Pub. L. 104–

4, codified at 2 U.S.C. 1501 et seq.) requires each Federal agency to assess the effects 

of Federal regulatory actions on State, local, and Tribal governments and the private 

sector. For proposed regulatory actions likely to result in a rule that may cause 

expenditures by State, local, and Tribal governments in the aggregate or by the 

private sector of $100 million or more in any one year (adjusted annually for 

inflation), section 202 of UMRA requires a Federal agency to publish estimates of the 

resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 

1532(a),(b)) The UMRA also requires a Federal agency to develop an effective 

process to permit timely input by elected officers of State, local, and Tribal 

governments on a proposed “significant intergovernmental mandate” and requires an 

agency plan for giving notice and opportunity for timely input to potentially affected 

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small governments before establishing any requirements that might significantly or 

uniquely affect small governments. On March 18, 1997, DOE published a statement 

of policy on its process for intergovernmental consultation under UMRA. 62 FR 

12820. (This policy is also available at www.gc.doe.gov.) Today’s proposed rule 

contains neither an intergovernmental mandate, nor a mandate that may result in the 

expenditure of $100 million or more in any year, so these requirements do not apply. 

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

Section 654 of the Treasury and General Government Appropriations Act, 

1999 (Pub. L. 105–277) requires Federal agencies to issue a Family Policymaking 

Assessment for any proposed rule that may affect family well-being. Today’s 

proposed rule would not have any impact on the autonomy or integrity of the family 

as an institution. Accordingly, DOE has concluded that it is unnecessary to prepare a 

Family Policymaking Assessment. 

G. Review Under Executive Order 13132

Executive Order 13132, “Federalism,” 64 FR 43255 (August 10, 1999) 

imposes certain requirements on agencies formulating and implementing policies or 

regulations that preempt State law or that have Federalism implications. The 

Executive Order requires agencies to examine the constitutional and statutory 

authority supporting any action that would limit the policymaking discretion of the 

States and to assess carefully the necessity for such actions. The Executive Order also 

requires agencies to have an accountable process to ensure meaningful and timely 

input by State and local officials in the development of regulatory policies that have 

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Federalism implications. On March 14, 2000, DOE published a statement of policy 

describing the intergovernmental consultation process it will follow in the 

development of such regulations. 65 FR 13735. DOE examined today’s proposed 

rule and has determined that it does not preempt State law and does not have a 

substantial direct effect on the States, on the relationship between the national 

government and the States, or on the distribution of power and responsibilities among 

the various levels of government. EPCA governs and prescribes Federal preemption 

of State regulations as to energy conservation for the products that are the subject of 

today’s proposed rule. States can petition DOE for a waiver of such preemption to the 

extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297) No further action is 

required by E.O. 13132. 

H. Review Under Executive Order 12988

With respect to the review of existing regulations and the promulgation of 

new regulations, section 3(a) of E.O. 12988, “Civil Justice Reform” (61 FR 4729, 

February 7, 1996), imposes on Federal agencies the general duty to adhere to the 

following requirements: (1) eliminate drafting errors and ambiguity; (2) write 

regulations to minimize litigation; (3) provide a clear legal standard for affected 

conduct rather than a general standard; and (4) promote simplification and burden 

reduction. Section 3(b) of E.O. 12988 specifically requires that Executive agencies 

make every reasonable effort so that the regulation: (1) clearly specifies the 

preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or 

regulation; (3) provides a clear legal standard for affected conduct while promoting 

simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) 

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adequately defines key terms; and (6) addresses other important issues affecting 

clarity and general draftsmanship under any guidelines issued by the Attorney 

General. Section 3(c) of E.O. 12988 requires Executive agencies to review 

regulations in light of applicable standards in sections 3(a) and 3(b) to determine 

whether they are met or it is unreasonable to meet one or more of them. DOE has 

completed the required review and determined that to the extent permitted by law, the 

proposed rule meets the relevant standards of E.O. 12988. 

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

Section 515 of the Treasury and General Government Appropriations Act, 

2001 (44 U.S.C. 3516 note) provides for agencies to review most disseminations of 

information to the public under information quality guidelines established by each 

agency pursuant to general OMB guidelines. The OMB’s guidelines were published 

at 67 FR 8452 (February 22, 2002), and DOE’s guidelines were published at 67 FR 

62446 (October 7, 2002). DOE has reviewed today’s proposed rule under the OMB 

and DOE guidelines and has concluded that it is consistent with applicable policies in 

those guidelines. 

J. Review Under Executive Order 13211

Executive Order 13211, “Actions Concerning Regulations That Significantly 

Affect Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001), requires 

Federal agencies to prepare and submit to the Office of Information and Regulatory 

Affairs (OIRA), Office of Management and Budget, a Statement of Energy Effects 

for any proposed significant energy action. A “significant energy action” is defined as 

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any action by an agency that promulgated or is expected to lead to promulgation of a 

final rule, and that (1) is a significant regulatory action under E.O. 12866, or any 

successor order; and (2) is likely to have a significant adverse effect on the supply, 

distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a 

significant energy action. For any proposed significant energy action, the agency 

must give a detailed statement of any adverse effects on energy supply, distribution, 

or use should the proposal be implemented, and of reasonable alternatives to the 

action and their expected benefits on energy supply, distribution, and use. Today’s 

regulatory action would not have a significant adverse effect on the supply, 

distribution, or use of energy and, therefore, it is not a significant energy action. 

Accordingly, DOE has not prepared a Statement of Energy Effects. 

K. Review Under Executive Order 12630

DOE has determined, under E.O. 12630, “Governmental Actions and 

Interference with Constitutionally Protected Property Rights,” 53 FR 8859 (March 15, 

1988), that this proposed regulation, if promulgated as a final rule, would not result in 

any takings that might require compensation under the Fifth Amendment to the U.S. 

Constitution. 

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

1974

Under section 301 of the Department of Energy Organization Act (Pub. L. 95–

91), DOE must comply with section 32 of the Federal Energy Administration Act of 

1974, as amended by the Federal Energy Administration Authorization Act of 1977. 

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When a proposed rule contains or involves use of commercial standards, the 

rulemaking must inform the public of the use and background of such standards. 15 

U.S.C. 788 Section 32. 

The proposed rule incorporates testing methods contained in the following 

commercial standards: (1) ASHRAE Standard 23-2005, “Methods of Testing for 

Rating Positive Displacement Refrigerant Compressors and Condensing Units;” (2) 

ASHRAE Standard 37-2005, “Methods of Testing for Rating Electrically Driven 

Unitary Air-Conditioning and Heat Pump Equipment,” sections 7.3.3.1, 7.3.3.3, 

7.3.4.1, 7.3.4.3, 7.4, 8.2, 8.2.5, and Table 3; (3) ASHRAE Standard 41.1–1986 (RA 

2006), “Standard Method for Temperature Measurement,” sections 4, 5, 6, 9, 10, and 

11; (4) ASHRAE 41.6–1994 (RA 2006), “Standard Method for Measurement of 

Moist Air Properties,” sections 5 and 8; (5) ASHRAE 41.9–2000 (RA 2006), 

“Calorimeter Test Methods for Mass Flow Measurements of Volatile Refrigerants;” 

(6) ASHRAE Standard 116-1995 (RA 2005), “Methods of Testing for Rating 

Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps,” section 10.2.4; (7) 

ANSI/AMCA 210–07 (ANSI/ASHRAE 51–07), “Laboratory Methods of Testing 

Fans for Certified Aerodynamic Performance Rating,” Figures 2A and 12; and (8) 

AHRI Standard 210/240-2008 “Standard for Performance Rating of Unitary AirConditioning & Air-Source Heat Pump Equipment,” sections 6.1.3.2, 6.1.3.4, and 

6.1.3.5 and Figures D1, D2, and D4. DOE has evaluated these standards and is unable 

to conclude whether they fully comply with the requirements of section 323(b) of the 

Federal Energy Administration Act (i.e., whether they were developed in a manner 

that fully provides for public participation, comment, and review). 

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As required by section 32(c) of the Federal Energy Administration Act of 

1974 as amended, DOE will consult with the Attorney General and the Chairman of 

the FTC before prescribing a final rule about the impact on competition of using the 

methods contained in these standards. 

V. Public Participation 

A. Attendance at Public Meeting 

The time and date of the public meeting are listed in the DATES section at the 

beginning of this NOPR. The public meeting will be held at the U.S. Department of 

Energy, Forrestal Building, Room 1E–245. To attend the public meeting, please 

notify Ms. Brenda Edwards at (202) 586-2945. Foreign nationals visiting DOE 

Headquarters are subject to advance security screening procedures requiring a 30-day 

advance notice. Any foreign national wishing to participate in the meeting should 

advise DOE of this fact as soon as possible by contacting Ms. Brenda Edwards to 

initiate the necessary procedures. 

B. Procedure for Submitting Requests to Speak

Any person who has an interest in today’s notice or who is a representative of 

a group or class of persons that has an interest in these issues may request an 

opportunity to make an oral presentation. Such persons may hand-deliver requests to 

speak, along with a computer diskette or CD in WordPerfect, Microsoft Word, PDF, 

or text (ASCII) file format to the address shown in the ADDRESSES section at the 

beginning of this NOPR between 9:00 a.m. and 4:00 p.m. Monday through Friday, 

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except Federal holidays. Requests may also be sent by mail or e-mail to 

Brenda.Edwards@ee.doe.gov. 

Persons requesting to speak should briefly describe the nature of their interest 

in this rulemaking and provide a telephone number for contact. DOE requests persons 

selected to be heard to submit an advance copy of their statements at least two weeks 

before the public meeting. At its discretion, DOE may permit any person who cannot 

supply an advance copy of their statement to participate, if that person has made 

advance alternative arrangements with the Building Technologies Program. The 

request to give an oral presentation should ask for such alternative arrangements. 

C. Conduct of Public Meeting

DOE will designate a DOE official to preside at the public meeting and may 

also employ a professional facilitator to aid discussion. The meeting will not be a 

judicial or evidentiary-type public hearing, but DOE will conduct it in accordance 

with section 336 of EPCA (42 U.S.C. 6306). A court reporter will record the 

proceedings and prepare a transcript. DOE reserves the right to schedule the order of 

presentations and to establish the procedures governing the conduct of the public 

meeting. After the public meeting, interested parties may submit further comments on 

the proceedings as well as on any aspect of the rulemaking until the end of the 

comment period. 

The public meeting will be conducted in an informal conference style. DOE 

will present summaries of comments received before the public meeting, allow time 

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for presentations by participants, and encourage all interested parties to share their 

views on issues affecting this rulemaking. Each participant will be allowed to make a 

prepared general statement (within DOE-determined time limits) prior to the 

discussion of specific topics. DOE will permit other participants to comment briefly 

on any general statements. 

At the end of all prepared statements on a topic, DOE will permit participants 

to clarify their statements briefly and comment on statements made by others. 

Participants should be prepared to answer questions from DOE and other participants 

concerning these issues. DOE representatives may also ask questions of participants 

concerning other matters relevant to this rulemaking. The official conducting the 

public meeting will accept additional comments or questions from those attending, as 

time permits. The presiding official will announce any further procedural rules or 

modification of the above procedures that may be needed for the proper conduct of 

the public meeting. 

DOE will make the entire record of this proposed rulemaking, including the 

transcript from the public meeting, available for inspection at the U.S. Department of 

Energy, 6th Floor, 950 L’Enfant Plaza, SW., Washington, DC 20024, (202) 586-

2945, between 9:00 a.m. and 4:00 p.m. Monday through Friday, except Federal 

holidays. Any person may purchase a copy of the transcript from the transcribing 

reporter. 

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D. Submission of Comments

DOE will accept comments, data, and other information regarding the 

proposed rule before or after the public meeting, but no later than the date provided at 

the beginning of this NOPR. Please submit comments, data, and other information 

electronically to RCAC–HP–2009–TP–0004@ee.doe.gov. Submit electronic 

comments in WordPerfect, Microsoft Word, PDF, or text (ASCII) file format and 

avoid the use of special characters or any form of encryption. Comments in electronic 

format should be identified by the docket number EERE–2009–BT–TP–0004 and/or 

RIN number 1904–AB94 and wherever possible carry the electronic signature of the 

author. No telefacsimiles (faxes) will be accepted. 

According to 10 CFR 1004.11, any person submitting information that he or 

she believes to be confidential and exempt by law from public disclosure should 

submit two copies: one copy of the document including all the information believed 

to be confidential and one copy of the document with the information believed to be 

confidential deleted. DOE will make its own determination as to the confidential 

status of the information and treat it according to its determination. 

Factors of interest to DOE when evaluating requests to treat submitted 

information as confidential include (1) a description of the items; (2) whether and 

why such items are customarily treated as confidential within the industry; (3) 

whether the information is generally known by or available from other sources; (4) 

whether the information has previously been made available to others without 

obligation concerning its confidentiality; (5) an explanation of the competitive injury 

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to the submitting person which would result from public disclosure; (6) a date upon 

which such information might lose its confidential nature due to the passage of time; 

and (7) why disclosure of the information would be contrary to the public interest. 

E. Issues on Which DOE Seeks Comment

Although comments are welcome on all aspects of this rulemaking, DOE is 

particularly interested in receiving comments on following issues: 

1. Specific examples, including laboratory data, that address a stakeholder’s 

comment on the failure of the test procedure to capture the performance 

characteristics of an air conditioner or heat pump that uses “new inverterdriven compressor technology.” 

2. Do the proposed definitions for off mode air conditioners and off mode heat 

pumps clarify the meaning of off mode power? 

3. What is the impact of proposed lower external static pressure levels and the 

proposed language for making sure that these levels are limited to testing 

ducted multi-split systems? 

4. What is the impact of the change to the air volume rate setup tolerance? 

Information on real cases where the indoor unit was adversely affected by the 

current 5 percent tolerance would be especially helpful. 

5. What is the proposed magnitude of the test operating tolerance for the external 

static pressure relative to its ability to provide an indication of steady, 

repeatable performance? 

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6. Do manufacturers foresee obtaining a SEER-HD rating for all of their 

products? If not, what is an approximate percentage of systems that will likely 

have a SEER-HD rating? 

7. Do manufacturers foresee specifying installation instructions that would result 

in systems being configured differently for the hot-dry tests than for the 

normal SEER tests? If so, please provide examples of the likely differences in 

the setups. 

8. Will the proposed hot-dry indoor test condition of 80 °F db/64 °F wb create 

less stable or less repeatable testing because the indoor coil will likely be only 

partially wetted? DOE is particularly interested in receiving laboratory data 

that quantify the relative differences in performance from testing conducted at 

80 °F db/64 °F wb versus 80 °F db/67 °F wb. 

9. Is it necessary for DOE to develop and incorporate a regional hot-dry SEER 

rating within the test procedure? 

10. Are the proposed changes to cover systems similar to Hallowell cold-climate 

heat pumps adequate to address testing concerns for these products? 

11. Are modifications needed, within the test procedure, for the laboratory set-up 

of through-the-wall air conditioners and heat pumps? 

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For the reasons set forth in the preamble, DOE proposes to amend part 430 of chapter 

II of Title 10, Code of Federal Regulations, to read as follows: 

PART 430–ENERGY CONSERVATION PROGRAM FOR CONSUMER 

PRODUCTS 

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

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

2. Section 430.2 is amended by revising the definition of “tested combination” to read 

as follows: 

§430.2 Definitions. 

* * * * * 

Tested combination means a multi-split system with multiple indoor coils having the 

following features: 

(a) The basic model of a system used as a tested combination shall consist of one 

outdoor unit with one or more compressors matched with between two and five 

indoor units; for the multi-split system, each indoor unit shall be designed for 

individual operation. 

(b) The indoor units shall: 

(1) 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; 

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(2) Represent the highest sales volume model family [Note: another indoor model 

family may be used if five indoor units from the highest sales volume model family 

do not provide sufficient capacity to meet the 95 percent threshold level specified in 

above requirement (1)]; 

(3) 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; 

(4) Operate at fan speeds consistent with manufacturer’s specifications; and 

(5) All be subject to the same minimum external static pressure requirement (i.e., 0 in 

wc for non-ducted; see entries in the column labeled “Short Duct Systems” of Table 2 

in Appendix M to subpart B of this part for ducted indoor units) while able to produce 

the same static pressure at the exit of each outlet plenum when connected in a 

manifold configuration as per section 2.4.1 of Appendix M. 

* * * * * 

3. Section 430.3 is amended: 

a. By removing, in paragraph (b)(1), “210/240-2006” and adding in its place 

“210/240-2008.” 

b. By removing, in paragraph (e)(3), “(Reaffirmed 2001)” and adding in its place 

“(Reaffirmed 2006).” 

c. By revising paragraph (e)(7). 

 The revisions read as follows: 

§430.3 Materials incorporated by reference. 

* * * * * 

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(e) * * * 

(7) ANSI/AMCA 210-07 (ANSI/ASHRAE 51-07), Laboratory Methods of Testing 

Fans for Certified Aerodynamic Performance Rating approved August 17, 2007, IBR 

approved for Appendix M to Subpart B. 

* * * * * 

Appendix M [Amended] 

4. Appendix M to subpart B of part 430: 

(a) In section 1, Definitions by: 

1. Removing, in section 1.2, “ARI means Air-Conditioning and Refrigeration 

Institute” and adding in its place “AHRI means Air-Conditioning, Heating and 

Refrigeration Institute.” 

2. Removing, in section 1.3, “ARI” and adding in its place “AHRI” in two locations. 

3. Removing, in section 1.7, “RA 01” and adding in its place “RA 06;” and removing 

“2001” and adding in its place “2006.” 

4. Removing, in section 1.9, “RA 01” and adding in its place “RA 06;” and by 

removing “2001” and adding in its place “2006.” 

5. Adding, in section 1.10, “(RA 06)” after “41.6-00” and adding “and reaffirmed in 

2006” after “2000.” 

6. Removing, in section 1.11, “51-99” and adding in its place “51-07;” and by 

removing “1999” and adding in its place “2007” in two locations. 

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7. Redesignating sections 1.32 through 1.33 as 1.33 through 1.34 respectively; 1.34 

through 1.43 as 1.36 through 1.45 respectively; and 1.44 through 1.47 as 1.48 through 

1.51 respectively. 

8. Adding new sections 1.32, 1.35, 1.46, and 1.47. 

(b) In section 2, Testing Conditions, by: 

1. Removing, in section 2.1, “430.22” and adding in its place “430.3.” 

2. Revising, in section 2.2 paragraph a., and adding new paragraphs d, e, and f. 

3. Revising section 2.2.1. 

4. Revising section 2.2.3, and adding new sections 2.2.3.1 and 2.2.3.2. 

5. Revising section 2.2.5 and section 2.4.1 paragraph b., first sentence. 

6. Removing, in section 2.4.1d, “430.22” and adding in its place “430.3” in two 

locations. 

7. Removing, in section 2.4.2, “430.22” and adding in its place “430.3” in two 

locations. 

8. Removing, in section 2.5, “430.22” and adding in its place “430.3.” 

9. Removing, in section 2.5.3, “430.22” and adding in its place “430.3” in two 

locations. and in the second sentence by removing “-99” and adding in its place “-

07” in two locations. 

10. Removing, in section 2.5.4.2, “430.22” and adding in its place “430.3” in two 

locations and in the last sentence by removing “RA 01” and adding in its place “RA 

06.” 

11. Revising section 2.5.5a. 

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12. Removing, in section 2.5.6, third, fourth, and fifth sentences “RA 01” and adding 

in its place “RA 06,” and by removing “430.22” and adding “430.3” in its place in the 

three locations. 

13. Removing, in section 2.6, paragraph a, “-99” and adding in its place “-07” in two 

locations; and by removing “430.22” and adding in its place “430.3” in three 

locations. 

14. Removing, in section 2.6, paragraph b. “ARI Standard” and adding in its place 

“AHRI Standard” in one location; and by removing “430.22” and adding in its place 

“430.3” in three locations. 

15. Removing, in section 2.7, “ARI Standard” and adding in its place “AHRI 

Standard,” and by removing “430.22” and adding in its place “430.3.” 

16. Removing, in section 2.10.2, “430.22” and adding in its place “430.3” in two 

locations. 

17. Removing, in section 2.10.3, “430.22” and adding in its place “430.3” in two 

locations. 

18. Removing, in section 2.11, paragraph a. “430.22” and adding in its place “430.3.” 

19. Removing, in section 2.11, paragraph b “RA 01” and adding in its place “RA 06,” 

and by removing “430.22” and adding in its place “430.3.” 

20. Removing, in section 2.11, paragraph c. “RA 01” and adding in its place “RA 

06,” and by removing “430.22” and adding in its place “430.3.” 

21. Removing, in section 2.13, “430.22” and adding in its place “430.3.” 

(c) In section 3, Testing Procedures, by: 

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1. Adding three new sentences at the end of section 3.1. 

2. Removing, in section 3.1.1, “430.22” and adding in its place “430.3.” 

3. Removing, in section 3.1.3, “ARI Standard” and adding in its place “AHRI 

Standard,” and by removing “430.22” and adding in its place “430.3.” 

4. Removing “95” and adding in its place “90” in section 3.1.4.1.1 paragraph a.4b. 

5. Revising the first sentence of paragraph a.6 in section 3.1.4.1.1. 

6. Revising Table 2 in section 3.1.4.1.1. 

7. Adding new paragraphs d. and e. in section 3.1.4.1.1. 

8. Adding a new paragraph e. in section 3.1.4.2 . 

9. Revising in section 3.1.4.4.2 paragraph c. and adding new paragraphs d. and e. 

10. Removing, in section 3.1.4.4.3, paragraph 4b, “95” and adding in its place “90” 

and revising the first sentence of paragraph a.6. 

11. Adding, in section 3.1.4.5, a new paragraph f. 

12. Removing, in section 3.1.5, “430.22” and adding in its place “430.3.” 

13. Removing, in section 3.1.6, “430.22” and adding in its place “430.3.” 

14. Adding, in section 3.2.1 following Table 3 footnotes, undesignated text, a new 

Table 3a and additional undesignated text. . 

15. Revising sections 3.2.2, 3.2.2.1, and 3.2.2.2. 

16. Revising section 3.2.3introductory sentence and paragraph c., and adding a new 

paragraph e. 

17. Adding a new paragraph d. in section 3.2.4, and adding new sections 3.2.5 and 

3.2.6. 

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18. Revising section 3.3, paragraphs b. and c., and redesignating the second 

paragraph d. as paragraph e. 

19. Removing “0.05” in section 3.3 Table 7 column “Test Operating Tolerance,” and 

adding in its place “0.12.” 

20. Removing “2.0” in section 3.3 Table 7 row “Nozzle pressure drop, % of rdg”, and 

adding in its place “8.0.” 

21. Removing “See Definition 1.41” in section 3.3 Table 7 footnote (1), and adding in 

its place “See Definition 1.43.” 

22. Removing “See Definition 1.40” in section 3.3 Table 7 footnote (2), and adding in 

its place “See Definition 1.42.” 

23. Redesignating paragraph b. as c. in section 3.4, and adding a new paragraph b. 

24. Removing “0.05” in section 3.3 Table 8 column “Test Operating Tolerance,” and 

adding in its place “0.12.” 

25. Removing “2.0” in section 3.3 Table 8 row “Airflow nozzle pressure difference or 

velocity pressure3

, % of reading”, and adding in its place “8.0.” 

26. Removing “See Definition 1.41” in section 3.3 Table 8 footnote (1), and adding in 

its place “See Definition 1.43.” 

27. Removing “See Definition 1.40” in section 3.3 Table 8 footnote (2), and adding in 

its place “See Definition 1.42.” 

28. Revising, in section 3.5, the text following equation (3.5-1) in paragraph i.. 

29. Revising, in section 3.6.2, the first sentence of the first paragraph, Table 10 

heading, and adding text following Table 10 footnotes. 

30. Adding in section 3.6.3paragraph a., 2 sentences at the end of the paragraph. 

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31. Removing, in section 3.6.4, paragraph a last sentence and two unnumbered 

equations, revising paragraphs b and c, and adding new paragraph d. 

32. Adding new sections 3.6.6 and 3.6.7. 

33. Revising, in section 3.7, paragraph a., the first sentence of paragraphs b. and d., 

and adding a new paragraph e. 

34. Revising the introductory sentence in section 3.8 and paragraph a. 

35. Removing, in section 3.8.1, “430.22” and adding in its place “430.3”, and revising 

Table 14. 

36. Adding “H23” between “H2” and “H22.” in section 3.9 introductory sentence, 

revising the last sentence of paragraph e, and by removing “430.22” and adding in its 

place “430.3” in paragraph f. 

37. Removing, in section 3.9c. “(see Definition 1.42)” from the third sentence and 

adding in its place “(see Definition 1.44).” 

38. Removing “0.05” in section 3.9f Table 15 column “Test Operating Tolerance,” 

and adding in its place “0.12.” 

39. Removing “2.0” in section 3.9f Table 15 row “External resistance to airflow, 

inches of water”, and adding in its place “8.0.” 

40. Removing “See Definition 1.41” in section 3.9f. Table 15 footnote (1), and adding 

in its place “See Definition 1.43.” 

41. Removing “See Definition 1.40” in section 3.9f. Table 15 footnote (2), and adding 

in its place “See Definition 1.42.” 

42. Removing, in section 3.9.1a., “430.22” and adding in its place “430.3.” 

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43. Revising section 3.9.2 paragraph a., section 3.10, section 3.11.1.1 paragraph a., 

and 3.11.1.3 paragraph a. 

44. Removing, in section 3.11.1.3, paragraph b., “430.22” and adding in its place 

“430.3” in three locations. 

45. Revising, in section 3.11.2, paragraph a. 

46. Removing, in section 3.11.2, paragraph b., “430.22” and adding in its place 

“430.3.” 

47. Removing, in section 3.11.3, “430.22” and adding in its place “430.3.” 

48. Adding new sections 3.13, 3.13.1, 3.13.2, 3.13.2.1, 3.13.2.2, 3.13.3, 3.13.3.1, 

3.13.3.2, 3.13.3.3, 3.13.3.4, 3.13.3.5, 3.13.4, 3.13.4.1, 3.13.4.2, 3.13.4.3, 3.13.4.4.1, 

3.13.4.4.2, 3.13.4.4.3, 3.13.4.4.4, 3.13.4.4.5, 3.13.4.4.6, 3.13.4.4.7, 3.13.4.4.8, 

3.13.4.5, 3.13.4.6, 3.13.5, 3.13.5.1, 3.13.5.2, 3.13.5.33.13.5.4, 3.13.5.4.1, 3.13.5.4.2, 

3.13.5.43, 3.13.5.4.4, 3.13.5.4.5, 3.13.5.5, 3.13.5.5.1, 3.13.5.5.2, 3.13.5.5.3, 3.13.5.6, 

and 3.13.5.7. 

(d) In section 4, Calculations of Seasonal Performance Descriptors, by: 

1. Revising, in section 4.1, the introductory text before equation (4.1-2), and the text 

following equation (4.1-2). 

2. Revising section 4.1.1. 

3. Adding, in section 4.1.3, at the end of the first sentence “, including triple-capacity 

northern heat pumps”. 

4. Revising, in section 4.1.4.2, the definitions of T1 and T2 following equation for 

calculating B. 

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5. Adding new sections 4.1.5, 4.1.5.1, 4.1.5.2, 4.1.6, 4.1.6.1, 4.1.6.2, 4.1.6.2.1, 

4.1.6.2.2, 4.1.6.3, and 4.1.6.4. 

6. Adding, in section 4.2, item 4 in the numbered list following the equation for 

DHRmax, and revising the sentence preceding Table 18. 

7. Revising, in section 4.2.4.2, the definition of T4 following the equation for A. 

8. Adding new sections 4.2.6, 4.2.6.1, 4.2.6.2, 4.2.6.3, 4.2.6.4, 4.2.6.5, 4.2.6.6, 

4.2.6.7, 4.2.6.8, 4.2.7, 4.2.7.1, 4.2.7.2, 4.2.8, 4.2.8.1, 4.2.8.1.1, 4.2.8.1.2, 4.2.8.1.3, 

4.2.8.2, 4.2.8.2.1, 4.2.8.2.2, 4.2.8.3, 4.2.8.3.1, and 4.2.8.3.2. 

9. Revising, in section 4.3.1, the equation which immediately follows the introductory 

text, and adding new text at the end of the last sentence. 

10. Revising sections 4.3.2 and 4.4, and adding a new section 4.5. 

The additions and revisions read as follows: 

APPENDIX M TO SUBPART B OF PART 430 – UNIFORM TEST METHOD 

FOR MEASURING THE ENERGY CONSUMPTION OF CENTRAL AIR 

CONDITIONERS AND HEAT PUMPS 

* * * * * 

1. Definitions 

* * * * * 

1.32 Off mode means: 

 (1) For air conditioners, all times during the non-cooling season of an air 

conditioner. This mode includes the “shoulder seasons” between the 

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cooling and heating seasons when the unit provides no cooling to the 

building and the entire heating season, when the unit is idle. The air 

conditioner is assumed to be connected to its main power source at all 

times during the off mode,; and 

 (2) For heat pumps, all times during the non-cooling and non-heating seasons 

of a heat pump. This mode includes the “shoulder seasons” between the 

cooling and heating seasons when the unit provides neither heating nor 

cooling to the building. The heat pump is assumed to be connected to its 

main power source at all times during the off mode. 

* * * * * 

1.35 Seasonal Energy Efficiency Ratio – Hot Dry (SEER-HD) means the total heat 

removed from the conditioned space during the annual cooling season for the 

designated hot-dry climatic region, expressed in Btus, divided by the total electrical 

energy consumed by the air conditioner or heat pump during the same season, 

expressed in watt-hours. Calculate SEER-HD as specified in section 4.1.6 of this 

Appendix. 

* * * * * 

1.46 Triple-capacity (or triple-stage) compressor means an air conditioner or heat 

pump with one of the following: 

(1) A three-speed compressor, 

(2) Two compressors where one is a two-capacity compressor – as defined in 

section 1.45 – and one is a single-speed compressor where the twoEERE-2009-BT-TP-0004 1.1.001
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capacity compressor operates at both low and high capacity with the 

single-speed compressor turned off and then operates exclusively at high 

capacity when the single speed compressor is turned on, or 

(3) A compressor capable of cylinder or scroll unloading to provide a total of 

three levels of compressor capacity. 

 For such systems, low capacity means: 

(1) Operating at the low compressor speed, 

(2) Operating the two-capacity compressor at low capacity with the singlespeed compressor turned off, and 

(3) Operating with the compressor fully unloaded. 

 For such systems, high capacity means: 

(1) Operating at the high compressor speed, 

(2) Operating the two-capacity compressor at high capacity with the singlespeed compressor turned off, and 

(3) Operating with the compressor partially unloaded. 

For such systems, booster capacity means: 

(1) Operating at the booster compressor speed, 

(2) Operating the two-capacity compressor at high capacity with the singlespeed compressor turned on, and 

(3) Operating the compressor fully loaded. 

1.47 Triple-capacity northern heat pump means a heat pump that provides two 

stages of cooling and three stages of heating. The two common stages for both the 

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cooling and heating modes are the low capacity stage and the high capacity stage. The 

additional heating mode stage is called the booster capacity stage. Of the three 

heating mode stages, the booster capacity stage offers the highest heating capacity 

output for a given set of ambient operating conditions. 

* * * * * 

2. Testing Conditions 

* * * * * 

2.2 Test unit installation requirements. 

a. Except as noted in this appendix, install the unit according to section 8.2 of 

ASHRAE Standard 37–2005 (incorporated by reference, see §430.3) where 

references to “manufacturer’s installation instructions” shall mean the installation 

instructions that come packaged with the unit. If the particular model of air 

conditioner or heat pump is not yet in production, the installation instructions used 

must be written and saved until they are confirmed as being consistent with the 

instructions that are thereafter packaged with the full production model. With respect 

to interconnecting tubing used when testing split systems, follow the requirements in 

section 6.1.3.5 of AHRI Standard 210/240–2008 (incorporated by reference, see 

§430.3). When testing triple-split systems (see Definition 1.48), use the tubing length 

specified in section 6.1.3.5 of AHRI Standard 210/240-2008 (incorporated by 

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reference, see §430.3) to connect the outdoor coil, indoor compressor section, and 

indoor coil while still meeting the requirement of exposing 10 feet of the tubing to 

outside conditions. When testing split systems having multiple indoor coils, connect 

each indoor fan-coil to the outdoor unit using 25 feet of tubing or manufacturerfurnished tubing, whichever is longer. If needed to make a secondary measurement of 

capacity, install refrigerant pressure measuring instruments as described in section 

8.2.5 of ASHRAE Standard 37-2005 (incorporated by reference, see §430.3). Refer to 

section 2.10 of this Appendix to learn which secondary methods require refrigerant 

pressure measurements. At a minimum, insulate the low-pressure line(s) of a split 

system with insulation having an inside diameter that matches the refrigerant tubing 

and a nominal thickness of 0.5 inch. 

* * * * * 

d. When testing coil-only air conditioners and heat pumps, install a nominal 

24-V transformer to power the low-voltage components of the system. The 

transformer must have a load rating of either 40 or 50 V-amps and must be designed 

to operate with a primary input that is 230 V, single phase, 60 Hz. The transformer 

may be powered from the same source as supplies power to the outdoor unit or 

powered by a separate 230-V source. The power consumption of the added lowvoltage transformer must be measured as part of the total system power consumption 

during all tests. 

e. If the manufacturer’s installation instructions include steps that apply to a 

hot-dry climate different from the steps that apply for a mixed climate, apply these 

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differing installation steps in advance of conducting the laboratory tests that apply for 

the respective climates. 

f. For third-party testing conducted to meet DOE certification requirements, 

the working relationship between the test laboratory and the manufacturer shall not be 

restricted as long as the test unit installation and laboratory testing are conducted in 

complete compliance with the procedures specified in this appendix. 

* * * * * 

 2.2.1 Defrost control settings. Set heat pump defrost controls at the normal 

settings which most typify those encountered in generalized climactic region IV. 

(Refer to Figure 2 and Table 17 of section 4.2 for information on region IV.) For heat 

pumps that use a time-adaptive defrost control system (see Definition 1.44), the 

manufacturer must specify the frosting interval to be used during the Frost 

Accumulation tests and provide the procedure for manually initiating the defrost at 

the specified time. To ease testing of any unit, the manufacturer should provide 

information and any necessary hardware to manually initiate a defrost cycle. 

* * * * * 

2.2.3 Special requirements for systems that would normally operate using two 

or more indoor thermostats, including multi-split air conditioners and heat pumps, 

systems composed of multiple mini-split units (outdoor units located side-by-side), 

and ducted systems using a single indoor section containing multiple blowers. 

Because these types of systems will have more than one indoor fan and possibly 

multiple outdoor fans and compressor systems, references in this test procedure to a 

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single indoor fan, outdoor fan, and compressor mean all indoor fans, all outdoor fans, 

and all compressor systems turned on during the test. 

2.2.3.1 Additional requirements for multi-split air conditioners and heat 

pumps and systems composed of multiple mini-split units. For any test where the 

system is operated at part load (i.e., one or more compressors “off,” operating at the 

intermediate or minimum compressor speed or at low compressor capacity), the 

manufacturer shall designate the particular indoor coils that are turned off during the 

test. For variable-speed systems, the manufacturer must designate at least one indoor 

unit that is turned off for all tests conducted at minimum compressor speed. For all 

other part-load tests, the manufacturer shall choose to turn off zero, one, two, or more 

indoor units. The chosen configuration shall remain unchanged for all tests conducted 

at the same compressor speed/capacity. For any indoor coil turned off during a test, 

take steps to cease forced airflow through this indoor coil and block its outlet duct. 

2.2.3.2 Additional requirements for ducted systems with a single indoor 

section containing multiple blowers where the blowers are designed to cycle on and 

off independently of one another and are not controlled such that all blowers are 

modulated to always operate at the same air volume rate or speed. This Appendix 

covers systems with a single-speed compressor or systems offering two fixed stages 

of compressor capacity (e.g., a two-speed compressor, two single-speed 

compressors). For any test where the system is operated at its lowest capacity—i.e., 

the lowest total air volume rate allowed when operating the single-speed compressor 

or when operating at low compressor capacity—blowers accounting for at least oneEERE-2009-BT-TP-0004 1.1.001
123

third of the full-load air volume rate must be turned off unless prevented by the 

controls of the unit. In such cases, turn off as many blowers as permitted by the unit’s 

controls. Where more than one option exists for meeting this “off” blower 

requirement, the manufacturer shall choose which blower(s) are turned off. The 

chosen configuration shall remain unchanged for all tests conducted at the same 

lowest capacity configuration. For any indoor coil turned off during a test, take steps 

to cease forced airflow through any outlet duct connected to an “off” blower. 

* * * * * 

2.2.5 Additional refrigerant charging requirements. The test unit shall be 

charged in accordance with both the following instructions and the manufacturer’s 

installation instructions described in section 2.2. 

If the manufacturer’s installation instructions specify as part of a standard 

installation and/or commissioning practice to either alter or check the refrigerant 

charge while the unit is operating, the testing laboratory shall do so in conjunction 

with establishing the cooling full-load air volume rate (see section 3.1.4.1) and 

operating entering air conditions specified in the A (or A2) Test. For heating-only heat 

pumps, this refrigerant charge evaluation and potential adjustment step shall be done 

in conjunction with establishing the heating full-load air volume rate (see section 

3.1.4.4) and operating entering air conditions specified for the H1 (or H12) Test. For 

the entering db and wb air temperature conditions noted above, determine from the 

EERE-2009-BT-TP-0004 1.1.001
124

manufacturer’s installation instructions the target value(s) for the system’s 

measurable operating parameter(s)—e.g., suction superheat temperature, liquid line 

subcooling temperature, refrigerant suction pressure, etc. If the manufacturer’s 

installation instructions list a range for a particular parameter, use the midpoint value 

as the target value. The testing laboratory shall add or subtract the correct amount of 

refrigerant to achieve as closely as possible the target value(s). 

If a unit requires charging but the manufacturer’s installation instructions do 

not specify a charging procedure, then evacuate the unit and add the nameplate 

refrigerant charge. Where the manufacturer’s installation instructions contain two or 

more sets of refrigerant charging criteria, use the set most appropriate for a normal 

field installation. 

Once the test unit has been properly charged with refrigerant, all cooling 

mode and, if a heat pump, all heating mode-laboratory tests shall be conducted, and 

the testing laboratory shall not add or subtract any more refrigerant to or from the test 

unit. 

* * * * * 

2.4.1 * * * 

* * * * * 

b. For systems having multiple indoor coils or multiple indoor blowers within 

a single indoor section, attach a plenum to each indoor coil or blower outlet. *** 

EERE-2009-BT-TP-0004 1.1.001
125

* * * * * 

2.5.5* * * 

a. Measure dry bulb temperatures as specified in sections 4, 5, 6.1-6.10, 9, 10, 

and 11 of ASHRAE Standard 41.1-86 (RA 06) (incorporated by reference, see 

§430.3). The transient testing requirements cited in section 4.3 of ASHRAE Standard 

41.1-86 (RA 06) apply if conducting a cyclic or frost accumulation test. If the 

temperature sensors used to measure the indoor-side dry bulb temperature difference 

are different for steady-state tests and cyclic tests; in addition, the two sets of 

instrumentation must be correlated as described in section 3.4 for cooling mode tests 

and section 3.8 for heating mode tests. 

* * * * * 

3. Testing Procedures 

3.1 * * *Use the testing procedures in this section to collect the data used for 

calculating (1) the seasonal performance ratings for air conditioners and heat pumps 

during the cooling season; (2) the seasonal performance ratings for heat pumps during 

the heating season; and (3) the seasonal off-mode power consumption rating(s) for air 

conditioners and heat pumps during the parts of the year not captured by the cooling 

and heating seasonal performance descriptors. For air conditioners, the non-cooling 

EERE-2009-BT-TP-0004 1.1.001
126

seasons are the heating season and the shoulder seasons that separate the cooling and 

heating seasons. For heat pumps, the collective shoulder season is the only time of the 

year where a seasonal off-mode power consumption rating applies. 

* * * * * 

3.1.4.1.1 * * * 

a. * * * 

* * * * * 

6. If the conditions of step 4b occur first, make an incremental change to the 

set-up of the indoor fan that increases air volume rate while maintaining the same 

operating features (e.g., next highest fan motor pin setting that maintains the same fan 

delay interval, next highest fan motor speed) and repeat the evaluation process 

beginning with the above step 1. * * * 

* * * * * 

Table 2 -- Minimum External Static Pressure for Ducted Systems Tested With 

an Indoor Fan Installed 

Rated Cooling 1 or 

Heating 2 Capacity

Btu/h

Minimum external resistance 3

in wc

SDHV 4,5 Multi-split systems All other systems 

<28,800 1.10 0.03 0.10

29,000–42,500 1.15 0.05 0.15

>43,000 1.20 0.07 0.20 1

 For air conditioners and heat pumps, the value cited by the manufacturer in published 

literature for the unit’s capacity when operated at the A or A2 Test conditions. 2

 For heating-only heat pumps, the value the manufacturer cites in published literature for 

the unit’s capacity when operated at the H1 or H12 Test conditions. 

EERE-2009-BT-TP-0004 1.1.001
127

3

 For ducted units tested without an air filter installed, increase the applicable tabular value 

by 0.08 inch of water. 

4

 See Definition 1.37 to determine if the equipment qualifies as a small-duct, high-velocity 

system. 

5

 If a closed-loop, air-enthalpy test apparatus is used on the indoor side, limit the 

resistance to airflow on the inlet side of the indoor blower coil to a maximum value of 0.1 

inch of water. Impose the balance of the airflow resistance on the outlet side of the indoor 

blower. 

d. For systems having multiple blower coil indoor units, conduct the above 

section 3.1.4.1.1 setup steps for each indoor unit separately. If two or more indoor 

units are connected to a common duct as per section 2.4.1, either turn off the other 

indoor units connected to the same common duct or temporarily divert their air 

volume to the test room when confirming or adjusting the setup configuration of 

individual indoor units. If the indoor units are all the same size or model, the target air 

volume rate for each indoor unit equals the full-load air volume rate divided by the 

number of indoor units. If different size indoor units are used, the manufacturer must 

allocate the system’s full-load air volume rate assigned to each indoor unit during this 

set-up phase. 

e. For ducted systems having multiple indoor blowers within a single indoor 

section, obtain the full-load air volume rate with all blowers operating unless 

prevented by the controls of the unit. In such cases, turn on the maximum number of 

blowers permitted by the unit’s controls. Where more than one option exists for 

meeting this “on” blower requirement, the manufacturer shall choose which blower(s) 

are turned on. Conduct section 3.1.4.1.1 setup steps for each blower separately. If two 

or more indoor blowers are connected to a common duct as per section 2.4.1, either 

turn off the other indoor blowers connected to the same common duct or temporarily 

divert their air volume to the test room when confirming or adjusting the setup 

EERE-2009-BT-TP-0004 1.1.001
128

configuration of individual blowers. If the indoor blowers are all the same size or 

model, the target air volume rate for each blower plenum equals the full-load air 

volume rate divided by the number of “on” blowers. If different size blowers are used 

within the indoor section, the manufacturer must allocate the system’s full-load air 

volume rate assigned to each “on” blower. 

* * * * * 

3.1.4.2 * * * 

* * * * * 

e. For ducted systems having multiple indoor blowers within a single indoor 

section, operate the indoor blowers such that the lowest air volume rate allowed by 

the unit’s controls is obtained when operating the lone single-speed compressor or 

when operating at low compressor capacity while meeting the requirements of section 

2.2.3.2 for the minimum number of blowers that must be turned off. The air volume 

rate for each “on” blower must then be determined using the first section 3.1.4.2 

equation if the blower operates at fixed fan speeds or must be specified by the 

manufacturer if the blower is designed to provide a constant air volume rate. The sum 

of the individual “on” blowers’ air volume rates is the cooling minimum air volume 

rate for the system. 

* * * * * 

3.1.4.4.2 * * * 

EERE-2009-BT-TP-0004 1.1.001
129

* * * * * 

c. When testing ducted, two-capacity northern heat pumps (see Definition 

1.50), use the appropriate approach of the above two cases for units that are installed 

with an indoor fan installed. For coil-only (fanless) northern heat pumps, the Heating 

Full-Load Air Volume Rate is the lesser of the rate specified by the manufacturer or 

133 percent of the Cooling Full-Load Air Volume Rate. For this latter case, obtain the 

Heating Full-Load Air Volume Rate regardless of the pressure drop across the indoor 

coil assembly. 

d. For systems having multiple indoor blower coil units where individual 

blowers regulate the speed (as opposed to the cfm) of the indoor fan, use the first 

section 3.1.4.4.2 equation for each blower coil individually. Sum the individual 

blower coil air volume rates to obtain the heating full-load air volume rate for the 

system. 

e. For ducted systems having multiple indoor blowers within a single indoor 

section, obtain the heating full-load air volume rate using the same “on” blowers as 

used for the cooling full-load air volume rate. For systems where individual blowers 

regulate the speed (as opposed to the cfm) of the indoor fan, use the first section 

3.1.4.4.2 equation for each blower individually. Sum the individual blower air volume 

rates to obtain the heating full-load air volume rate for the system. 

* * * * * 

EERE-2009-BT-TP-0004 1.1.001
130

3.1.4.4.3 * * * 

a. * * * 

6. If the conditions of step 4b occur first, make an incremental change to the 

set-up of the indoor fan that increases air volume rate while maintaining the same 

operating features (e.g., next highest fan motor pin setting that maintains the same fan 

delay interval, next highest fan motor speed) and repeat the evaluation process 

beginning with the above step 1. * * * 

* * * * * 

3.1.4.5 * * * 

* * * * * 

f. For ducted systems with multiple indoor blowers within a single indoor 

section, obtain the heating minimum air volume rate using the same “on” blowers as 

used for the cooling minimum air volume rate. For systems where individual blowers 

regulate the speed (as opposed to the cfm) of the indoor fan, use the first section 

3.1.4.5 equation for each blower individually. Sum the individual blower air volume 

rates to obtain the heating minimum air volume rate for the system. 

* * * * * 

3.2.1 * * * 

* * * * * 

EERE-2009-BT-TP-0004 1.1.001
131

In order to evaluate the cooling season performance of the test unit when 

applied in a hot-dry climate, conduct one steady-state test, the AD Test. Conducting 

an additional steady-state, dry climate test (the BD Test) is optional. Test conditions 

for the two dry climate tests are specified in Table 3a. 

Table 3a -- Dry Climate Cooling Mode Test Conditions for Units Having a 

Single-Speed Compressor and a Fixed-Speed Indoor Fan, a Constant Air 

Volume Rate Indoor Fan, or No Indoor Fan 

Test Description Air Entering 

Indoor Unit 

Temperature 

°F

Air Entering 

Outdoor Unit 

Temperature 

°F

Dry Climate 

Air Volume Rate 

Dry 

Bulb 

Wet 

Bulb 

Dry 

Bulb 

Wet 

Bulb1

AD Test–required (steady) 80 64 95 75 Dry-Climate Full-Load 

BD Test–optional (steady) 80 64 82 65 Dry-Climate Full-Load 1

The specified test condition only applies if the unit rejects condensate to the outdoor coil. 

As an alternative to conducting the optional BD Test, use the following 

equations to approximate the capacity and electrical power of the test unit at the BD

test conditions: 

)95()82( ( −×+= 9582 ) QHD QHD MDQ &&

)95()82( ( −×+= 9582 ) EHD EHD MDE &&

Where: 

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×=

)95(

)95(

8295

)82()95( 95.0

c

c c HD

Q Q

QQ Q MD &

&& &

EERE-2009-BT-TP-0004 1.1.001
132

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×=

)95(

)95(

8295

)82()95( 95.0

c

c c HD

E E

EE E MD &

&& &

In evaluating the above equations, determine the quantities )95( QHD

& and 

)95( EHD

& from the AD Test. Determine the quantities )82( Qc

& and )82( Ec

& from the B

Test and the quantities )95( Qc

& and )95( Ec

& from the A Test. Evaluate all six 

quantities according to section 3.3. If the manufacturer conducts the BD Test, the 

option of using the above default equations is not forfeited. Use the paired values of 

)82( QHD

& and )82( EHD

& derived from conducting the BD Test and evaluated as 

specified in section 3.3 or use the paired values calculated using the above default 

equations, whichever contribute to a higher SEER-HD. 

Determine and obtain the dry-climate full-load air volume rate used for the 

AD and BD Tests as specified in section 3.1.4.1 for the cooling full-load air volume 

rate, only now replacing references to the A Test and cooling full-load with 

references to the AD Test and the dry-climate full load. 

3.2.2 Tests for a unit with a single-speed compressor where the indoor section 

uses a single variable-speed variable-air-volume rate indoor fan or multiple blowers. 

EERE-2009-BT-TP-0004 1.1.001
133

3.2.2.1 Indoor fan capacity modulation that correlates with outdoor dry-bulb 

temperature or systems with a single indoor coil but multiple blowers. Conduct four 

steady-state wet-coil tests: the A2, A1, B2, and B1 Tests. Use the two optional dry-coil 

tests, the steady-state C1 Test and the cyclic D1 Test to determine the cooling mode 

cyclic-degradation coefficient, c CD . If the two optional tests are conducted but yield a 

tested c CD that exceeds the default c CD or if the two optional tests are not conducted, 

assign c CD the default value of 0.25. Table 4 specifies test conditions for these six 

tests. 

Table 4. Cooling Mode Test Conditions for Air Conditioners and Heat Pumps 

With a Single-Speed Compressor that Meet the Section 3.2.2.1 Indoor Unit 

Requirements 

Test Description Air Entering 

Indoor Unit 

Temperature 

°F

Air Entering 

Outdoor Unit 

Temperature 

°F

Cooling Air 

Volume Rate 

Dry 

Bulb 

Wet 

Bulb 

Dry 

Bulb 

Wet 

Bulb 

A2 Test—required (steady, wet coil) 80 67 95 751 Cooling Full-Load2

A1 Test—required (steady, wet coil) 80 67 95 751 Cooling Minimum3

B2 Test—required (steady, wet coil) 80 67 82 651 Cooling Full-Load2

B1 Test—required (steady, wet coil) 80 67 82 651 Cooling Minimum3

C1 Test4—optional (steady, dry coil) 80 4 82 -- Cooling Minimum3

D1 Test4—optional (cyclic, dry coil) 80 4 82 -- 5

1

The specified test condition only applies if the unit rejects condensate to the outdoor coil. 2 Defined in section 3.1.4.1. 

3 Defined in section 3.1.4.2. 

4

The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is 

recommended that an indoor wet-bulb temperature of 57 °F or less be used.) 

5 Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the 

same pressure difference or velocity pressure as measured during the C1 Test. 

In order to evaluate the cooling season performance of the test unit when 

applied in a hot-dry climate, conduct two steady-state tests (the AD2 and the AD1). 

Two additional steady-state, hot-dry-climate tests (the BD2 Test and the BD1 Test) are 

EERE-2009-BT-TP-0004 1.1.001
134

optional. Test conditions for the four dry climate tests are specified in Table 4a. As an 

alternative to conducting the optional BD2 and BD1 Tests, use the following equations 

to approximate the capacity and electrical power of the test unit at the BD2 (k=2) and 

BD1 (k=1) test conditions: 

)95()82( ( −×+= 9582 ) k

Q

k

HD

k QHD Q&& MD

)95()82( ( −×+= 9582 ) k

E

k

HD

k EHD E&& MD

Where: 

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×=

)95(

)95(

8295

)82()95( 95.0 k

c

k

HD

k

c

k

k c

Q Q

QQ Q MD &

&& &

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×=

)95(

)95(

8295

)82()95( 95.0 k

c

k

HD

k

c

k

k c

E E

EE E MD &

&& &

In evaluating the above equations for k=2 (dry-climate full-load air volume 

rate) and k=1 (dry-climate minimum air volume rate), determine the quantities 

)95( k =2 QHD

& and )95( k=2 EHD

& from the AD2 Test and the quantities )95( k =1 QHD

& and )95( k =1 EHD

&

from the AD1 Test. Determine the quantities )95( k =2 Qc

& and )95( k =2 EC

& from the A2

Test, the quantities )95( k =1 Qc

& and )95( k =1 Ec

& from the A1 Test, the quantities )82( k =2 Qc

&

and )82( k =2 EC

& from the B2 Test, and the quantities )82( k =1 Qc

& and )82( k =1 Ec

& from the 

B1 Test. Evaluate all 12 quantities according to section 3.3. If the manufacturer 

conducts either or both the BD2 and BD1 Tests, the option of using the above default 

EERE-2009-BT-TP-0004 1.1.001
135

equations is not forfeited. Use the paired values of )82( k =2 QHD

& and )82( k=2 EHD

& derived 

from conducting the BD2 Test and evaluated as specified in section 3.3 or use the 

paired values calculated using the above default equations, whichever contribute to a 

higher SEER-HD. Similarly, use the paired values of )82( k =1 QHD

& and )82( k =1 EHD

& derived 

from conducting the BD1 Test and evaluated as specified in section 3.3 or use the 

paired values calculated using the above default equations, whichever contribute to a 

higher SEER-HD. 

Determine and obtain the dry-climate full-load air volume rate used for the 

AD2 and BD2 Tests as specified in section 3.1.4.1 for the cooling full-load air volume 

rate, only now replacing references to the A2 Test and cooling full-load with 

references to the AD2 Test and the dry-climate full-load. Similarly, determine and 

obtain the dry-climate minimum air volume rate used for the AD1 and BD1 Tests 

specified in section 3.1.4.2 for the cooling minimum air volume rate, only now 

replacing references to the A1 Test, B1 Test, A2 Test, B2 Test, cooling full-load, 

cooling minimum, and 2 ΔP ,Ast with references to the AD1 Test, BD1 Test, AD2 Test, 

BD2 Test, dry-climate full-load, dry-climate minimum, and 2 ΔP ,ADst , respectively. 

Table 4a. Dry Climate Cooling Mode Test Conditions for Air Conditioners and 

Heat Pumps with a Single-Speed Compressor that Meets the Section 3.2.2.1 

Indoor Unit Requirements 

Test Description Air Entering 

Indoor Unit 

Temperature 

°F

Air Entering 

Outdoor Unit 

Temperature 

°F

Dry Climate 

Air Volume Rate 

Dry 

Bulb 

Wet 

Bulb 

Dry 

Bulb 

Wet 

Bulb1

AD2 Test–required (steady) 80 64 95 75 Dry-Climate Full-Load 

AD1 Test–required (steady) 80 64 95 75 Dry-Climate Minimum 

EERE-2009-BT-TP-0004 1.1.001
136

BD2 Test–optional (steady) 80 64 82 65 Dry-Climate Full-Load 

BD1 Test–optional (steady) 80 64 82 65 Dry-Climate Minimum 1

The specified test condition only applies if the unit rejects condensate to the outdoor coil. 

 3.2.2.2 Indoor fan capacity modulation based on adjusting the sensible to total 

(S/T) cooling capacity ratio. The testing requirements are the same as specified in 

section 3.2.1 and Table 3. Use a cooling full-load air volume rate that represents a 

normal residential installation. If performed, conduct the steady-state C Test and the 

cyclic D Test with the unit operating in the same S/T capacity control mode as used 

for the B Test. 

3.2.3 Tests for a unit having a two-capacity compressor (see Definition 1.49). *** 

* * * * * 

 c. Test two-capacity, northern heat pumps (see Definition 1.50) in the same 

way as a single speed heat pump with the unit operating exclusively at low 

compressor capacity (see section 3.2.1 and Table 3). 

* * * * * 

e. In order to evaluate the cooling season performance of the test unit when 

applied in a hot-dry climate, conduct two steady-state tests, the AD2 and the BD1. 

Conducting two additional steady-state, dry-climate tests (the BD2 and the FD1) are 

optional. Test conditions for the four dry climate tests are specified in Table 5a. As an 

alternative to conducting the optional BD2 Test, use the following equations to 

approximate the capacity and electrical power of the test unit at the BD2 test 

conditions: 

EERE-2009-BT-TP-0004 1.1.001
137

)95()82( ( 9582 ) 2 2 2 = −×+ = = k =

Q

k

HD

k Q&

HD Q& MD

)95()82( ( 9582 ) 2 2 2 = −×+ = = k =

E

k

HD

k E&

HD E& MD

Where: 

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×= =

= = =

=

)95(

)95(

8295

)82()95( 95.0 2

2 2 2

2

k

c

k

HD

k

c

k

k c

Q Q

Q Q Q MD &

&& &

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×= =

= = =

=

)95(

)95(

8295

)82()95( 95.0 2

2 2 2

2

k

c

k

HD

k

c

k

k c

E E

E E E MD &

&& &

In evaluating the above equations, determine the quantities )95( k =2 QHD

& and 

)95( k=2 EHD

& from the AD2 Test. Determine the quantities )95( k =2 Qc

& and )95( k =2 EC

& from 

the A2 Test and the quantities )82( k =2 Qc

& and )82( k =2 Ec

& from the B2 Test. Evaluate all 

six quantities according to section 3.3. If the manufacturer conducts the BD2 Test, the 

option of using the above default equations is not forfeited. Use the paired values of 

)82( k =2 QHD

& and )82( k=2 EHD

& derived from conducting the BD2 Test and evaluated as 

specified in section 3.3 or use the paired values calculated using the above default 

equations, whichever paired values contribute to a higher SEER-HD. 

As an alternative to conducting the optional FD1 Test, use the following 

equations to approximate the capacity and electrical power of the test unit at the FD1

Test conditions: 

)82()67( ( 8267 ) 1 1 1 = −×+ = = k=

Q

k

HD

k QHD Q&& MD

EERE-2009-BT-TP-0004 1.1.001
138

)82()67( ( 8267 ) 1 1 1 = −×+ = = k=

E

k

HD

k EHD E&& MD

Where: 

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×= =

= = =

=

)82(

)82(

6782

)67()82( 95.0 1

1 1 1

1

k

c

k

HD

k

c

k

k c

Q Q

Q Q Q MD &

&& &

⎥

⎦

⎤ ⎢

⎣

⎡ ⎥ ×

⎦

⎤ ⎢

⎣

⎡

−

− ×= =

= = =

=

)82(

)82(

6782

)67()82( 95.0 1

1 1 1

1

k

c

k

HD

k

c

k

k c

E E

EE E MD &

&& &

In evaluating the above equations, determine the quantities )82( k =1 QHD

& and 

)82( k =1 EHD

& from the BD1 Test. Determine the quantities )82( k =1 Qc

& and )82( k =1 EC

& from 

the B1 Test and the quantities )67( k =1 Qc

& and )67( k =1 Ec

& from the F1 Test. Evaluate all 

six quantities according to section 3.3. If the manufacturer conducts the FD1 Test, the 

option of using the above default equations is not forfeited. Use the paired values of 

)67( k =1 QHD

& and )67( k =1 EHD

& derived from conducting the FD1 Test and evaluated as 

specified in section 3.3 or use the paired values calculated using the above default 

equations, whichever contribute to a higher SEER-HD. 

Determine and obtain the dry-climate full-load air volume rate used for the 

AD2 and BD2 Tests as specified in section 3.1.4.1 for the cooling full-load air volume 

rate, only now replacing references to the A2 Test and cooling full-load with 

references to the AD2 Test and the dry-climate full-load. Similarly, determine and 

obtain the dry-climate minimum air volume rate used for the BD1 and FD1 Tests as 

specified in section 3.1.4.2 for the cooling minimum air volume rate, only now 

EERE-2009-BT-TP-0004 1.1.001
139

replacing references to the B1 Test, F1 Test, A2 Test, cooling full load, cooling 

minimum, and 2 ΔP ,Ast with references to the BD1 Test, FD1 Test, AD2 Test, dryclimate full-load, dry-climate minimum, and 2 ΔP ,ADst , respectively. 

Table 5a. Dry Climate Cooling Mode Test Conditions for Air Conditioners and 

Heat Pumps Having a Two-Capacity Compressor 

Test Description Air Entering 

Indoor Unit 

Temperature 

°F

Air Entering 

Outdoor Unit 

Temperature 

°F

Compressor 

Capacity 

Dry Climate Air 

Volume Rate 

Dry 

Bulb 

Wet 

Bulb 

Dry 

Bulb 

Wet 

Bulb1

AD2 Test–required (steady) 80 64 95 75 High Dry-Climate Full-Load 

BD2 Test–optional (steady) 80 64 82 65 High Dry-Climate Full-Load 

BD1 Test–required (steady) 80 64 82 65 Low Dry-Climate Minimum 

FD1 Test–optional (steady) 80 64 67 53.5 Low Dry-Climate Minimum 1

The specified test condition only applies if the unit rejects condensate to the outdoor coil. 

3.2.4 * * * 

* * * * * 

d. In order to evaluate the cooling season performance of the test unit when 

applied in a hot-dry climate, conduct two steady-state tests, the AD2 Test and the BD1

Test. Conducting two additional steady-state, dry climate tests (the BD2 and the FD1) 

are optional. Test conditions for the four dry climate tests are specified in Table 5a, 

only now substituting “Maximum” and “Minimum” for the Compressor Capacity 

entries of “High” and “Low,” respectively. As an alternative to conducting the 

optional BD2 and FD1 Tests, use the equations given in section 3.2.3 to approximate 

the capacity and electrical power of the test unit at the BD2 and FD1 test conditions. 

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3.2.5 Tests for a unit having a triple-capacity compressor (Definition 1.46). 

With the exception of triple-capacity northern heat pumps (Definition 1.47), no other 

units having a triple-capacity compressor are currently addressed within this test 

procedure. Test triple-capacity, northern heat pumps for the cooling mode in the same 

way as specified in section 3.2.3 for units having a two-capacity compressor. 

3.2.6 Tests for an air conditioner or heat pump having a single indoor unit 

having multiple blowers and offering two stages of compressor modulation. Conduct 

the cooling mode tests specified in section 3.2.3. Covered multiple blower systems 

have a single indoor coil connected to a single outdoor unit offering two stages of 

capacity modulation, and ones with a single indoor coil having two refrigerant 

circuits where each circuit is connected to separate but identical outdoor units, each 

having a single-speed compressor. 

3.3 * * * 

* * * * * 

b. After satisfying the pretest equilibrium requirements, make the 

measurements specified in Table 3 of ASHRAE Standard 37-2005 (incorporated by 

reference, see §430.3) for the Indoor Air Enthalpy method and the user-selected 

secondary method. Make the Table 3 measurements at equal intervals that span 5 

minutes or less. Continue data sampling until reaching a 30-minute period (e.g., seven 

consecutive 5-minute samples) where the test tolerances specified in Table 7 are 

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satisfied. For those continuously recorded parameters, use the entire data set from the 

30-minute interval to evaluate Table 7 compliance. Determine the average electrical 

power consumption of the air conditioner or heat pump over the same 30-minute 

interval. 

c. Calculate indoor-side total cooling and sensible cooling capacity as 

specified in sections 7.3.3.1 and 7.3.3.3 of ASHRAE Standard 37–2005 (incorporated 

by reference, see §430.3). Do not adjust the parameters used in calculating the 

capacities for the permitted variations in test conditions. Evaluate air enthalpies based 

on the measured barometric pressure for calculation of the total cooling capacity. Use 

the values of the specific heat of air given in section 7.3.3.1 for calculation of the 

sensible cooling capacities. Assign the average total space cooling capacity, average 

sensible cooling capacity, and average electrical power consumption over the 30-

minute data collection interval to the variables TQ )( k

c

& , TQ )( k

sc

& , and TE )( k

c

& , 

respectively. For these three variables, replace T with the nominal outdoor 

temperature at which the test was conducted. The superscript k is used only when 

testing multi-capacity units. Use the superscript k=2 to denote a test with the unit 

operating at high capacity or maximum speed, k=1 to denote low capacity or 

minimum speed, and k=v to denote the intermediate speed. 

* * * * * 

3.4 * * * 

* * * * * 

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b. If the temperature sensors used to provide the primary measurement of the 

indoor-side dry bulb temperature difference during the steady-state dry-coil test and 

the subsequent cyclic dry-coil test are different, include measurements of the latter 

sensors among the regularly sampled data. Beginning at the start of the 30-minute 

data collection period, measure and compute the indoor-side air dry-bulb temperature 

difference using both sets of instrumentation, Δ SSSetT )( and Δ CYCSetT )( , 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: 

∑− Δ

Δ =

i

i

CD CYCSetT

SSSetT F

6 )(

)(

7

1

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 

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instrumentation may be required. If all the values for FCD are within the allowable 

range, save the final value of the ratio from the 30-minute test as * FCD . 

If the temperature sensors used to provide the primary measurement of the 

indoor-side dry bulb temperature difference during the steady-state dry-coil test and 

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

* * * * * 

3.5 * * * 

* * * * * 

i. * * * 

Where: 

[ ] ∫ =Γ −

2

1

,)()( 1 2

*

τ

τ

δτττ aCD TTF a hr×°F, 

and V& , Cp,a, n v′ (or n v ), Wn, and * FCD = the values recorded during the section 3.4 dry 

coil steady-state tests, 

and Ta1(τ) = dry-bulb temperature of the air entering the indoor coil at time τ, °F. 

* * * * * 

3.6.2 Tests for a heat pump having a single-speed compressor and a single indoor unit 

having either (1) a variable-speed, variable-air-rate indoor fan whose capacity 

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modulation correlates with outdoor dry bulb temperature or (2) multiple blowers. * * 

* 

* * * * * 

Table 10. Heating Mode Test Conditions for Heat Pumps with a Single-Speed 

Compressor that Meet the Section 3.6.2 Indoor Unit Requirements* * * 

* * * * * 

As an alternative to conducting the optional H21 Frost Accumulation Test, use 

the following equations to approximate the capacity and electrical power of the heat 

pump at the H21 test conditions: 

)35( { [ )17()47(6.0)17( ]} =1 =2 =1 =1 =1 ×= ×+ − k

h

k

h

k

h

k

h

k Q&

h QQR & Q Q&&

)35( { [ )17()47(6.0)17( ]} =1 =2 =1 =1 =1 ×= ×+ − k

h

k

h

k

h

k

h

k E&

h EPR & E E&&

Where: 

[ ])17()47(6.0)17(

)35( )35( 2 2 2

2

2

= = =

=

=

×+ − = k

h

k

h

k

h

k

k h

h Q Q Q

Q QR & &&

&

[ ])17()47(6.0)17(

)35( )35( 2 2 2

2

2

= = =

=

=

×+ − = k

h

k

h

k

h

k

k h

h E E E

E PR & &&

&

In evaluating the above equations, determine the quantities )47( k =2 Qh

& and 

)47( k =2 Eh

& from the H12 Test, determine the quantities )47( k =1 Qh

& and )47( k =1 Eh

& from 

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the H11 Test, and evaluate all four quantities according to section 3.7. Determine the 

quantities )35( k =2 Qh

& and )35( k =2 Eh

& from the H22 Test and evaluate them according to 

section 3.9. Determine the quantities )17( k =2 Qh

& and )17( k =2 Eh

& from the H32 Test, 

determine the quantities )17( k =1 Qh

& and 17E )(1k

h

= & from the H31 Test, and evaluate all 

four quantities according to Section 3.10. If the manufacturer conducts the H21 Test, 

the option of using the above default equations is not forfeited. Use the paired values 

of )35( k =1 Qh

& and )35( k =1 Eh

& derived from conducting the H21 Frost Accumulation Test 

and evaluated as specified in section 3.9 or use the paired values calculated using the 

above default equations, whichever contribute to a higher Region IV HSPF based on 

the DHRmin. 

* * * * * 

3.6.3 * * * 

a.* * * If the manufacturer conducts the H21 Test, the option of using the 

above default equations is not forfeited. Use the paired values of )35( k =1 Qh

& and 

)35( k =1 Eh

& derived from conducting the H21 Frost Accumulation Test and calculated as 

specified in section 3.9 or use the paired values calculated using the above default 

equations, whichever contribute to a higher Region IV HSPF based on the DHRmin. 

* * * * * 

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3.6.4 * * * a.*** 

b. As an alternative to conducting the optional H22 Frost Accumulation Test, 

use the following equations to approximate the capacity and electrical power of the 

heat pump at the H22 test conditions: 

{ [ )17()47(6.0)17(90.0)35( ]} =2 =2 =2 =2 ×= ×+ − k

h

k

h

k

h

k Q&

h Q& Q Q&&

{ [ )17()47(6.0)17(985.0)35( ]} =2 =2 =2 =2 ×= ×+ − k

h

k

h

k

h

k E&

h E& E E&&

In evaluating the above equations, determine the quantities )47( k =2 Qh

& and 

)47( k =2 Eh

& from the H12 Test and evaluate them according to section 3.7. Determine 

the quantities )17( k =2 Qh

& and )17( k =2 Eh

& from the H32 Test and evaluate them according 

to section 3.10. If the manufacturer conducts the H22 Test, the option of using the 

above default equations is not forfeited. Use the paired values of )35( k =2 Qh

& and 

)35( k =2 Eh

& derived from conducting the H22 Frost Accumulation Test and evaluated as 

specified in section 3.9 or use the paired values calculated using the above default 

equations, whichever contribute to a higher Region IV HSPF based on the DHRmin. 

c. For heat pumps where the heating mode maximum compressor speed 

exceeds their cooling mode maximum compressor speed, conduct the H1N Test if the 

manufacturer requests it. If the H1N Test is done, operate the heat pump’s compressor 

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at the same speed as used for the cooling mode A2 Test. Refer to the last sentence of 

section 4.2 for how the results of the H1N Test may be used in calculating the HSPF. 

d. For multiple-split heat pumps (only), the following procedures supersede 

the above requirements. * * * 

* * * * * 

3.6.6 Tests for a heat pump having a triple-capacity compressor (Definition 

1.46). With the exception of triple-capacity northern heat pumps (Definition 1.47), no 

other heat pumps having a triple-capacity compressor are currently addressed within 

this test procedure. Test triple-capacity, northern heat pumps for the heating mode as 

follows: 

(a) Conduct one maximum-temperature test (H01), two high-temperature tests 

(H12 and H11), one Frost Accumulation test (H22), two low-temperature tests (H32,

H33), and one minimum-temperature test (H43). Conduct an additional Frost 

Accumulation test (H21) and low-temperature test (H31) if both of the following 

conditions exist: (1) knowledge of the heat pump’s capacity and electrical power at 

low compressor capacity for outdoor temperatures of 37 °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 °F and less. 

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If the above two conditions are met, an alternative to conducting the H21 Frost 

Accumulation Test to determine )35( k =1 Qh

& and )35( k =1 Eh

& is to use the following 

equations to approximate this capacity and electrical power: 

{ [ )17()47(6.0)17(90.0)35( ]} =1 =1 =1 =1 ×= ×+ − k

h

k

h

k

h

k Q&

h Q& Q Q&&

{ [ )17()47(6.0)17(985.0)35( ]} =1 =1 =1 =1 ×= ×+ − k

h

k

h

k

h

k E&

h E& E E&&

In evaluating the above equations, determine the quantities 47Q )( 1k

h

& = and 

47E )(1k

h

= & from the H11 Test and evaluate them according to section 3.7. Determine 

the quantities 17Q )(1k

h

& = and 17E )(1k

h

= & from the H31 Test and evaluate them according 

to section 3.10. If the manufacturer conducts the H21 Test, the option of using the 

above default equations is not forfeited. Use the paired values of )35( k =1 Qh

& and 

)35( k =1 Eh

& derived from conducting the H21 Frost Accumulation Test and evaluated as 

specified in section 3.9.1 or use the paired values calculated using the above default 

equations, whichever contribute to a higher Region IV HSPF based on the DHRmin. 

(b) Conducting a Frost Accumulation Test (H23) with the heat pump operating 

at its booster capacity is optional. If this optional test is not conducted, determine 

)35( k =3 Qh

& and )35( k =3 Eh

& using the following equations to approximate this capacity 

and electrical power: 

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{ [ )2()17(20.1)17()35()35( ]} =3 =2 =3 =3 =3 = × ×+ − k

h

k

h

k

h

k

h

k Q&

h QR Q& Q Q&& 

{ [ )2()17(20.1)17()35()35( ]} =3 =2 =3 =3 =3 = × ×+ − k

h

k

h

k

h

k

h

k E&

h PR E& E E&& 

Where: 

[ ])17()47(6.0)17(

)35( )35( 2 2 2

2

2

= = =

=

=

×+ − = k

h

k

h

k

h

k

k h

h Q Q Q

Q QR & &&

&

[ ])17()47(6.0)17(

)35( )35( 2 2 2

2

2

= = =

=

=

×+ − = k

h

k

h

k

h

k

k h

h E E E

E PR & &&

&

Determine the quantities )47( k =2 Qh

& and )47( k =2 Eh

& from the H12 Test and 

evaluate them according to section 3.7. Determine the quantities )35( k =2 Qh

& and 

)35( k =2 Eh

& from the H22 Test and evaluate them according to section 3.9.1. Determine 

the quantities )17( k =2 Qh

& and )17( k =2 Eh

& from the H32 Test, determine the quantities 

)17( k =3 Qh

& and )17( k =3 Eh

& from the H33 Test, and determine the quantities )2( k =3 Qh

& and 

)2( k =3 Eh

& from the H43 Test. Evaluate all six quantities according to section 3.10. If the 

manufacturer conducts the H23 Test, the option of using the above default equations 

is not forfeited. Use the paired values of )35( k =3 Qh

& and )35( k =3 Eh

& derived from 

conducting the H23 Frost Accumulation Test and calculated as specified in section 

3.9.1 or use the paired values calculated using the above default equations, whichever 

contribute to a higher Region IV HSPF based on the DHRmin. 

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(c) Conduct the optional high-temperature cyclic test (H1C1) to determine the 

heating-mode cyclic-degradation coefficient, h CD . If this optional test is conducted 

but yields a tested h CD that exceeds the default h CD or if the optional test is not 

conducted, assign h CD the default value of 0.25. If a triple-capacity heat pump locks 

out low capacity operation at lower outdoor temperatures, conduct the optional hightemperature cyclic test (H1C2) to determine the high-capacity heating-mode cyclicdegradation coefficient, ) ( 2kCh

D = . If this optional test at high capacity is conducted 

but yields a tested ) ( 2kCh

D = that exceeds the default ) ( 2kChD = or if the optional test 

is not conducted, assign ) ( 2kCh

D = the default value. The default ) ( 2kChD = is the 

same value as determined or assigned for the low-capacity cyclic-degradation 

coefficient, h CD [or equivalently, ) ( 1kCh

D = ]. Finally, if a triple-capacity heat pump 

locks out both low and high capacity operation at the lowest outdoor temperatures, 

conduct the optional low-temperature cyclic test (H3C3) to determine the boostercapacity heating-mode cyclic-degradation coefficient, ) kC = 3( h

D . If this optional test 

at the booster capacity is conducted but yields a tested ) kC = 3( h

D that exceeds the 

default ) kC = 3( h

D or if the optional test is not conducted, assign ) kC = 3( hD the default 

value. The default ) kC = 3( h

D is the same value as determined or assigned for the 

high-capacity cyclic-degradation coefficient, h CD [or equivalently, ) kC = 2( h

D ]. Table 

A specifies test conditions for all 13 tests. 

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Table A. Heating Mode Test Conditions for Units with a Triple-Capacity 

Compressor

Test Description Air Entering 

Indoor Unit 

Temperature 

°F

Air Entering 

Outdoor Unit 

Temperature 

°F

Compressor 

Capacity 

Heating Air Volume 

Rate 

Dry 

Bulb 

Wet 

Bulb 

Dry 

Bulb 

Wet 

Bulb 

H01 Test (required, steady) 70 60(max) 62 56.5 Low Heating Minimum1

H12 Test (required, steady) 70 60(max) 47 43 High Heating Full-Load2

H1C2 Test (optional, cyclic) 70 60(max) 47 43 High 3

H11 Test (required) 70 60(max) 47 43 Low Heating Minimum1

H1C1 Test (optional, cyclic) 70 60(max) 47 43 Low 4

H23 Test (optional, steady) 70 60(max) 35 33 Booster Heating Full-Load2

H22 Test (required) 70 60(max) 35 33 High Heating Full-Load2

H21 Test5,6(required) 70 60(max) 35 33 Low Heating Minimum1

H33 Test (required, steady) 70 60(max) 17 15 Booster Heating Full-Load2

H3C3 Test (optional, cyclic) 70 60(max) 17 15 Booster 7

H32 Test (required, steady) 70 60(max) 17 15 High Heating Full-Load2

H31 Test5 (required, steady) 70 60(max) 17 15 Low Heating Minimum1

H43 Test (required, steady) 70 60(max) 2 1 Booster Heating Full-Load2

1 Defined in section 3.1.4.5. 

2 Defined in section 3.1.4.4. 

3 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the 

same pressure or velocity as measured during the H12 Test. 4 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the 

same pressure or velocity as measured during the H11 Test. 5 Required only if the heat pump’s performance when operating at low compressor capacity and outdoor 

temperatures less than 37 °F is needed to complete the section 4.2.6 HSPF calculations. 

6 If table note 5

 applies, the section 3.6.6 equations for 35Q )(1k

h

& = and 17E )( 1k

h

= & may be used in lieu of 

conducting the H21 Test. 7

 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the 

same pressure or velocity as measured during the H33 Test. 

3.6.7 Tests for a heat pump having a single indoor unit having multiple 

blowers and offering two stages of compressor modulation. Conduct the heating 

mode tests specified in section 3.6.3. Covered multiple blower systems have a single 

indoor coil connected to a single outdoor unit offering two stages of capacity 

modulation and ones having a single indoor coil having two refrigerant circuits where 

each circuit is connected to separate but identical outdoor units, each having a singlespeed compressor. 

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3.7 * * * 

a. For the pretest interval, operate the test room reconditioning apparatus and 

the heat pump until equilibrium conditions are maintained for at least 30 minutes at 

the specified section 3.6 test conditions. Use the exhaust fan of the airflow measuring 

apparatus and, if installed, the indoor fan of the heat pump to obtain and then 

maintain the indoor air volume rate and/or external static pressure specified for the 

particular test. Continuously record the dry-bulb temperature of the air entering the 

outdoor coil. Refer to section 3.11 for additional requirements that depend on the 

selected secondary test. After satisfying the pretest equilibrium requirements, make 

the measurements specified in Table 3 of ASHRAE Standard 37–2005 (incorporated 

by reference, see §430.3) for the Indoor Air Enthalpy method and the user-selected 

secondary method. Make the Table 3 measurements at equal intervals that span 5 

minutes or less. Continue data sampling until a 30-minute period (e.g., seven 

consecutive 5-minute samples) is reached where the test tolerances specified in Table 

13 are satisfied. For those continuously recorded parameters, use the entire data set 

for the 30-minute interval when evaluating Table 13 compliance. Determine the 

average electrical power consumption of the heat pump over the same 30-minute 

interval. 

Table 13 – Test Operating and Test Condition Tolerances for Section 3.7 and 

Section 3.10 Steady-State Heating Mode Tests 

 Test operating 

tolerance 1

Test condition 

tolerance 2

Indoor dry-bulb, ° F 

 Entering temperature 

 Leaving temperature 

2.0 

2.0 

0.5 

Indoor wet-bulb, ° F 

 Entering temperature 

 Leaving temperature 

1.0 

1.0 

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Outdoor dry-bulb, ° F 

 Entering temperature 

 Leaving temperature 

2.0 2 2.0 

0.5 

Outdoor wet-bulb, ° F 

 Entering temperature 

 Leaving temperature 

1.0 3 1.0 

0.3 

External resistance to airflow, 

inches of water 0.12 4 0.02 

Electrical voltage, % of rdg 2.0 1.5 

Nozzle pressure drop, % of rdg 8.0 1

 See Definition 1.43. 

2

 See Definition 1.42. 

3

 Only applies when the Outdoor Air Enthalpy Method is used. 

4

 Only applies when testing non-ducted units. 

b. Calculate indoor-side total heating capacity as specified in sections 7.3.4.1 

and 7.3.4.3 of ASHRAE Standard 37-2005 (incorporated by reference, see §430.3).* 

* * 

* * * * * 

d. If conducting the optional cyclic heating mode test described in section 3.8, 

record the average indoor-side air volume rate, V& , specific heat of the air, Cp,a

(expressed on a dry air basis), specific volume of the air at the nozzles, n v′ (or vn), 

humidity ratio at the nozzles, Wn, and either pressure difference or velocity pressure 

for the flow nozzles. 

If the temperature sensors used to provide the primary measurement of the 

indoor-side dry bulb temperature difference during the steady-state dry-coil test and 

the subsequent cyclic dry-coil test are different, include measurements of the latter 

sensors among the regularly sampled data during the steady-state test. Beginning at 

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the start of the 30-minute data collection period, measure and compute the indoorside air dry bulb temperature difference using both sets of instrumentation,

Δ SSSetT )( and Δ CYCSetT )( , 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: 

∑− Δ

Δ =

i

i

CD CYCSetT

SSSetT F

6 )(

)(

7

1

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. 

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e. If either or both of the below criteria apply, determine the average, steadystate, electrical power consumption of the indoor fan motor ( E fan 1, & ): 

1. The section 3.8 cyclic test will be conducted and the heat pump has a variablespeed indoor fan that is expected to be disabled during the cyclic test; or 

2. The heat pump has a (variable-speed) constant-air volume-rate indoor fan and 

during the steady-state test the average external static pressure (ΔP1) exceeds 

the applicable section 3.1.4.4 minimum (or targeted) external static pressure 

(ΔPmin) by 0.03 in wc or more. 

Determine Efan 1, & by making measurements during the 30-minute data collection 

interval, or immediately following the test and prior to changing the test conditions. 

When the above “2” criteria applies, conduct the following four steps after 

determining Efan 1, & (which corresponds to ΔP1): 

1. While maintaining the same test conditions, adjust the exhaust fan of the 

airflow measuring apparatus until the external static pressure increases to 

approximately ΔP1 + (ΔP1 − ΔPmin). 

2. After re-establishing steady readings for fan motor power and external static 

pressure, determine average values for the indoor fan power ( Efan 2, & ) and the 

external static pressure (ΔP2) by making measurements over a 5-minute 

interval. 

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3. Approximate the average power consumption of the indoor fan motor if the 

30-minute test had been conducted at ΔPmin using linear extrapolation: 

( ) min 1 1,

12

2, 1,

min, fan

fan fan

fan EPP

PP

EE

E & && & +Δ−Δ

Δ−Δ

− =

4. Decrease the total space heating capacity, (TQ ) k

h

& , by the quantity 

( fan 1, EE fan min, − && ), when expressed on a Btu/h basis. Decrease the total 

electrical power, ( ) TEk

h

& by the same fan power difference, now expressed in 

watts. 

3.8 Test procedures for the optional cyclic heating mode tests (the H0C1, 

H1C, H1C1, H1C2, and H3C3 Tests).a. Except as noted below, conduct the cyclic 

heating mode test as specified in section 3.5. As adapted to the heating mode, replace 

section 3.5 references to “the steady-state dry coil test” with “the heating mode 

steady-state test conducted at the same test conditions as the cyclic heating mode 

test.” Use the test tolerances in Table 14 rather than Table 8. Record the outdoor coil 

entering wet-bulb temperature according to the requirements given in section 3.5 for 

the outdoor coil entering wet-bulb temperature. 

Drop the subscript “dry” used in variables cited in section 3.5 when referring 

to quantities from the cyclic heating mode test. Determine the total space heating 

delivered during the cyclic heating test, qcyc, as specified in section 3.5 except for 

making the following changes: 

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(1) When evaluating Eq. 3.5-1, use the values of V& , Cp,a, n v′ (or n v ), and Wn

that were recorded during the section 3.7 steady state test conducted at the same test 

conditions. 

(2) Calculate Γ using 

[ ] ∫ =Γ −

2

1

,)()( 2 1

*

τ

τ

δτττ aCD TTF a hr·oF, 

Where: 

* FCD = recorded during the section 3.7 steady state test conducted at the same test 

conditions. 

* * * * * 

3.8.1 * * * * * 

Table 14 – Test Operating and Test Condition Tolerances for Cyclic Heating 

Mode Tests 

 Test operating 

tolerance 1

Test condition 

tolerance 2

Indoor entering dry-bulb temperature, ° F 2.0 0.5 

Indoor entering wet-bulb temperature, ° F 1.0 

Outdoor entering dry-bulb temperature, ° F 2.0 0.5 

Outdoor entering wet-bulb temperature, ° F 2.0 1.0 

External resistance to air-flow,3 inches of water 0.12 

Airflow nozzle pressure difference or velocity 

pressure,3

 % of reading 2.0 4 2.0 

Electrical voltage,5 % of rdg 8.0 1.5 

1 See Definition 1.43. 

2 See Definition 1.42. 

3 Applies during the interval that air flows through the indoor (outdoor) coil except for the first 30 

seconds after flow initiation. For units having a variable-speed indoor fan that ramps, the tolerances 

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listed for the external resistance to airflow shall apply from 30 seconds after achieving full speed until 

ramp down begins. 

4 The test condition shall be the average nozzle pressure difference or velocity pressure measured 

during the steady-state test conducted at the same test conditions. 

5 Applies during the interval that at least one of the following–the compressor, the outdoor fan, or, if 

applicable, the indoor fan–are operating, except for the first 30 seconds after compressor start-up. 

* * * * * 

3.9 * * * 

e. * * * Sample the remaining parameters listed in Table 15 at equal intervals 

that span 5 minutes or less. 

* * * * * 

3.9.2 * * * 

a. Assign the demand defrost credit Fdef used in section 4.2 to the value of 1 in 

all cases except for heat pumps having a demand-defrost control system (Definition 

1.21). For such qualifying heat pumps, evaluate Fdef using 

, 5.1

5.1

103.01

max

⎥

⎦

⎤ ⎢

⎣

⎡

−Δ

−Δ

−⋅+=

τ

τ def Fdef

Where: 

∆Tdef= the time between defrost terminations (in hours) or 1.5, whichever is 

greater. A value of 6 must be assigned to ∆Tdef if this limit is reached during a frost 

accumulation test and the heat pump has not completed a defrost cycle. 

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∆Tmax= maximum time between defrosts as allowed by the controls (in hours) 

or 12, whichever is less. The value of ∆Tmax must be provided by the manufacturer. 

* * * * * 

3.10 Test procedures for steady-state low and minimum temperature heating 

mode tests (the H3, H33, H32, H31, and H43 Tests). Except for modifications noted in 

this section, conduct the low temperature and minimum temperature heating mode 

tests using the same approach as specified in section 3.7 for the maximum and high 

temperature tests. After satisfying the section 3.7 requirements for the pretest interval 

but before beginning to collect data to determine )17( k Qh

& or )2( k Qh& and )17( k Eh

& or 

)2( k Eh

& , conduct a defrost cycle that can be initiated manually or automatically. The 

defrost sequence must be terminated by the action of the heat pump’s defrost controls. 

Begin the 30-minute data collection interval described in section 3.7 from 

which )17( k Qh

& and )17( k Eh

& or )2( k Qh

& and )2( k Eh

& are determined, no sooner than 10 

minutes after defrost termination. Defrosts should be prevented over the 30-minute 

data collection interval. 

* * * * * 

3.11.1.1 * * * 

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a. The test conditions for the preliminary test are the same as specified for the 

official test. Connect the indoor air-side apparatus to the indoor coil; disconnect the 

outdoor air-side test apparatus. Allow the test room reconditioning apparatus and the 

unit being tested to operate for at least 1 hour. After attaining equilibrium conditions, 

measure the following quantities at equal intervals that span 5 minutes or less: 

 1. The section 2.10.1 evaporator and condenser temperatures or pressures; 

 2. Parameters required according to the indoor air enthalpy method. 

Continue these measurements until a 30-minute period (e.g., seven 

consecutive 5-minute samples) is obtained where the Table 7 or Table 13, whichever 

applies, test tolerances are satisfied. 

* * * * * 

3.11.1.3 * * * 

a. Continue (preliminary test was conducted) or begin (no preliminary test) the 

official test by making measurements for both the indoor and outdoor air enthalpy 

methods at equal intervals that span 5 minutes or less. Discontinue these 

measurements only after obtaining a 30-minute period where the specified test 

condition and operating tolerances are satisfied. To constitute a valid official test: 

1. Achieve the energy balance specified in section 3.1.1; and, 

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2. For cases where a preliminary test is conducted, the capacities determined 

using the Indoor Air Enthalpy Method from the official and preliminary test 

periods must agree within 2 percent. 

* * * * * 

3.11.2 * * * 

a. Conduct separate calibration tests using a calorimeter to determine the 

refrigerant flow rate. Or for cases where the superheat of the refrigerant leaving the 

evaporator is less than 5  ̊F, use the calorimeter to measure total capacity rather than 

refrigerant flow rate. Conduct these calibration tests at the same test conditions as 

specified for the tests in this Appendix. Operate the unit for at least one hour or until 

obtaining equilibrium conditions before collecting data that will be used in 

determining the average refrigerant flow rate or total capacity. Sample the data at 

equal intervals that span 5 minutes or less. Determine average flow rate or average 

capacity from data sampled over a 30-minute period where the Table 7 (cooling) or 

the Table 13 (heating) tolerances are satisfied. Otherwise, conduct the calibration 

tests according to ASHRAE Standard 23-05 (incorporated by reference, see §430.3), 

ASHRAE Standard 41.9-2000 (incorporated by reference, see §430.3), and section 

7.4 of ASHRAE Standard 37-2005 (incorporated by reference, see §430.3). 

* * * * * 

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3.13 Laboratory testing to determine off-mode energy consumption. The 

below laboratory testing is used to estimate the energy consumption of an air 

conditioner during the non-cooling seasons, the heating and shoulder seasons that 

separate the cooling and heating seasons. Testing to estimate the energy consumption 

of a heat pump during the collective shoulder seasons is also described. The extent of 

the testing strongly depends on whether the test unit includes a compressor crankcase 

heater, the heater is thermostatically controlled, and the heater is provided on an air 

conditioner or heat pump. 

3.13.1 Determine if the air conditioner or heat pump has a compressor 

crankcase heater. If so equipped, turn off the power to the outdoor unit, isolate the 

leads that supply power to the crankcase heater, measure the resistance of the heater 

circuit, record the value as RCC, reconnect the heater’s leads, and resupply power to 

the outdoor unit. 

Determine from the manufacturer if the compressor crankcase heater is 

thermostatically controlled. If the heater is thermostatically controlled, the 

manufacturer must provide: 

a. A value for the outdoor temperature, T00, at which the crankcase heater is 

expected to begin heating if the indoor temperature is above 75 °F and no space 

conditioning has been needed for a long enough time that the compressor’s shell 

temperature equals the outdoor air temperature; and 

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b. A value for the outdoor temperature, T100, at which the crankcase heater is 

expected to begin continuous heating if the indoor temperature is above 75 °F and no 

space conditioning is needed. 

3.13.2 For air conditioners not having a compressor crankcase heater, conduct 

the following off-mode power test. 

3.13.2.1 Conduct the test immediately following the final cooling mode test. 

No requirements are placed on the ambient conditions within the indoor and outdoor 

test rooms. The room conditions are allowed to change for the duration of this 

particular test. Configure the controls of the air conditioner to mimic the operating 

mode if connected to a building thermostat that is set to the OFF mode. 

3.13.2.2 Integrate the power consumption of the air conditioner over a 5-

minute interval. Calculate the average power consumption rate for the interval. Round 

this value to the nearest even wattage value and record it as both P1 and P2. Assign 

RCC=0. 

3.13.3 For heat pumps not having a compressor crankcase heater, conduct the 

following off-mode power test. 

3.13.3.1 Conduct the test immediately following the final cooling mode test. 

No requirements are placed on the ambient conditions within the indoor and outdoor 

test rooms. The room conditions are allowed to change for the duration of this 

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particular test. Configure the controls of the heat pump to mimic the operating mode 

if connected to a building thermostat that is set to the COOL mode but whose 

temperature setpoint is satisfied. 

3.13.3.2 Integrate the power consumption of the heat pump over a 5-minute 

interval. Calculate the average power consumption rate for the interval. Record this 

value as P1C. 

3.13.3.3 Re-configure the controls of the heat pump to mimic the operating 

mode if connected to a building thermostat that is set to the HEAT mode but whose 

temperature setpoint is satisfied. 

3.13.3.4 Integrate the power consumption of the heat pump over a 5-minute 

interval. Calculate the average power consumption rate for the interval. Record this 

value as P1H. 

3.13.3.5 Calculate P1 = (P1C + P1H)/2 and round to the nearest even wattage. 

Assign RCC=0 and P2=0. 

3.13.4 For air conditioners having a compressor crankcase heater, conduct the 

following off-mode power test. 

3.13.4.1 Conduct the test immediately following the final cooling mode test. 

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3.13.4.2 If the compressor crankcase heater is not thermostatically controlled, 

then (1) configure the controls of the air conditioner to mimic the operating mode if 

connected to a building thermostat set to the OFF mode; (2) assign T00 = T100 = 75 

°F; and (3) skip to section 3.13.4.5.9. 

3.13.4.3 If the compressor crankcase heater is thermostatically controlled and 

the manufacturer-provided T100 is greater than or equal to 75 °F, then (1) T00 and 

T100 are deemed verified; (2) configure the controls of the air conditioner to mimic 

the operating mode if connected to a building thermostat that is set to the OFF mode; 

and (3) skip to section 3.13.4.5.9. 

3.13.4.4.1 Configure the controls of the air conditioner to mimic the operating 

mode if connected to a building thermostat that is set to the OFF mode. Maintain the 

dry bulb temperature in the indoor test room between 75 °F and 85 °F. 

3.13.4.4.2 Monitor the power consumption of the air conditioner and denote 

two operating states: (1) power draw is at a lower level corresponding to no current 

flowing to the compressor crankcase heater (power-low) and (2) power draw is at the 

higher level corresponding to the compressor crankcase heater operating (powerhigh). 

3.13.4.4.3 As needed, temporarily depart from the end of test cooling rate 

(EOTCR) until the outdoor temperature is at least 3 °F higher than T100 for at least 

15 minutes or, if the crankcase heater is observed to cycle on (power-high) at this 

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temperature, keep increasing the outdoor temperature until the compressor crankcase 

heater remains off (power-low) for at least 15 minutes. The compressor must have 

cycled off prior to beginning either 15 minute count. 

3.13.4.4.4 Re-establish cooling the outdoor test room with the reconditioning 

system set to provide EOTCR. As the outdoor temperature decreases, monitor the test 

unit’s electrical power and record the outdoor temperature when the first power-high 

reading is measured. If this measured temperature is equal to or less than T00 + 2.5 

°F, then the manufacturer-provided T00 is verified. If the measured temperature is 

greater than T00 + 2.5 °F, round the measured outdoor temperature to the nearest 2.5 

°F increment relative to a 65 °F reference (e.g., 67.5 °F, 70.0 °F, 72.5 °F, . . . or 65.0 

°F, 62.5 °F, 60.0 °F, . . .) and designate this rounded value as the new T00. 

3.13.4.4.5 If the manufacturer-provided T100 is greater than or equal to T00 – 

10 °F then T100 is deemed verified. If T100 > T00, then set T100 = T00. Skip to 

section 3.13.4.5. 

3.13.4.4.6 As needed, depart from the EOTCR to obtain and then maintain 

within ±1.0 °F an outdoor dry bulb temperature that is between 10 °F and 15 °F less 

than T00. During the time that the outdoor temperature is maintained within the ±1.0 

°F tolerance, monitor the elapsed time of each power-high interval ( PH Δτ ) and the 

elapsed time of the power-low interval ( PL Δτ ) that immediately follows. Also 

monitor the outdoor temperature. Start data collection at the beginning of a powerhigh interval – elapsed time = 0. If one or more power-high + power-low cycles is 

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completed when the elapsed time equals 20 minutes, discontinue the data collection 

and proceed to section 3.13.4.4.7. If a power-high interval is completed before the 

elapsed time equals 30 minutes, monitor until the subsequent power-low interval is 

finished before discontinuing the data collection and proceeding to section 3.13.4.4.7. 

If a power-low condition has not started at an elapsed time of 30 minutes or within 45 

minutes of first obtaining outdoor conditions that meet the ±1.0 °F tolerance, then 

assign T100 = T00 – 10 °F and skip to section 3.13.4.5. 

3.13.4.4.7 Designate the total number of completed power-high + power-low 

intervals from section 3.13.4.4.6 as NCC. Calculate the average outdoor temperature 

recorded over the corresponding interval of complete cycles and designate it as TCC. 

Calculate the average percent on-time of the crankcase heater, FCC, using 

%100

( )

1

1 ×

Δ+Δ

Δ

=

∑

∑

HL

HL

N

PH PL

N

PH

FCC

ττ

τ

Using the T00 from section 3.13.4.4.4, FCC, and TCC, estimate the outdoor 

temperature at which the crankcase heater would first begin to operate continuously: 

)00( 100 00

00)%0100( )%0(

F)00( )(100

CC

CC

CC

CC

TT

F

T

T

F

TT LabT

−×−=

+−× −

− =

o

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If T100(Lab) ≤ T100 + 2.5 °F, then the manufacturer-provided T100 is 

verified. If T100(Lab) > T100 + 2.5 °F, round T100(Lab) to the nearest 2.5 °F 

increment relative to a 65 °F reference (e.g., 67.5 °F, 70.0 °F, 72.5 °F, . . . or 65.0 °F, 

62.5 °F, 60.0 °F, . . .) and designate this rounded value as the new T100. 

3.13.4.4.8 Approximate the percent time on of the crankcase heater at any 

outdoor temperatures between T00 and T100 using 

%.100

10000

00

)00( F)00100(

)%0100( )( × −

− =−× −

− = ° TT

TT

TT

TT

TF j

jCC j

For outdoor temperatures Tj that are greater than or equal to T00, assign 

FCC(Tj)=0. For outdoor temperatures that are less than or equal to T100, assign 

FCC(Tj)=100 percent 

3.13.4.5 At this point in the off-mode power test, no requirements are placed 

on the ambient conditions within the indoor and outdoor test rooms. The room 

conditions are allowed to change for the duration of this particular test. Temporarily 

turn off the power to the outdoor unit and safely disable the compressor crankcase 

heater to prevent it from consuming any electrical power. Re-energize the outdoor 

unit. 

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3.13.4.6 Integrate the power consumption of the air conditioner over a 5-

minute interval. Calculate the average power consumption rate for the interval. 

Record the value as P0. 

3.13.5 For heat pumps having a compressor crankcase heater, conduct the 

following off-mode power test. 

3.13.5.1 The test shall be conducted immediately following the final cooling 

mode test. Configure the controls of the heat pump to mimic the operating mode if 

connected to a building thermostat set to the COOL mode but whose temperature 

setpoint is satisfied. 

3.13.5.2 If the compressor crankcase heater is not thermostatically controlled, 

assign FCC(65 °F) = 100 percent, and skip to section 3.13.5.5. 

3.13.5.3 If the compressor crankcase heater is thermostatically controlled and 

the manufacturer-provided T100 is greater than or equal to 65 °F, then assign FCC(65 

°F) = 100 percent and skip to section 3.13.5.5. 

3.13.5.4 If the compressor crankcase heater is thermostatically controlled and 

the manufacturer-provided T100 is less than 65 °F, obtain and then maintain the 

outdoor dry bulb temperature between 64 °F and 66 °F. Maintain the dry bulb 

temperature in the indoor test room between 75 °F and 85 °F. 

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3.13.5.4.1 Monitor the power consumption of the heat pump and denote the 

two operating states: (1) power draw is at a lower level corresponding to no current 

flowing to the compressor crankcase heater (power-low); and (2) power draw is at the 

higher level corresponding to the compressor crankcase heater operating (powerhigh). 

3.13.5.4.2 After the compressor has been off for a minimum of 15 minutes 

and while the outdoor temperature is between 64 °F and 66 °F, monitor the elapsed 

time of each power-high interval ( PH Δτ ) and the elapsed time of the power low 

interval ( PL Δτ ) that immediately follows. Continue monitoring the outdoor 

temperature. 

Start the data collection at the beginning of a power-high interval – elapsed 

time = 0. If one or more power-high + power-low cycles is completed when the 

elapsed time equals 20 minutes, discontinue the data collection and proceed to section 

3.13.5.4.3. If a power-high interval is completed before the elapsed time equals 30 

minutes, monitor until the subsequent power-low interval is finished before 

discontinuing the data collection and proceeding to section 3.13.5.4.3. If a power-low 

condition has not started at an elapsed time of 30 minutes or within 45 minutes of first 

obtaining an outdoor temperature between 64 °F and 66 °F, then assign FCC(65 °F) = 

100 percent and skip to section 3.13.5.5. 

3.13.5.4.3 Designate the total number of completed power-high + power-low 

intervals as NCC. Calculate the average outdoor temperature over the corresponding 

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interval of complete cycles and designate it as TCC. Calculate the average percent ontime of the crankcase heater, FCC, using 

%100

( )

)(

1

1 ×

Δ+Δ

Δ

=

∑

∑

HL

HL

N

PH PL

N

PH

CC LabF

ττ

τ

. 

3.13.5.4.4 Using the manufacturer-provided T00 and T100, along with labmeasured TCC, calculate the expected value of FCC. If TCC ≥ T00, then FCC = 0; if TCC

≤ T100, then FCC = 100 percent; and if T100 < TCC < T00, then use: 

100

)10000(

)00( %0)%0100( )00100()00( × −− =+−× −− = TTTT

TT

TT

F CC CC

CC

3.13.5.4.5 If FCC(Lab) ≤ FCC + 5 percent, then solve the section 3.13.5.4.4 

equation for TCC = 65 °F and assign the result as being FCC(65 °F). If FCC(Lab) > FCC

+ 5 percent, round FCC(Lab) to the nearest 5 percent increment (e.g., 5, 10, 15, . . . 95 

percent) and designate this rounded value as FCC(65 °F). 

3.13.5.5 At this point in the off-mode power test, no requirements are placed 

on the ambient conditions within the indoor and outdoor test rooms. The room 

conditions are allowed to change for the duration of this particular test. Temporarily 

turn off the power to the outdoor unit and safely disable the compressor crankcase 

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heater to prevent it from consuming any electrical power. Re-energize the outdoor 

unit. 

3.13.5.5.1 Integrate the power consumption of the heat pump over a 5-minute 

interval. Calculate the average power consumption rate for the interval. Record this 

value as P0C. 

3.13.5.5.2 Configure the controls of the heat pump to mimic the operating 

mode if connected to a building thermostat set to the HEAT mode but whose 

temperature setpoint is satisfied. 

3.13.5.5.3 Integrate the power consumption of the heat pump over a 5-minute 

interval. Calculate the average power consumption rate for the interval. Record this 

value as P0H. Assign P0 = (P0C + P0H)/2. 

3.13.5.6 Calculate P1 = P0 + (FCC(65 °F)/100%) x [(230 V)2

/RCC] and round 

to the nearest even wattage. Assign P2 = 0. 

3.13.5.7 Re-enable the compressor crankcase heater so that it may operate in 

its normal manner. 

4. Calculations of Seasonal Performance Descriptors 

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* * * * * 

4.1* * * 

When referenced, evaluate BL(Tj) for cooling using* * * 

* * *Where: 

)95( k Qc

& = the space cooling capacity determined from the A or A2 Test, whichever 

applies, Btu/h. 

1.1 = sizing factor, dimensionless. 

The temperatures 95 °F and 65 °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 an air conditioner or heat pump having a singlespeed compressor that was tested with a fixed-speed indoor fan installed, a constantair-volume-rate indoor fan installed, or with no indoor fan installed. a. Calculate the 

seasonal energy efficiency ratio, SEER, using Eq. 4.1–1. Evaluate the quantity 

qc(Tj)/N in Eq. 4.1–1 using 

N

n

TQTX N

Tq j

jcj

jc )()( ××=

)( &

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Where: 

X(Tj) = the cooling mode load factor for temperature bin j, dimensionless, 

)(TQ jc & = space cooling capacity of the test unit when operating at outdoor 

temperature Tj, Btu/h, and 

N

n j = fractional bin hours for the cooling season; the ratio of the number of 

hours during the cooling season when the outdoor temperature fell within 

the range represented by bin temperature Tj to the total number of hours in 

the cooling season, dimensionless. 

Assign N

n j using the fractional bin hours listed in Table 16. Calculate the 

space cooling capacity at outdoor temperature Tj using 

)82( 8295

)82()95( )82()( −× −

− += j

c c

cjc T QQ QTQ && && . 

Determine )82( Qc

& from the B Test, )95( Qc& , from the A Test, and evaluate 

both in accordance with section 3.3. Calculate the cooling mode load factor using 

⎪

⎭

⎪

⎬

⎫

⎪

⎩

⎪

⎨

⎧

=

1

)()(

)( or

TQTBL

TX

jcj

j

&

, whichever is less. 

Use Eq. 4.1–2 to calculate the building load, BL(Tj). 

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b. Evaluate the quantity ec(Tj)/N in Eq. 4.1–1 using 

N

n

PLF

TETX

N

Te j

j

jc jcj × ⋅ = )()()( &

Where: 

)(TE jc & = the electrical power consumption of the test unit when operating at 

outdoor temperature Tj, Btu/h, and 

PLFj = the part load factor for temperature bin j, dimensionless. 

The quantities X(Tj) and 

N

n j are the same quantities as used for calculating 

N

Tq jc )(

. Calculate the electrical power consumption at outdoor temperature Tj using 

)82( 8295

)82()95( )82()( −× −

− += j

c c

cjc T EE ETE && && . 

Determine )82( Ec

& from the B Test, )95( Ec& from the A Test, and evaluate 

both in accordance with section 3.3. Calculate the part load factor using 

[ )(11 ] j

c PLFj D −⋅−= TXC

c. If the optional tests described in section 3.2.1 are not conducted, set the 

cooling mode cyclic degradation coefficient, c CD , to the default value specified in 

section 3.5.3. 

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* * * * * 

4.1.4.2 * * * 

T1 = the outdoor temperature at which the unit, when operating at minimum 

compressor speed, provides a space cooling capacity that is equal to the 

building load ( )()( 1 1

1 TBLTQk

c = & = ),°F. Determine T1 by equating Eqs. 4.1.3–1 

and 4.1–2 and solving for outdoor temperature. Alternatively, T1 may be 

determined as specified in section 10.2.4 of ASHRAE Standard 116-95 (RA 

05) (incorporated by reference, see §430.3). 

T2 = the outdoor temperature at which the unit, when operating at the intermediate 

compressor speed used during the section 3.2.4 EV Test, provides a space 

cooling capacity that is equal to the building load ( )()( 2 2

2 TBLTQk

c = & = ),°F. 

Determine T2 by equating Eqs. 4.1.4–1 and 4.1–2 and solving for outdoor 

temperature. Alternatively, T2 may be determined as specified in section 

10.2.4 of ASHRAE Standard 116-95 (RA 05) (incorporated by reference, see 

§430.3). 

* * * * * 

4.1.5 SEER calculations for an air conditioner or heat pump having a single 

indoor unit with multiple blowers. Calculate SEER using Eq. 4.1–1, where NTq jc )(

and NTe jc )( are evaluated as specified in applicable below subsection. 

4.1.5.1 For multiple blower systems that are connected to a lone, single-speed 

outdoor unit. 

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a. Calculate the space cooling capacity, ) (

1

j

k

c TQ& = , and electrical power 

consumption, ) (

1

j

k

c TE = & , of the test unit when operating at the cooling minimum air 

volume rate and outdoor temperature Tj using the equations given in section 4.1.2.1. 

Calculate the space cooling capacity, ) ( 2

j

k

c TQ& = , and electrical power consumption, 

)( 2

j

k

c TE = & , of the test unit when operating at the cooling full-load air volume rate and 

outdoor temperature Tj using the equations given in section 4.1.2.1. In evaluating the 

section 4.1.2.1 equations, determine the quantities )82( k =1 Qc

& and )82( k =1 Ec

& from the 

B1 Test, )95( k =1 Qc

& and )95( k =1 Ec

& from the A1 Test, )82( k =2 Qc

& and )82( k =2 Ec

& from the 

B2 Test, and )95( k =2 Qc

& and )95( k =2 Ec

& from the A2 Test. Evaluate all eight quantities 

as specified in section 3.3. Refer to section 3.2.2.1 and Table 4 for additional 

information on the four referenced laboratory tests. 

b. Determine the cooling mode cyclic degradation coefficient, c CD , as per 

sections 3.2.2.1 and 3.5 to 3.5.3. Assign this same value to ) kC = 2( c

D . 

c. Except for using the above values of ) (

1

j

k

c TQ& = , ) (

1

j

k

c TE = & , ) (

2

j

k

c TQ& = , 

)( 2

j

k

c TE = & , c CD , and ) kC = 2( c

D , calculate the quantities NTq jc )( and NTe jc )( as 

specified in section 4.1.3.1 for cases where ()( ) 1

j j

k

c ≥ TBLTQ& = . For all other outdoor 

bin temperatures, Tj, calculate NTq jc )( and NTe jc )( as specified in section 4.1.3.3 

if ) ()( 2

j j

k

c > TBLTQ& = or as specified in section 4.1.3.4 if ()( ) 2j j

k

c ≤ TBLTQ& = . 

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4.1.5.2 For multiple blower systems that are connected to either a lone 

outdoor unit having a two-capacity compressor or to two separate but identical model 

single-speed outdoor units. 

Calculate the quantities NTq jc )( and NTe jc )( as specified in section 

4.1.3. 

* * * * * 

4.1.6 Region-specific SEER calculations for a hot-dry climatic region, SEERHD. Calculate SEER-HD, expressed in units of Btu/W×h, using: 

∑

∑

∑

∑

=

=

=

= =− = 10

1

10

1

10

1

10

1

)(

)(

)(

)(

j

jHD

j

jHD

j

jHD

j

jHD

N

Te

N

Tq

Te

Tq

HDSEER Eq. 4.1.6–1

Where: 

N

Tq jHD )(

= for the hot-dry climatic region, the ratio of the total space cooling 

delivered during periods of the space cooling season when the outdoor 

temperature fell within the range represented by bin temperature Tj to 

the total number of hours in the cooling season (N), Btu/h. 

EERE-2009-BT-TP-0004 1.1.001
179

N

Te jHD )(

= for the hot-dry climatic region, the ratio of the total electrical energy 

consumed by the test unit during periods of the space cooling season 

when the outdoor temperature fell within the range represented by bin 

temperature Tj to the total number of hours in the cooling season (N), 

W. 

Tj = the outdoor bin temperature, °F. Outdoor temperatures are grouped or 

“binned.” Use bins of 5 °F with the 10 dry climate bin temperatures 

being 67, 72, 77, 82, 87, 92, 97, 102, 107, and 112 °F. 

j = the bin number. For dry climate seasonal calculations, j ranges from 1 

to 10. 

When referenced, evaluate the dry climate building load BLHD(Tj) using 

( )

1.1

)95(

6590

65

)(

* j HD

jHD

T Q TBL & × −

− = Eq. 4.1.6–2 

Where: 

)95( * QHD

& = the space cooling capacity determined from the AD or AD2 Test, 

whichever applies, Btu/h, and 

1.1 = sizing factor, dimensionless. 

EERE-2009-BT-TP-0004 1.1.001
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The temperatures 95 °F and 65 °F in the building load equation represent the 

outdoor design temperature and the zero-load temperature, respectively, for the hotdry climatic region. 

4.1.6.1 SEER-HD calculations for an air conditioner or heat pump having a 

single-speed compressor that was tested with a fixed-speed indoor fan installed, a 

constant-air-volume-rate fan installed, or with no indoor fan installed. Calculate 

SEER-HD using Eq. 4.1.6–1. Evaluate the quantities NTq jHD /)( and NTe jHD /)( in 

Eq. 4.1.6–1 as specified in section 4.1.1 for NTq jc /)( and NTe jc /)( , respectively, 

only now replacing the quantities ) (TQ jc & and )(TE jc & with ) (TQ jHD & and ) (TE jHD & . 

Also, use the fractional bin hours, nj/N, given in Table 16a rather than the values 

listed in Table 16. 

Calculate ) (TQ jHD & using the section 4.1.1 equation for ) (TQ jc & , replacing 

)95( Qc

& and )82( Qc& with ) 95( QHD

& and ) 82( QHD& , respectively. 

Calculate ) (TE jHD & using the section 4.1.1 equation for ) (TE jc & , replacing )95( Ec

& and 

)82( Ec

& with ) 95( EHD

& and ) 82( EHD& , respectively. Determine ) 95( QHD

& and ) 95( EHD

&

from the AD Test described in section 3.2.1 and conducted in accordance with section 

3.3. Determine ) 82( QHD

& and ) 82( EHD

& using the section 3.2.1 default equations or 

EERE-2009-BT-TP-0004 1.1.001
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from the BD Test described in section 3.2.1 and conducted in accordance with section 

3.3. 

Replace section 4.1.1 references to )(TBL j with )(TBL jHD , as evaluated 

using Eq. 4.1.6–2. In evaluating Eq. 4.1.6–2, set ) 90( * QHD

& equal to the value obtained 

from solving the equation for ) (TQ jHD & at Tj = 90 °F. 

If it helps the user, the remaining section 4.1.1 calculation parameters of X(Tj)

and PLFj may also be designated as their dry climate versions by adding a subscript 

“HD” when calculating SEER-HD. Finally, use the section 4.1.1 value of c CD that 

was used to calculate SEER to also calculate SEER-HD. 

4.1.6.2 SEER-HD calculations for an air conditioner or heat pump having a 

single-speed compressor and a variable-speed variable-air-volume rate indoor fan. 

4.1.6.2.1 Units covered by section 3.2.2.1 where the indoor fan capacity 

modulation correlates with the outdoor dry bulb temperature. The manufacturer must 

provide information on how the indoor air volume rate or the indoor fan speed varies 

over the outdoor temperature range of 67 °F to 112 °F. Calculate SEER-HD using Eq. 

4.1.6–1. Evaluate the quantities NTq jHD /)( and NTe jHD /)( in Eq. 4.1.6–1 as 

specified in section 4.1.2.1 for NTq jc /)( and NTe jc /)( , respectively, only now 

replacing the quantities ) (TQ jc & and )(TE jc & with ) (TQ jHD & and ) (TE jHD & . Also, use 

EERE-2009-BT-TP-0004 1.1.001
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the fractional bin hours, nj/N, given in Table 16a rather than the values listed in Table 

16. 

Calculate ) (TQ jHD & using Eq. 4.1.2–2, where ) (TQ jHD & , ) (

2

j

k

HD TQ& = , and 

)(1

j

k

HD TQ& = replace ) (TQ jc & , ) ( 2j

k

c TQ& = , and ) (

1

j

k

c TQ& = , respectively. Use the section 

4.1.2.1 equations for ) (

1

j

k

c TQ& = and ) ( 2j

k

c TQ& = to calculate ) (

1

j

k

HD TQ& = and ) (

2

j

k

HD TQ& = , 

respectively. In evaluating these equations, use ) 82( k =1 QHD

& , ) 95( k =1 QHD& , ) 82( k =2 QHD& , and 

)95( k =2 QHD

& . Determine ) 95( k =2 QHD& and ) 95( k =1 QHD& from the AD2 and AD1 Tests described 

in section 3.2.2.1 and conducted in accordance with section 3.3. Determine ) 82( k =2 QHD

&

and ) 82( k =1 QHD

& using the section 3.2.2.1 default equations or from the BD2 and BD1

Tests described in section 3.2.2.1 and conducted in accordance with section 3.3. 

Calculate ) (TE jHD & using Eq. 4.1.2–4, where ) (TE jHD & , ) (

2

j

k

HD TE = & , and 

)(1

j

k

HD TE = & replace ) (TE jc & , ) (

2

j

k

c TE = & , and ) (

1

j

k

c TE = & , respectively. Use the section 

4.1.2.1 equations for ) (

1

j

k

c TE = & and ) (

2

j

k

c TE = & to calculate ) (

1

j

k

HD TE = & and ) (

2

j

k

HD TE = & , 

respectively. In evaluating these equations, use ) 82( k =1 EHD

& , ) 95( k =1 EHD& , ) 82( k =2 EHD& , and 

)95( k =2 EHD

& . Determine ) 95( k =2 EHD& and ) 95( k =1 EHD& from the AD2 and AD1 Tests described 

in section 3.2.2.1 and conducted in accordance with section 3.3. Determine ) 82( k =2 EHD

&

and ) 82( k =1 EHD

& using the section 3.2.2.1 default equations or from the BD2 and BD1

Tests described in section 3.2.2.1 and conducted in accordance with section 3.3. 

EERE-2009-BT-TP-0004 1.1.001
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Replace section 4.1.2.1 references to )(TBL j with )(TBL jHD , as evaluated 

using Eq. 4.1.6–2. In evaluating Eq. 4.1.6–2, set ) 90( * QHD

& equal to the value obtained 

from solving the equation for ) (

2

j

k

HD TQ& = at Tj = 90 °F. The parameters k =1 FPc , k =2 FPc , 

and )(TFP jc denote the fan speeds described in section 4.1.2.1, only now as applied 

to the dry climate configuration and, in the case of the first two variables, as used for 

the AD1 and AD2 Tests. 

If it helps the user, the remaining section 4.1.2.1 calculation parameters of 

X(Tj) and PLFj may also be designated as their dry climate versions by adding a 

subscript “HD” when calculating SEER-HD. Finally, use the section 4.1.2.1 value of 

c CD used to calculate SEER to also calculate SEER-HD. 

4.1.6.2.2 Units covered by section 3.2.2 where indoor fan capacity modulation 

is used to adjust the sensible to total cooling capacity ratio. Calculate SEER-HD as 

specified in section 4.1.6.1. 

4.1.6.3 SEER-HD calculations for an air conditioner or heat pump having a 

two-capacity compressor. 

Calculate SEER-HD using Eq. 4.1.6–1. Evaluate the quantities NTq jHD /)(

and NTe jHD /)( in Eq. 4.1.6-1 as specified for NTq jc /)( and NTe jc /)( , 

respectively, in sections 4.1.3.1, 4.1.3.2, 4.1.3.3, and 4.1.3.4, as appropriate, only now 

EERE-2009-BT-TP-0004 1.1.001
184

replacing the quantities ) ( j

k &

c TQ and )( j

k &

c TE with ) ( j

k &

HD TQ and ) ( j

k &

HD TE . Also, use 

the fractional bin hours, nj/N, given in Table 16a rather than the values listed in Table 

16. 

Calculate ) (

1

j

k

HD TQ& = using Eq. 4.1.3–1, where ) (

1

j

k

HD TQ& = , ) 82( k =1 QHD

& , and 

)67( k =1 QHD

& , replace ) (

1

j

k

c TQ& = , )82( k =1 Qc

& , and )67( k =1 Qc& , respectively. Calculate 

)( 2

j

k

HD TQ& = using Eq. 4.1.3–3 where ) (

2

j

k

HD TQ& = , ) 95( k =2 QHD

& , and ) 82( k =2 QHD& replace 

)( 2

j

k

c TQ& = , )95( k =2 Qc

& , and )82( k =2 Qc& , respectively. Determine ) 95( k =2 QHD

& and ) 82( k =1 QHD&

from the AD2 and BD1 Tests described in section 3.2.3 and conducted in accordance 

with section 3.3. Determine ) 82( k =2 QHD

& and ) 67( k =1 QHD& using the section 3.2.3 default 

equations or from the BD2 and FD1 Tests described in section 3.2.3 and conducted in 

accordance with section 3.3. 

Calculate ) (

1

j

k

HD TE = & using Eq. 4.1.3–2, where ) (

1

j

k

HD TE = & , ) 82( k =1 EHD

& , and 

)67( k =1 EHD

& , replace ) (

1

j

k

c TE = & , )82( k =1 Ec

& , and )67( k =1 Ec& , respectively. Calculate 

)( 2

j

k

HD TE = & using Eq. 4.1.3–4, where ) (

2

j

k

HD TE = & , ) 95( k =2 EHD

& , and ) 82( k =2 EHD& , replace 

)( 2

j

k

c TE = & , )95( k =2 Ec

& , and )82( k =2 Ec& , respectively. Determine ) 95( k =2 EHD

& and ) 82( k =1 EHD&

from the AD2 and BD1 Tests described in section 3.2.3 and conducted in accordance 

with section 3.3. Determine ) 82( k =2 EHD

& and ) 67( k =1 EHD& using the section 3.2.3 default 

equations or from the BD2 and FD1 Tests described in section 3.2.3 and conducted in 

accordance with section 3.3. 

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Replace section 4.1.3 to 4.1.3.4 references to )(TBL j with )(TBL jHD , as 

evaluated using Eq. 4.1.6–2. In evaluating Eq. 4.1.6–2, set ) 90( * QHD

& equal to the value 

obtained from solving the equation for ) (

2

j

k

HD TQ& = at Tj = 90 °F. 

If it helps the user, the remaining section 4.1.3 to 4.1.3.4 calculation 

parameters of Xk=1(Tj), Xk=2(Tj), and PLFj may also be designated as their dry climate 

versions by adding a subscript “HD” when calculating SEER-HD. Finally, use the 

section 4.1.3.1 value of c CD and the section 4.1.3.3 value of ) kC = 2( c

D that were used 

to calculate SEER to also calculate SEER-HD. 

4.1.6.4 SEER-HD calculations for an air conditioner or heat pump having a 

variable-speed compressor. 

Calculate SEER-HD using Eq. 4.1.6–1. Evaluate the quantities NTq jHD /)(

and NTe jHD /)( in Eq. 4.1.6–1 as specified for NTq jc /)( and NTe jc /)( , 

respectively, in sections 4.1.4.1, 4.1.4.2, and 4.1.4.3, as appropriate only now 

replacing the quantities ) ( j

k &

c TQ and )( j

k &

c TE with ) ( j

k &

HD TQ and ) ( j

k &

HD TE . Also, use 

the fractional bin hours, nj/N, given in Table 16a rather than the values listed in Table 

16. 

Calculate ) (

1

j

k

HD TQ& = using Eq. 4.1.3–1, where ) (

1

j

k

HD TQ& = , ) 82( k =1 QHD

& , and 

)67( k =1 QHD

& , replace ) (

1

j

k

c TQ& = , )82( k =1 Qc

& , and )67( k =1 Qc& , respectively. Calculate 

EERE-2009-BT-TP-0004 1.1.001
186

)( 2

j

k

HD TQ& = using Eq. 4.1.3–3 where ) (

2

j

k

HD TQ& = , ) 95( k =2 QHD

& , and ) 82( k =2 QHD& replace 

)( 2

j

k

c TQ& = , )95( k =2 Qc

& , and )82( k =2 Qc& , respectively. Determine ) 95( k =2 QHD

& and ) 82( k =1 QHD&

from the AD2 and BD1 Tests described in section 3.2.4 and conducted in accordance 

with section 3.3. Determine ) 82( k =2 QHD

& and ) 67( k =1 QHD& using the section 3.2.3 default 

equations or from the BD2 and FD1 Tests described in section 3.2.4 and conducted in 

accordance with section 3.3. 

Calculate ) (

1

j

k

HD TE = & using Eq. 4.1.3–2, where ) (

1

j

k

HD TE = & , ) 82( k =1 EHD

& , and 

)67( k =1 EHD

& , replace ) (

1

j

k

c TE = & , )82( k =1 Ec

& , and )67( k =1 Ec& , respectively. Calculate 

)( 2

j

k

HD TE = & using Eq. 4.1.3–4, where ) (

2

j

k

HD TE = & , ) 95( k =2 EHD

& , and ) 82( k =2 EHD& replace 

)( 2

j

k

c TE = & , )95( k =2 Ec

& , and )82( k =2 Ec& , respectively. Determine ) 95( k =2 EHD

& and ) 82( k =1 EHD&

from the AD2 and BD1 Tests described in section 3.2.4 and conducted in accordance 

with section 3.3. Determine ) 82( k =2 EHD

& and ) 67( k =1 EHD& using the section 3.2.3 default 

equations or from the BD2 and FD1 Tests described in section 3.2.4 and conducted in 

accordance with section 3.3. 

Approximate the performance of the air conditioner and heat pump had it been 

tested for its steady-state, dry climate, intermediate speed (k = v) performance at an 

outdoor dry bulb temperature of 87 °F using the following equations. 

[ ])87()87( 3

1 )87()87( = =1 =2 =1 = ×+ − k

HD

k

HD

k

HD

vk QHD Q&& Q Q&& 

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187

[ ])87()87( 3

1 )87()87( = =1 =2 =1 = ×+ − k

HD

k

HD

k

HD

vk EHD E&& E E&&

Where: 

)87( k =1 QHD

& and ) 87( k =2 QHD& = obtained by solving the equations for ) (

1

j

k

HD TQ& = and 

)( 2

j

k

HD TQ& = for Tj = 87 °F, and ) 87( k =1 EHD

& , and 

)87( k=2 EHD

& = obtained by solving the equations for ) (

1

j

k

HD TE = & and 

)( 2

j

k

HD TE = & for Tj = 87 °F. 

 

Calculate ) ( j

vk

HD TQ& = using Eq. 4.1.4–1, where ) ( j

vk

HD TQ& = and ) 87( vk QHD

& = replace 

)( j

vk

c TQ& = and )87( vk Qc

= & , respectively. Calculate ) ( j

vk

HD TE = & using Eq. 4.1.4–2, where 

)( j

vk

HD TE = & and ) 87( vk EHD

= & replace ) ( j

vk

c TE = & and )87( vk Ec

= & , respectively. 

Replace section 4.1.4 to 4.1.4.3 references to )(TBL j with )(TBL jHD , as 

evaluated using Eq. 4.1.6–2. In evaluating Eq. 4.1.6–2, set ) 90( * QHD

& equal to the value 

obtained from solving the equation for ) (

2

j

k

HD TQ& = at Tj = 90 °F. 

If it helps the user, the remaining section 4.1.4 to 4.1.4.3 calculation 

parameters of MQ, ME, NQ, NE, )( 1

j

k TEER = , A, B, C, D, T1, Tv, T2, ) ( 1

1 TEERk = , 

)( v

vk TEER = , ) ( 2

2 TEERk = , Xk=1(Tj), and PLFj may also be designated as their dry 

climate versions by adding a subscript “HD” when calculating SEER-HD. Finally, 

EERE-2009-BT-TP-0004 1.1.001
188

use the section 4.1.4.1 value of c CD used to calculate SEER to also calculate SEER–

HD. 

Table 16a. Distribution of Fractional Bin Hours Within the Hot-Dry Climatic 

Region 

Bin Number 

j

Bin 

Temperature 

Range 

°F

Representative 

Temperature for 

bin j

°F

Fraction of Total 

Temperature Bin Hours 

nj/N

1 65–69 67 0.477 

2 70–74 72 0.208 

3 75–79 77 0.119 

4 80–84 82 0.086 

5 85–89 87 0.047 

6 90–94 92 0.027 

7 95–99 97 0.021 

8 100–104 102 0.011 

9 105–109 107 0.004 

10 110–114 112 0.000 

* * * * * 

4.2* * * 

4. For triple-capacity, northern heat pumps (Definition 1.47), 

)47()47( =2 = k

h

k

h QQ && , the space heating capacity determined from the H12 Test. 

For HSPF calculations for all heat pumps, see either section 4.2.1, 4.2.2, 4.2.3, 

4.2.4, or 4.2.6, whichever applies. 

* * * * * 

4.2.4.2* * * 

T4 = the outdoor temperature at which the heat pump, when operating at 

EERE-2009-BT-TP-0004 1.1.001
189

maximum compressor speed, provides a space heating capacity equal to the 

building load ( Q

•

h

k=2(T4) = BL(T4)), °F. Determine T4 by equating Eqs. 4.2.2–

3 (k=2) and 4.2–2 and solving for outdoor temperature. Alternatively T4 may 

be determined as specified in section 10.2.4 of ASHRAE Standard 116-95 

(RA 05) (incorporated by reference, see §430.3). 

* * * * * 

4.2.6 Additional steps for calculating the HSPF of a heat pump having a 

triple-capacity compressor. The only triple-capacity heat pumps covered at this time 

are triple-capacity, northern heat pumps as defined in section 1.45. For such heat 

pumps, the calculation of the Eq. 4.2–1 quantities N

TRH

and

N

Te jh j )()(

differ 

depending on whether the heat pump would cycle on and off at low capacity (section 

4.2.6.1), cycle on and off at high capacity (section 4.2.6.2), cycle on and off at 

booster capacity (4.2.6.3), cycle between low and high capacity (section 4.2.6.4), 

cycle between high and booster capacity (section 4.2.6.5), operate continuously at 

low capacity (4.2.6.6), operate continuously at high capacity (section 4.2.6.7), operate 

continuously at booster capacity (4.2.6.8), or heat solely using resistive heating (also 

section 4.2.6.8) in responding to the building load. As applicable, the manufacturer 

must supply information regarding the outdoor temperature range at which each stage 

of compressor capacity is active. Information of the type shown in the example table 

below is required in such cases. 

Compressor Capacity Outdoor Temperature Range of Operation 

Low (k=1) 40 °F ≤ T ≤ 65 °F 

High (k=2) 20 °F ≤ T ≤ 50 °F 

Booster (k=3) -20 °F ≤ T ≤ 30 °F 

EERE-2009-BT-TP-0004 1.1.001
190

a. Evaluate the space heating capacity and electrical power consumption of the 

heat pump when operating at low compressor capacity and outdoor temperature Tj

using the equations given in section 4.2.3 for ) (

1

j

k

h TQ& = and ) (

1

j

k

h TE = & . In evaluating 

the section 4.2.3 equations, determine the inputs )62( k =1 Qh

& and )62( k =1 Eh

& from the 

HO1 Test and determine )47( k =1 Qh

& and )47( k =1 Eh

& from the H11 Test. Calculate all 

four quantities as specified in section 3.7. If, in accordance with section 3.6.6, the H31

Test is conducted, calculate )17( k =1 Qh

& and )17( k =1 Eh

& as specified in section 3.10 and 

determine )35( k =1 Qh

& and )35( k =1 Eh

& as specified in section 3.6.6. 

b. Evaluate the space heating capacity and electrical power consumption of 

the heat pump when operating at high compressor capacity and outdoor temperature 

Tj [) ( 2

j

k

h TQ& = and ) (

2

j

k

h TE = & ] by solving Eqs. 4.2.2–3 and 4.2.2–4, respectively, for k

= 2. Determine the equation inputs )47( k =2 Qh

& and )47( k =2 Eh

& from the H12 Test, 

evaluated as specified in section 3.7. Determine the equation inputs )35( k =2 Qh

& and 

)35( k =2 Eh

& from the H22 Test, evaluated as specified in section 3.9.1. Also, determine 

the equation inputs )17( k =2 Qh

& and )17( k =2 Eh

& from the H32 Test, evaluated as specified 

in section 3.10. 

c. Evaluate the space heating capacity and electrical power consumption of the 

heat pump when operating at booster compressor capacity and outdoor temperature Tj

using 

EERE-2009-BT-TP-0004 1.1.001
191

⎪

⎪

⎩

⎪

⎪

⎨

⎧

°≤ −

−×−

+

°≤< −

− −×

+

= = =

=

= =

=

=

FTif Q Q TQ

FTif Q Q TQ

TQ

j

j

k

h

k

k h

h

j

j

k

h

k

k h

h

j

k

h

17, 217

)2()]2()17([ )2(

17, 45

1735

)17()]17()35([ )17(

)( 3 3

3

3 3

3

3

&& &

&& &

&

⎪

⎪

⎩

⎪

⎪

⎨

⎧

°≤ −

−×−

+

°≤< −

− −×

+

= = =

=

= =

=

=

FTif

E TE

E

FTif

E E T

E

TE

j

j

k

h

k

k h

h

j

j

k

h

k

k h

h

j

k

h

17, 217

)2()]2()17([ )2(

17, 45

1735

)17()]17()35([ )17(

)( 3 3

3

3 3

3

3

&& &

&& &

&

Determine the inputs )17( k =3 Qh

& and )17( k =3 Eh

& from the H33 Test and 

determine )2( k =3 Qh

& and )2( k =3 Eh

& from the H43 Test. Calculate all four quantities as 

specified in section 3.10. Determine the inputs )35( k =3 Qh

& and )35( k =3 Eh

& as specified in 

section 3.6.6. 

4.2.6.1 Steady-state space heating capacity when operating at low compressor 

capacity is greater than or equal to the building heating load at temperature Tj,, 

)()(1

j j

k

h ≥ TBLTQ& = , and the heat pump permits low compressor capacity operation at 

Tj. Evaluate the quantities N

Te jh )( and 

N

TRH j )(

 using Eqs. 4.2.3–1 and 4.2.3–2, 

respectively. Determine the equation inputs ) (

1

j

k TX = , PLFj, and )( δ Tj ′ as specified 

in section 4.2.3.1. In calculating the part load factor, PLFj, use the low-capacity 

cyclic-degradation coefficient h CD [or equivalently, ) ( 1kCh

D = ] determined in 

accordance with section 3.6.6. 

EERE-2009-BT-TP-0004 1.1.001
192

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, 

)()( 2

j j

k

h ≥ TBLTQ& = . Evaluate the quantities N

Te jh )( and 

N

TRH j )(

 as specified in 

section 4.2.3.3. Determine the equation inputs ) (

2

j

k TX = , PLFj, and )( δ Tj ′ as 

specified in section 4.2.3.3. In calculating the part load factor, PLFj, use the highcapacity cyclic-degradation coefficient, ) kC = 2( h

D ] determined in accordance with 

section 3.6.6. 

4.2.6.3 Heat pump only operates at booster (k = 3) capacity at temperature Tj

and its capacity is greater than or equal to the building heating load, 

)()( 3

j j

k

h ≥ TBLTQ& = . Calculate 

N

TRH j )(

 using Eq. 4.2.3–2. Evaluate N

Te jh )( using 

N

n

PLF

TTETX

N

Te j

j

j j

k

hj

k

jh ×

×× ′ =

= = )()()()( 3 3 δ &

 

Where: 

)(/)()( 3 3

j

k

j hj

k TQTBLTX = = = & , and (1[)3(1 )] 3

j

h k PLFj D kC TX = −×=−=

EERE-2009-BT-TP-0004 1.1.001
193

Determine the low temperature cut-out factor, )( δ Tj ′ , using Eq. 4.2.3–3. Use 

the booster-capacity cyclic-degradation coefficient, ) kC = 3( h

D , determined in 

accordance with section 3.6.6. 

4.2.6.4 Heat pump alternates between low (k = 1) and high (k = 2) compressor 

capacity to satisfy the building heating load at temperature Tj, 

)()()(1 2

j

k

j hj

k

h TQTBLTQ = = << & & . 

Evaluate the quantities N

Te jh )( and 

N

TRH j )(

 as specified in section 4.2.3.2. 

Determine the equation inputs ) (

1

j

k TX = , ) ( 2

j

k TX = , and )( δ Tj ′ as specified in 

section 4.2.3.2. 

4.2.6.5 Heat pump alternates between high (k = 2) and booster (k = 3) 

compressor capacity to satisfy the building heating load at temperature Tj, 

)()()( 2 3

j

k

j hj

k

h TQTBLTQ = = << & & . 

Calculate 

N

TRH j )(

 using Eq. 4.2.3–2. Evaluate N

Te jh )( using 

[ ] N

n

TTETXTETX

N

Te j

j j

k

hj

k

j

k

hj

jh k = ⋅⋅+⋅ ′ ⋅ = = = = )()()()()( )( 2 2 3 3 δ & &

Where: 

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)()(

)()( )( 3 2

3

2

j

k

hj

k

h

j j

k

h

j

k

TQTQ

TBLTQ TX = =

=

=

−

− = &&

&

, and 

)(1)( 3 2

j

k

j

k TXTX = = −= = the heating mode, booster capacity load factor for 

temperature bin j, dimensionless. 

Determine the low temperature cut-out factor, )( δ 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, ()( ) 1

j

k

hj TQTBL = > & . 

N

n

TTE

N

Te j

j j

k

h

jh ×= ′ × = )()( )( 1 δ & and [ ]

N

nTTQTBL

N

TRH j jj

k

j hj × ⋅− ′ =

=

W

Btu/h 413.3

)()()()( 1 δ &

 

where the low temperature cut-out factor, )( δ 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, ) ()( 2

j

k

hj TQTBL = > & . Evaluate the 

quantities N

Te jh )( and 

N

TRH j )(

 as specified in section 4.2.3.4. Calculate )( δ Tj ′′

using the equation given in section 4.2.3.4. 

4.2.6.8 Heat pump only operates at booster (k = 3) capacity at temperature Tj

and its capacity is less than the building heating load, ()( ) 3

j

k

hj TQTBL = > & , or the 

system converts to using only resistive heating. 

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N

n

TTE

N

Te j

j j

k

h

jh ×= ′′ × = )()( )( 3 δ & and [ ]

N

nTTQTBL

N

TRH j jj

k

j hj × − × ′′ =

=

W

Btu/h 413.3

)()()()( 3 δ &

 

where )( δ Tj ′′ is calculated as specified in section 4.2.3.4 if the heat pump is 

operating at its booster compressor capacity. If the heat pump system coverts to using 

only resistive heating at outdoor temperature Tj, set )( δ Tj ′′ equal to zero. 

* * * * * 

4.2.7 Additional steps for calculating the HSPF of a heat pump having a single 

indoor unit with multiple blowers. The calculation of the Eq. 4.2–1 quantities 

NTe jh )( and j )( NTRH are evaluated as specified in applicable below subsection. 

4.2.7.1 For multiple blower heat pumps that are connected to a lone, singlespeed outdoor unit. 

a. Calculate the space heating capacity, ) (

1

j

k

h TQ& = , and electrical power 

consumption, ) (

1

j

k

h TE = & , 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, ) ( 2

j

k

h TQ& = , and 

electrical power consumption, ) (

2

j

k

h TE = & , 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 )47( k =1 Qh

& and )47( k =1 Eh

& from the H11 Test; 

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determine )47( k =2 Qh

& and )47( k =2 Eh

& from the H12 Test. Evaluate all four quantities 

according to section 3.7. Determine the quantities )35( k =1 Qh

& and )35( k =1 Eh

& as 

specified in section 3.6.2. Determine )35( k =2 Qh

& and )35( k =2 Eh

& from the H22 Frost 

Accumulation Test as calculated according to section 3.9.1. Determine the quantities 

)17( k =1 Qh

& and )17( k =1 Eh

& from the H31 Test, and )17( k =2 Qh

& and )17( k =2 Eh

& from the H32

Test. Evaluate all four quantities according to section 3.10. Refer to section 3.6.2 and 

Table 10 for additional information on the referenced laboratory tests. 

b. Determine the heating mode cyclic degradation coefficient, h CD , as per 

sections 3.6.2 and 3.8 to 3.8.1. Assign this same value to ) kC = 2( h

D . 

c. Except for using the above values of ) (

1

j

k

h TQ& = , ) (

1

j

k

h TE = & , ) ( 2j

k

h TQ& = , 

)( 2

j

k

h TE = & , h CD , and ) kC = 2( h

D , calculate the quantities NTe jh )( and j )( NTRH as 

specified in section 4.2.3.1 for cases where ()( ) 1

j j

k

h ≥ TBLTQ& = . For all other outdoor 

bin temperatures, Tj, calculate NTe jh )( and j )( NTRH as specified in section 

4.2.3.3 if ()( ) 2

j j

k

h > TBLTQ& = or as specified in section 4.2.3.4 if ()( ) 2j j

k

h ≤ TBLTQ& = . 

4.2.7.2 For multiple blower heat pumps connected to either a lone outdoor 

unit with a two-capacity compressor or to two separate but identical model singlespeed outdoor units. 

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Calculate the quantities NTe jh )( and j )( NTRH as specified in section 

4.2.3. 

* * * * * 

4.2.8 Off-mode seasonal power and energy consumption calculations. 

Evaluate the off-mode seasonal power consumption for the collective shoulders 

seasons, P1, which applies to air conditioners and heat pumps. For air conditioners, 

determine the off-mode seasonal power consumption for the heating season, P2. Once 

P1 and, for air conditioners, P2, are evaluated, use the SSH and the HSH to calculate 

the site specific seasonal energy consumption values. 

4.2.8.1 Off-mode seasonal power consumption for the collective shoulder 

seasons, P1. For air conditioners and heat pumps, the off-mode power consumption 

for the shoulder seasons is a single value that applies for all locations. The calculation 

of P1 varies for different types of systems. 

4.2.8.1.1 Air conditioners and heat pumps that do not have a compressor 

crankcase heater. For air conditioners and heat pumps not having a compressor 

crankcase heater, assign P1 as specified in sections 3.13.2.2 and 3.13.3.5, 

respectively. 

4.2.8.1.2 Air conditioners that have a compressor crankcase heater. For air 

conditioners having a compressor crankcase heater, evaluate P1 using 

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4

)72(1)67(1)62(1)57(1 1 PPPP P ++ + = , rounded to the nearest even wattage, 

Where: 

( ) ⎥

⎦

⎤ ⎢

⎣

⎡

⋅+=

CC

jCC

j R

TF

PTP

2 V230

100

)( 0)(1 . 

Obtain RCC , the measured resistance of crankcase heater element, and P0, the 

average off-mode power consumption of all other air conditioner components except 

the crankcase heater, as specified in sections 3.13.1 and 3.13.4.6, respectively. 

Calculate the percent time on of the crankcase heater for outdoor bin temperatures Tj

= 57, 62, 67, and 72 °F as specified in section 3.13.4.4.8. 

4.2.8.1.3 Heat pumps that have a compressor crankcase heater. For heat 

pumps having a compressor crankcase heater, evaluate P1

using ( )

⎥

⎥

⎦

⎤

⎢

⎢

⎣

⎡

⋅+=

CC

CC

R

F

PP

2 V230

100

)65( 01 , rounded to the nearest even wattage. 

Obtain RCC , the measured resistance of crankcase heater element, and P0, the 

average off-mode power consumption of all other heat pump components except the 

crankcase heater, as specified in sections 3.13.1 and 3.13.5.5.3, respectively. 

Calculate the percent time on of the crankcase heater at a 65 °F outdoor temperature, 

FCC(65), as specified in section 3.13.5.4.5. 

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4.2.8.2 Off-mode seasonal power consumption for air conditioners during the 

heating season, P2. For air conditioners, P2 is non-zero and evaluated as specified 

below. For heat pumps, P2 equals zero. 

4.2.8.2.1 For air conditioners that do not have a compressor crankcase heater. 

The off-mode power consumption for the heating season is a single value that applies 

for all locations. Assign P2 = P1, as determined in section 3.13.2.2. 

4.2.8.2.2 For air conditioners that have compressor crankcase heater. The offmode power consumption for the heating season depends on the fractional bin hour 

distribution, for which a different distribution is specified for each of the six 

generalized climatic regions, Figure 2. Calculate P2 using 

( ) ∑ ⎥

⎥

⎦

⎤

⎢

⎢

⎣

⎡

⋅⋅+=

J

j CC

jCCj

R

TF

N

n

PP

2 V230

100

)( 02 , rounded to the nearest even wattage. Obtain 

RCC , the measured resistance of crankcase heater element, and P0, the average offmode power consumption of all other air conditioner components except the 

crankcase heater, as specified in sections 3.13.1 and 3.13.4.6, respectively. Calculate 

FCC(Tj), the percent time on of the crankcase heater for outdoor bin temperatures Tj as 

specified in section 3.13.4.4.8. Obtain Nn j , the heating season fractional bin hours, 

from Table 17. 

4.2.8.3 Off-mode seasonal energy consumption. 

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4.2.8.3.1 For the shoulder seasons. Calculate the off-mode energy 

consumption for the collective shoulder seasons, E1, using 

11 ×= SSHPE

Where: 

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

Table 19. 

Table 19. Representative Cooling and Heating Load Hours and the 

Corresponding Set of Seasonal Hours for Each Generalized Climatic Region 

Climatic Region 

Cooling 

Load 

Hours 

CLRR

Heating 

Load 

Hours 

HLHR

Cooling 

Season 

Hours 

CSHR

Heating 

Season 

Hours 

HSHR

Shoulder 

Season 

Hours 

SSHR

I 2400 750 6731 1826 203 

II 1800 1250 5048 3148 564 

III 1200 1750 3365 4453 942 

IV 800 2250 2244 5643 873 

Rating Values 1000 2080 2805 5216 739 

V 400 2750 1122 6956 682 

VI 200 2750 561 6258 1941 

4.2.8.3.2 For the heating season–air conditioners only. Calculate the off-mode 

energy consumption of an air conditioner during the heating season, E2, using 

22 ×= HSHPE

Where 

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P2 = determined as specified in section 4.2.7.2 and the HSH are determined from 

Table 19. 

* * * * * 

4.3.1 * * * 

 

HSHPSSHP

HSPF

HLH CDHR

SEER

QCLH

QCLH HLH CDHR APF

A

k

cA

A

k

cA

A

×+×+

××

+

×

××+× =

1 2 )95(

)95(

&

& 

* * * 

P1 = the off-mode seasonal power consumption for the collective shoulders 

seasons, as determined in section 4.2.7.1, W, and 

P2 = the off-mode seasonal power consumption for the heating season, as 

determined in section 4.2.7.2, W. 

Evaluate the HSH using 

N

n

T

HLH T

HSH

j

J

j

j

OD

×−

−× =

∑=1

)65(

)65(

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Where 

TOD and Nn j = listed in Table 19 and depend on the location of interest 

relative to Figure 2. For the six generalized climatic regions, 

this equation simplifies to the following set of equations: 

Region I HSH = 2.4348 × HLH

Region II HSH = 2.5182 × HLH

Region III HSH = 2.5444 × HLH

Region IV HSH = 2.5078 × HLH

Region V HSH = 2.5295 × HLH

Region VI HSH = 2.2757 × HLH

Evaluate the shoulder season hours using 

SSH (8760 CSH +−= HSH )

Where: 

CSH = the cooling season hours calculated fromCSH = 8045.2 ×CLH

* * * * * 

4.3.2 Calculation of representative regional annual performance factors 

(APFR) for each generalized climatic region and for each standardized design heating 

requirement. 

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HSHPSSHP

HSPF

HLH CDHR

SEER

QCLH

QCLH HLH CDHR APF

R

k

cR

R

k

cR

R

×+×+

××

+

×

××+× =

1 2 )95(

)95(

&

&

Where: 

CLHR = the representative cooling hours for each generalized climatic region, 

Table 19, hr, 

HLHR = the representative heating hours for each generalized climatic region, 

Table 19, hr, and 

HSPF = the heating seasonal performance factor calculated as specified in section 

4.2 for the each generalized climatic region and for each standardized 

design heating requirement within each region, Btu/W×h. 

The SEER, Q

•

c

k

 (95), DHR, C, P1, P2, SSH, and HSH are the same quantities 

as defined in section 4.3.1. Figure 2 shows the generalized climatic regions. Table 18

lists standardized design heating requirements. 

Table 19. Representative Cooling and Heating Load Hours for Each Generalized 

Climatic Region 

Region CLHR HLHR

I 

II 

III 

IV 

V 

VI 

2400 

1800 

1200 

800 

400 

200 

750 

1250 

1750 

2250 

2750 

2750 

4.4 Rounding of SEER, HSPF, SHR, and APF for reporting purposes. After 

calculating SEER according to section 4.1, round it off as specified in subpart B 

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430.23(m)(3)(i) of Title 10 of the CFR. Round section 4.2 HSPF values and section 

4.3 APF values as per §430.23(m)(3)(ii) and (iii) of Title 10 of the CFR. Round 

section 4.5 SHR values to 2 decimal places. 

4.5 Calculations of the SHR, which should be computed for different 

equipment configurations and test conditions specified in Table 20. 

Table 20. Applicable Test Conditions for Calculation of the Sensible Heat Ratio 

Equipment Configuration Reference 

Table No. of 

Appendix M 

SHR 

Computation with 

Results From 

Computed Values 

Single-Speed Compressor and a Fixed-Speed 

Indoor Fan, a Constant Air Volume Rate Indoor 

Fan, or No Indoor Fan 

3 B Test SHR(B) 

Single-Speed Compressor and a Variable Air 

Volume Rate Indoor Fan 

4 B2 and B1 Tests SHR(B1),SHR(B2) 

Units Having a Two-Capacity Compressor 5 B2 and B1 Tests SHR(B1),SHR(B2) 

Units Having a Variable speed Compressor 6 B2 and B1 Tests SHR(B1),SHR(B2) 

The SHR is defined and calculated as follows: 

Capacity Cooling Total

Capacity Cooling Sensible = SHR

 = 

)(

)(

TQ

TQ

k

c

k

sc

&

&

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. 

* * * * * 

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