Basic Model Definitions 

Recommendation 1. Basic Model Definition: Commercial Warm Air Furnace 

Vote: Unanimous

A basic model means all commercial warm air furnaces manufactured by one manufacturer, that 

have the same nominal input rating and the same primary energy source (e.g. gas or oil) and that do 

not have any differing physical or functional characteristics that affect energy efficiency. 

Recommendation 2. Basic Model Definition: Commercial Packaged Boiler 

Vote: Unanimous

A basic model means all commercial packaged boilers of a given type manufactured by one 

manufacturer having the same primary energy source (e.g., gas or oil) and that have essentially 

identical electrical, physical and functional characteristics that affect energy efficiency. 

Recommendation 3. Basic Model Definition: Commercial Water Heating Equipment 

Vote: Unanimous

A basic model means all water heaters of a given type manufactured by one manufacturer having 

the same primary energy source (e.g., gas or oil) and that have essentially identical electrical, 

physical and functional characteristics that affect energy efficiency. 

Recommendation 4. Basic Model Definition: Commercial Refrigeration Equipment 

Vote: Unanimous

A basic model means all units of commercial refrigeration equipment manufactured by one 

manufacturer, having the same primary energy source, and that have essentially identical electrical, 

physical, and functional characteristics that affect energy consumption. 

Recommendation 5. Basic Model Definition: Packaged Terminal Air Conditioner/Packaged 

Terminal Heat Pump (PTAC/PTHP) 

Vote: Unanimous

A basic model means all systems of a given type of covered product (or class thereof) manufactured 

by one manufacturer, having the same primary energy source (electric or gas), and which have the 

same or comparable compressors, same or comparable condensing coils, same or comparable 

evaporator coils, and same or comparable air moving systems that have a cooling capacity within 

300 Btu/h of one another. 

Recommendation 6. Basic Model Definition: All Small/Large/Very Large Commercial 

Packaged Air Conditioning Equipment and Heating Equipment except Water Source Heat Pump 

Equipment (includes small commercial packaged, air-cooled, 3-phase, <65,000 Btu/h air 

conditioning and heating equipment; small commercial packaged, air-cooled, ≥65,000 Btu/h air 

conditioning and heating equipment; small commercial packaged, water-cooled air conditioning 
and heating equipment; small commercial packaged, evaporatively-cooled air conditioning and 

heating equipment; large commercial packaged air-conditioning and heating equipment (watercooled and evaporatively-cooled); very large commercial package air-conditioning and heating 

equipment (water-cooled and evaporatively-cooled) 

Vote: Unanimous

A basic model means all systems within a single equipment class and which have the same or 

comparably performing compressor(s), condensing coil(s), evaporator coil(s), and air moving 

system(s) that have a common “nominal” cooling capacity.

Recommendation 7. Basic Model Definition: Water Source Heat Pump Equipment (small, 

large and very large) 

Vote: Unanimous

A basic model means all systems of a given type of covered product (or class thereof) manufactured 

by one manufacturer, having the same primary energy source (electric or gas), and which have the 

same or comparable compressors, same or comparable condensing coils, same or comparable 

evaporator coils, and same or comparable “nominal” capacity.

Recommendation 8. Basic Model Definition: Single Package Vertical Unit, including single 

package vertical air conditioner and single package vertical heat pump (SPVU) 

Vote: Unanimous

A basic model means all systems of a given type of covered product (or class thereof), having the 

same primary energy source (electric or gas), and which have the same or comparably performing 

compressor(s), condensing coils(s), evaporator coil(s), and air moving system(s) that have a rated 

cooling capacity within 1500 Btu/h of one another. 

Recommendation 9. Basic Model Definition: Computer Room Air Conditioner (CRAC) 

Vote: Unanimous

A basic model means all systems of a given type of covered product (or class thereof), having the 

same primary energy source (electric or gas), and which have the same or comparably performing 

compressor(s), condensing coils(s), evaporator coil(s), and air moving system(s) that have a 

common “nominal” cooling capacity. 

Recommendation 10. Basic Model Definition: Variable Refrigerant Flow Multi-Split Air 

Conditioner and Variable Refrigerant Flow Multi-Split Heat Pump (VRF) (≥65,000 Btu/h)

Vote: Unanimous

A basic model means all systems of a given type of covered product (or class thereof), having the 

same primary energy source (electric or gas), and which have the same or comparably performing 

compressor(s) that have a common “nominal” cooling capacity and the same heat rejection medium 

(air or water) (includes VRF water source heat pumps). 
Equipment Features Requiring Test Procedure Action 

DOE agreed to issue guidance explaining how certain features of products should be tested under the 

current regulations until the guidance is superseded by a test procedure rulemaking. Industry will have 

an opportunity to comment on draft guidance. 

Commercial Refrigeration Equipment Features 

Recommendation 11. Signage/Cabinet Illumination. Some customers may wish to add 

additional exterior signage, outside of the body of the refrigerated cabinet, to units for 

advertising purposes. DOE will initiate a process to address how customer display and signage is 

accounted for in the test procedures. 

Vote: Unanimous

Recommendation 12. Condensate Pan Heater. Electric resistance heaters are used in some 

types of commercial refrigeration equipment to evaporate defrost melt water. These heaters 

must be installed and operational during the entire test (as per ASHRAE 72-2005). 

NOTE: “entire test” includes stabilization (including pull-down), steady-state and performance 

testing periods. 

Prior to the start of the stabilization period, the condensate pan should be dry. 

During the entire test, any condensate moisture generated should be allowed to accumulate in 

the pan, as it would during normal operations. 

Water should not be manually added to, or removed from, the condensate pan at any time 

during the entire test. 

Vote: Unanimous

Recommendation 13. Condensate Pump. This pumps defrost melt water to a remotelylocated drain. These pumps must be installed and operational during the entire test (as per 

ASHRAE 72-2005). 

NOTE: “entire test” includes stabilization (including pull-down), steady-state and performance 

testing periods. 

Prior to the start of the stabilization period, the condensate pan should be dry. 

During the entire test, any condensate moisture generated should be allowed to accumulate in 

the pan, as it would during normal operations. 

Water should not be manually added to, or removed from, the condensate pan at any time 

during the entire test. 

Vote: Unanimous

Recommendation 14. Door Heaters/High-Wattage Doors. Manufacturers may add extra antisweat power to doors for some applications (high ambient temperature/humidity). These 

heaters must be operational during test. There are three options for test: 

Machines with a user-selectable setting must be turned on and set to the maximum 

usage position. 
Machines with an automatic non-user adjustable controller that turns on/off based on 

environmental conditions must be operating in its automatic state. 

If a unit is not shipped with a controller from the point of manufacture and is intended 

to be used with a controller, DOE will initiate a process to determine that the unit is 

tested in fashion that assures a level playing field. 

Vote: Two abstentions 

Recommendation 15. Ultraviolet Lights. Customers may specify ultraviolet lights used to 

neutralize pathogens in the case. DOE will issue guidance that UV lights do not need to be 

turned on for test. 

Vote: Unanimous

Recommendation 16. Illuminated Temperature Displays/Alarms. Illuminated temperature 

displays provide visual information about the case temperature. Alarms notify operators if case 

temperature falls out of a specified range. DOE will issue guidance that illuminated temperature 

displays and temperature alarms should be enabled during test. 

Vote: Unanimous

Recommendation 17. Condenser Filters. Nonpermanent filters on condensers prevent 

particulates such as flour from blocking the condenser coil and reducing airflow. DOE will issue 

guidance to indicate that filters should be removed during testing. 

Vote: Unanimous

Recommendation 18. Refrigeration System Security Covers. These are straps or other devices 

are used to secure the condensing unit. DOE will issue guidance to indicate that refrigeration 

system security covers should be removed for testing 

Vote: Unanimous

Recommendation 19. Grill Options. Special grills are used to direct airflow in unique 

applications (such as up and away from a rear wall). DOE will issue guidance that, if present, 

non-standard grills should be removed for testing. 

Vote: Unanimous

Recommendation 20. Coated Coils. Coatings may be added to coils to provide protection 

from harsh environments, such as where oxidizers or acids are present. DOE will issue guidance 

clarifying that all types of coils are eligible for testing and should be considered when 

determining ratings for basic models. 

Vote: Unanimous

Recommendation 21. Misting Systems/Humidification Systems. Misting systems dispense a 

water mist which is used to maintain quality of products, such as fresh produce. DOE will issue 

guidance indicating that misting systems should be inactive during test. 

Vote: Unanimous
Recommendation 22. Air Purifiers. These systems remove contaminants from recirculated 

case air. DOE will issue guidance indicating that air purifiers should not be active during test. 

Vote: Unanimous

Recommendation 23. General Purpose Outlets. Some cases contain additional electrical 

outlets which can be used to power additional equipment such as scales or slicers. DOE will 

issue guidance indicating that there should be no load connected to the general purpose outlet 

(however, any losses from added components due to the presence of a general purpose outlet 

would be counted). 

Vote: Unanimous

Recommendation 24. Crankcase Heaters. These heaters keep the compressor warm to 

maintain the refrigerant inside at optimal conditions when operating at low ambient 

temperatures. DOE will issue guidance indicating that crankcase heaters should be operational 

during test. If they have a control system, it should be used. 

Vote: Unanimous

Other CRE test procedure issues raised: 

Night Curtains/Covers. Night curtains or covers can be pulled down over a case to reduce 

infiltration and energy consumption during periods when shoppers are not present. 

Treatment of night curtains or covers is fully addressed by the test procedure as currently 

written. Because no guidance or clarification was needed, no vote was taken. 

Internal Secondary Coolant Circuits. A unit design featuring an internal circuit containing a 

secondary working fluid which is cooled by a remote condensing unit. Treatment of internal 

secondary coolant circuits is fully addressed by the test procedure as currently written. 

Because no guidance or clarification was needed, no vote was taken. 

Wedge Cases. These cases fit between two other cases to fill a gap (such as a corner) in a 

continuous case lineup. They may require air spillover from adjacent cases to meet design 

temperatures. The current test procedure requires that a wedge case must be tested and 

meet standards individually. If the consumption measured using the test procedure is not 

representative of the energy use of the wedge case, manufacturers should seek a test 

procedure waiver. Treatment of wedge cases is fully addressed by the test procedure as 

currently written. Because no guidance or clarification was needed, no vote was taken. 

Interior/Exterior Liners. Added or varied liner material may be added to the inside and/or 

outside of the case. The thermal impact of any type of liner would be captured by the 

current DOE test procedure. Because no guidance or clarification was needed, no vote was 

taken. 

PTAC/PTHP Features 

Recommendation 25. High Efficiency Air Filtration. An assembly of air filters and filter 

brackets or racks that provides greater air filtration than the air filtration assembly available for 

sale with the equipment that provides the lowest air filtration. DOE will issue guidance 
specifying that a unit should be tested “as shipped” – with any filter provided with the unit. 

DOE should address the issue of filtration in the next test procedure rulemaking. 

Vote: Unanimous

Recommendation 26. Extended Wall Sleeves. Normal wall sleeve depth is 14 inches. 

Extended wall sleeves can range from 16 inches to 31 inches. DOE will issue guidance indicating 

that units should be tested with standard 14 inch sleeve. 

Vote: Unanimous

Recommendation 27. Decorative Grills. An architectural/decorative grill used primarily for 

aesthetic purposes. DOE will issue guidance that units should be tested with standard grill(s). 

Vote: Unanimous

Small/Large/Very Large Commercial Packaged Air Conditioning Equipment and Heating Equipment 

Features 

Recommendation 28. Correction Capacitor. A capacitor that increases the power factor 

measured at the line connection to the equipment. DOE will issue guidance that power should 

be measured downstream of a capacitor or that the capacitor should be disconnected when 

testing. 

Vote: Unanimous

Recommendation 29. Hail Guard. A grille or similar structure mounted to the outside of the 

unit covering the outdoor coil to protect the coil from hail, flying debris and damage from large 

objects. DOE will issue guidance that indicating that hail guards should be removed during 

testing, if present. 

Vote: Unanimous

Recommendation 30. Barometric Relief. An assembly with dampers and means to 

automatically set the damper position in a closed position and one or more open positions to 

allow venting directly to the outside a portion of the building air that is returning to the unit, 

rather than allowing it to recirculate to the indoor coil and back to the building. DOE will issue 

guidance indicating that dampers must be fully sealed during testing. 

Vote: Unanimous

Recommendation 31. Fresh Air Dampers. An assembly with dampers and means to set the 

damper position in a closed and one open position to allow air to be drawn into the equipment 

when the indoor fan is operating. DOE will issue guidance indicating that dampers must be fully 

sealed during testing. 

Vote: Unanimous

Recommendation 32. High Efficiency Air Filtration. An assembly of air filters and filter brackets 

or racks that provides greater air filtration than the air filtration assembly available for sale with 
the equipment that provides the lowest level of air filtration. DOE will issue guidance that a unit 

must be tested with the manufacturer’s standard air filter, as described by the manufacturer in

the product literature. A test lab should obtain one if not provided with the unit that meets 

specifications in the manufacturer’s literature.

Vote: Unanimous

Recommendation 33. UV Lights. A lighting fixture and lamp mounted so that it shines light on 

the indoor coil, that emits ultraviolet light to inhibit growth of organisms on the indoor coil 

surfaces, the condensate drip pan, and/other locations within the equipment. DOE will issue 

guidance that UV lights do not need to be turned on during test. 

Vote: Unanimous

Recommendation 34. Grill Options. For water-source heat pumps, various grill options can be 

used for airflow directionality or customer preference. DOE will issue guidance that units should 

be tested with a standard grill(s). 

Vote: Unanimous

SPVU Features 

Recommendation 35. Correction Capacitor. A capacitor that increases the power factor 

measured at the line connection to the equipment. DOE will issue guidance that power should 

be measured downstream of a capacitor or that the capacitor should be disconnected when 

testing. 

Vote: Unanimous

Recommendation 36. Hail Guard. A grille or similar structure mounted to the outside of the 

unit covering the outdoor coil to protect the coil from hail, flying debris and damage from large 

objects. DOE will issue guidance that indicating that hail guards should be removed during 

testing, if present. 

Vote: Unanimous

Recommendation 37. Barometric Relief. An assembly with dampers and means to 

automatically set the damper position in a closed position and one or more open positions to 

allow venting directly to the outdoors a portion of the building air that is returning to the unit, 

rather than allowing it to recirculate to the indoor coil and back to the building. DOE will issue 

guidance indicating that dampers must be fully sealed during testing. 

Vote: Unanimous

Recommendation 38. Fresh Air Dampers. An assembly with dampers and means to set the 

damper position in a closed and one open position to allow air to be drawn into the equipment 

when the indoor fan is operating. DOE will issue guidance indicating that dampers must be fully 

sealed during testing. 

Vote: Unanimous
Recommendation 39. UV Lights. A lighting fixture and lamp mounted so that it shines light on 

the indoor coil, that emits ultraviolet light to inhibit growth of organisms on the indoor coil 

surfaces, the condensate drip pan, and/other locations within the equipment. DOE will issue 

guidance that UV lights do not need to be turned on during test. 

Vote: Unanimous

Other SPVU test procedure issue raised: 

High Efficiency Air Filtration. An assembly of air filters and filter brackets or racks that provides 

greater air filtration than the air filtration assembly available for sale with the equipment that 

provides the lowest air filtration. Treatment of filtration is fully addressed by the test procedure 

as currently written. 

CRAC Features 

Other CRAC test procedure issue raised: 

High Efficiency Air Filtration. An assembly of air filters and filter brackets or racks that provides 

greater air filtration than the air filtration assembly available for sale with the equipment that 

provides the lowest air filtration. Treatment of filtration is fully addressed by the test procedure 

as currently written. 

VRF Features 

Recommendation 40. Snow/Wind Guards. A baffle and or ducting mounted to the air intake 

and discharge of the outdoor unit. DOE will issue guidance that indicating that snow/wind 

guards should be removed during testing, if present. 

Vote: Unanimous

Recommendation 41. Hail Guard. A grille or similar structure mounted to the outside of the 

unit covering the outdoor coil to protect the coil from hail, flying debris and damage from large 

objects. DOE will issue guidance that indicating that hail guards should be removed during 

testing, if present. 

Vote: Unanimous

Recommendation 42. Fresh Air Dampers. An assembly with dampers and means to set the 

damper position in a closed and one open position to allow air to be drawn into the equipment 

when the indoor fan is operating. DOE will issue guidance indicating that dampers must be fully 

sealed during testing. 

Vote: Unanimous

Recommendation 43. Grill Options. Various grill options can be used for airflow directionally 

or customer preference. DOE will issue guidance that units should be tested with standard 

grill(s). 

Vote: Unanimous
Recommendation 44. Low Ambient Cooling Dampers. Recirculation air dampers are 

motorized devices that recirculate the warmer condenser discharge air to allow for reliable 

cooling at low ambient conditions. DOE will issue guidance that dampers should be removed 

prior to testing. 

Vote: Unanimous

Recommendation 45. UV Lights. A lighting fixture and lamp mounted so that it shines light on 

the indoor coil, that emits ultraviolet light to inhibit growth of organisms on the indoor coil 

surfaces, the condensate drip pan, and/other locations within the equipment. DOE will issue 

guidance that UV lights do not need to be turned on during test. 

Vote: Unanimous

Other VRF test procedure issue raised: 

High Efficiency Air Filtration. An assembly of air filters and filter brackets or racks that provides 

greater air filtration than the air filtration assembly available for sale with the equipment that 

provides the lowest air filtration. Treatment of filtration is fully addressed by the test procedure 

as currently written. 

Equipment Features Subject To Enforcement Policy 

The Working Group agreed that DOE should issue an enforcement policy declining to test certain 

features of products, provided that certain conditions are met, until the currently applicable standard is 

superseded by a standards rulemaking. 

Recommendation 46. Limitation on testing is subject to feature availability in a basic model 

Vote: Unanimous

DOE will exclude the following features of certain products from Departmental testing; however, 

such an exclusion only applies when a model that is identical in all other features is available in the 

manufacturer’s product line for sale at all times. In any case where a manufacturer does not offer 

an identical model that does not include the feature in question, the model with that feature is 

eligible for Departmental testing. 

Commercial Refrigeration Equipment Features 

Recommendation 47. Crankcase Pressure Regulator. This is a mechanical device designed to 

prevent the compressor's motor from overloading when its crankcase pressure rises above its 

designed working pressure. On many low-temperature applications, this can occur during or 

after a defrost cycle, or after a normal shutdown period. The CPR is an outlet pressure regulator 

and will not allow the crankcase pressure to rise above a predetermined level. 

Vote: Unanimous

All Small/Large/Very Large Commercial Packaged Air Conditioning Equipment and Heating Equipment 

Features 
Recommendation 48. Economizer. An automatic system that enables a cooling system to 

supply outdoor air to reduce or eliminate the need for mechanical cooling during mild or cold 

weather. 

Vote: Unanimous

Recommendation 49. Ventilation Energy Recovery System (VERS). An assembly that 

preconditions outdoor air entering the equipment through direct or indirect thermal and/or 

moisture exchange with the exhaust air, which is defined as the building air being exhausted to 

the outside from the equipment. 

Vote: Unanimous

Recommendation 50. Coated Coil(s). A coated coil is an optional coil that is selected to 

provide excellent resistance and durability to corrosive effects of alkalies, acids, alcohols, 

petroleum, seawater, salty air, and other corrosive environments. Typical processes include, 

baked phenolic, cathodic epoxy type electrodisposition coating or thermoset vinyl coating that is 

bonded after coil is assembled covering the coil; tubes, headers and fin surface. Coils can be 

assembled from fin stock that has been coated prior to the fin stamping process. Corrosion 

durability shall be confirmed through testing per ASTM B117 or ASTM G85 Salt Spray test to a 

minimum of 500 hours. 

Vote: Unanimous

Recommendation 51. Process Heat Recovery/Reclaim Coils/Thermal Storage. A heat 

exchanger located inside the equipment that conditions the equipment’s supply air using energy 

transferred from an external source using a vapor, gas, or liquid. 

Vote: Unanimous

Recommendation 52. Dehumidification Components. An assembly that reduces the moisture 

content of the supply air through moisture transfer with solid or liquid desiccants. Liquid 

desiccant system, desiccant wheels. 

Vote: Unanimous

Recommendation 53. Indoor or Outdoor Fan Motor with Variable Frequency Drive (VFD). A 

device connected electrically between the equipment’s power supply connection and the fan 

motor that can vary the frequency of power supplied to the motor to allow variation of the 

motor’s rotational speed.

Vote: Unanimous

Recommendation 54. Compressor with Variable Frequency Drive (VFD). A device connected 

electrically between the equipment’s power supply connection and the compressor that can 

vary the frequency of power supplied to the compressor to allow variation of the compressor’s 

rotational speed. 

Vote: Unanimous
Recommendation 55. Condenser Fan Motor Options (for ducting). A condenser fan/motor 

assembly designed for external ducting of condenser air that provides greater pressure rise and 

has a higher rated motor horsepower than the condenser fan provided as a standard 

component with the equipment. *Subject to enforcement policy with additional limitation that 

the otherwise identical model must be an un-ducted model with a standard motor. 

Vote: Unanimous

Recommendation 56. Steam/Hydronic Heat Options. A heat exchanger located inside the 

equipment that heats the equipment’s supply or outdoor air using heat delivered by steam or 

hot water. *Subject to enforcement policy provided that the otherwise identical model has 

electric resistance heating. If only hydronic heat options are available, the hydronic heat model 

must be tested and rated. 

Vote: One abstention

Recommendation 57. Hot Gas Reheat. A heat exchanger located downstream of the indoor 

coil that heats the supply air during cooling operation using high pressure refrigerant in order to 

increase the ratio of moisture removal to cooling capacity provided by the equipment. 

Vote: Unanimous

Recommendation 58. Powered Exhaust/Powered Return Air. Powered exhaust is provided by 

a fan that transfers directly to the outdoors a portion of the building air that is returning to the 

unit, rather than allowing it to recirculate to the indoor coil and back to the building. Powered 

return air is provided by a fan that draws building air into the equipment. 

Vote: Unanimous

Recommendation 59. Hot Gas Bypass. A method to adjust the cooling delivered by the 

equipment in which some portion of the hot high-pressure refrigerant from the discharge of the 

compressor(s) is diverted from its normal flow to the outdoor coil and is instead allowed to 

enter the indoor coil to modulate the capacity of a refrigeration circuit or to prevent evaporator 

coil freezing. The group noted that this would need to be revisited in the case of a switch to a 

part load metric. 

Vote: Unanimous

Recommendation 60. Sound Traps/Sound Attenuator. An assembly of structures through 

which the supply air passes before leaving the equipment or through which the return air from 

the building passes immediately after entering the equipment for which the sound insertion loss 

is at least 6 dB for the 125 Hz octave band frequency range. 

Vote: Unanimous

Recommendation 61. Fire, Smoke and/or Isolation Dampers. A damper assembly including 

means to open and close the damper mounted at the supply or return duct opening of the 

equipment. Such a damper may be rated by an appropriate test laboratory according to the 
appropriate safety standard, such as UL 555 or UL555S. 

Vote: Unanimous

Recommendation 62. Desuperheaters. A heat exchanger that provides water heating external 

to the unit with the hot refrigerant gas from the compressor. 

Vote: Unanimous

Recommendation 63. High Static Indoor Blowers/Oversized Motors. An indoor fan assembly 

including a motor that drives the fan, that can deliver higher external static pressure than the 

standard indoor fan assembly sold with the equipment. *Working Group agreed to the following 

concept but has not yet agreed upon details about how comparability would be evaluated: 

Any high static indoor blower motor offered within a basic model must have the same or better 

relative efficiency performance as the motor included in the base unit. 

Vote: Unanimous

Recommendation 64. Indirect or Indirect/Direct Evaporative Cooling of Outdoor Air Supply. 

Water is used to cool Outdoor Air Supply (OAS) without adding moisture to the airstream using 

a heat exchanger with dry and wet side. This is referred to as “indirect” evaporative cooling. In 

very dry climates moisture can be added by a “direct” evaporative section to further reduce the 

OAS dry bulb temperature. 

Vote: Unanimous

Recommendation 65. Evaporative Pre-cooling of Condenser Intake Air. Water is evaporated 

into the air entering the air cooled condenser to lower the dry bulb temperature and thereby 

increase efficiency of the refrigeration cycle. 

Vote: Unanimous

Additional Water-Source Heat Pump Features 

Recommendation 66. Condenser Pumps/Valves/Fittings. Additional components in the water 

circuit for water control or filtering. 

Vote: Unanimous

Recommendation 67. Electric Heaters. Provides additional heat using an electric resistance 

heater. 

Vote: Unanimous

Recommendation 68. Condenser Water Reheat. A heat exchanger is located downstream of 

the indoor coil that heats the supply air during cooling operation using water from the 

condenser coil in order to increase the ratio of moisture removal to cooling capacity provided by 

the equipment 

Vote: Unanimous
SPVU Features 

Recommendation 69. Economizer. An automatic system that enables a cooling system to 

supply outdoor air to reduce or eliminate the need for mechanical cooling during mild or cold 

weather. 

Vote: Unanimous

Recommendation 70. Ventilation Energy Recovery System (VERS). An assembly that 

preconditions outdoor air entering the equipment through direct or indirect thermal and/or 

moisture exchange with the exhaust air, which is defined as the building air being exhausted to 

the outside from the equipment. 

Vote: Unanimous

Recommendation 71. Dehumidification Components. An assembly that reduces the moisture 

content of the supply air through moisture transfer with solid or liquid desiccants. Liquid 

desiccant system, desiccant wheels. 

Vote: Unanimous

Recommendation 72. Condenser Fan Motor Options (for ducting). A condenser fan/motor 

assembly designed for external ducting of condenser air that provides greater pressure rise and 

has a higher rated motor horsepower than the condenser fan provided as a standard 

component with the equipment. *Subject to enforcement policy with additional limitation that 

the otherwise identical model must be an un-ducted model with a standard motor. 

Vote: Unanimous

Recommendation 73. Steam/Hydronic Heat Options. A heat exchanger located inside the 

equipment that heats the equipment’s supply or outdoor air using heat delivered by steam or 

hot water. *Subject to enforcement policy provided that the otherwise identical model has 

electric resistance heating. If only hydronic heat options are available, the hydronic heat model 

must be tested and rated. 

Vote: Unanimous

Recommendation 74. Hot Gas Reheat. A heat exchanger located downstream of the indoor 

coil that heats the supply air during cooling operation using high pressure refrigerant in order to 

increase the ratio of moisture removal to cooling capacity provided by the equipment. 

Vote: Unanimous

Recommendation 75. Powered Exhaust/Powered Return Air. Powered exhaust is provided by 

a fan that transfers directly to the outside a portion of the building air that is returning to the 

unit, rather than allowing it to recirculate to the indoor coil and back to the building. Powered 

return air is provided by a fan that draws building air into the equipment. 

Vote: Unanimous
Recommendation 76. Hot Gas Bypass. A method to adjust the cooling delivered by the 

equipment in which some portion of the hot high-pressure refrigerant from the discharge of the 

compressor(s) is diverted from its normal flow to the outdoor coil and is instead allowed to 

enter the indoor coil to modulate the capacity of a refrigeration circuit or to prevent evaporator 

coil freezing. 

Vote: Unanimous

Recommendation 77. Sound Traps/Sound Attenuator. An assembly of structures through 

which the supply air passes before leaving the equipment or through which the return air from 

the building passes immediately after entering the equipment for which the sound insertion loss 

is at least 6 dB for the 125 Hz octave band frequency range. 

Vote: Unanimous

Recommendation 78. Fire, Smoke and/or Isolation Dampers. A damper assembly including 

means to open and close the damper mounted at the supply or return duct opening of the 

equipment. Such a damper may be rated by an appropriate test laboratory according to the 

appropriate safety standard, such as UL 555 or UL555S. 

Vote: Unanimous

Recommendation 79. High Static Indoor Blowers/Oversized Motors. An indoor fan assembly 

including a motor that drives the fan, that can deliver higher external static pressure than the 

standard indoor fan assembly sold with the equipment. *Working Group agreed to the following 

concept but has not yet agreed upon details about how comparability would be evaluated: 

Any high static indoor blower motor offered within a basic model must have the same or better 

relative efficiency performance as the motor included in the base unit. 

Vote: Unanimous

CRAC Features 

Recommendation 80. Economizer. An automatic system that enables a cooling system to 

supply outdoor air to reduce or eliminate the need for mechanical cooling during mild or cold 

weather. 

Vote: Unanimous

Recommendation 81. Dehumidification Components. An assembly that reduces the moisture 

content of the supply air through moisture transfer with solid or liquid desiccants. Liquid 

desiccant system, desiccant wheels. 

Vote: Unanimous

Recommendation 82. Condenser Fan Motor Options (for ducting). A condenser fan/motor 

assembly designed for external ducting of condenser air that provides greater pressure rise and 

has a higher rated motor horsepower than the condenser fan provided as a standard 

component with the equipment. *Subject to enforcement policy with additional limitation that 
the otherwise identical model must be an un-ducted model with a standard motor. 

Vote: Unanimous

Recommendation 83. Hot Gas Reheat. A heat exchanger located downstream of the indoor 

coil that heats the supply air during cooling operation using high pressure refrigerant in order to 

increase the ratio of moisture removal to cooling capacity provided by the equipment. 

Vote: Unanimous

Recommendation 84. Fire, Smoke and/or Isolation Dampers. A damper assembly including 

means to open and close the damper mounted at the supply or return duct opening of the 

equipment. Such a damper may be rated by an appropriate test laboratory according to the 

appropriate safety standard, such as UL 555 or UL555S. 

Vote: Unanimous

VRF Features 

Recommendation 85. Economizer. An automatic system that enables a cooling system to 

supply outdoor air to reduce or eliminate the need for mechanical cooling during mild or cold 

weather. 

Vote: Unanimous

Recommendation 86. Coated Coil(s). A coated coil is an optional coil that is selected to 

provide excellent resistance and durability to corrosive effects of alkalies, acids, alcohols, 

petroleum, seawater, salty air, and other corrosive environments. Typical processes include, 

baked phenolic, cathodic epoxy type electrodisposition coating or thermoset vinyl coating that is 

bonded after coil is assembled covering the coil; tubes, headers and fin surface. Coils can be 

assembled from fin stock that has been coated prior to the fin stamping process. Corrosion 

durability shall be confirmed through testing per ASTM B117 or ASTM G85 Salt Spray test to a 

minimum of 500 hours. 

Vote: Unanimous

Recommendation 87. Steam/Hydronic Heat Options. A heat exchanger located inside the 

equipment that heats the equipment’s supply or outdoor air using heat delivered by steam or 

hot water. *Subject to enforcement policy provided that the otherwise identical model has 

electric resistance heating. If only hydronic heat options are available, the hydronic heat model 

must be tested and rated. 

Vote: Unanimous

Recommendation 88. Dehumidification Components. An assembly that reduces the moisture 

content of the supply air through moisture transfer with solid or liquid desiccants. Liquid 

desiccant system, desiccant wheels. 

Vote: Unanimous
Equipment Features NOT Subject To Enforcement Policy 

Recommendations 90-96: Certain features of products were discussed and determined that the 

enforcement policy should not apply. All features not listed above must be accounted for in basic model 

energy efficiency/consumption ratings; however, the features listed below were discussed by the group 

and expressly determined should not be subject to the enforcement policy.

PTAC/PTHP copper evaporator or condenser coil(s). An indoor or outdoor coil used in an air 

conditioner and fabricated entirely of copper. 

Vote: Unanimous

PTAC/PTHP coated coil(s). Coated Coil(s). An indoor coil or outdoor coil whose entire surface, 

including the entire surface of both fins and tubes, is covered with a thin continuous non-porous 

coating to reduce corrosion. 

Vote: Unanimous

All Small/Large/Very Large Commercial Packaged Air Conditioning Equipment and Heating 

Equipment copper evaporator or condenser coil(s). An indoor or outdoor coil used in an air 

conditioner and fabricated entirely of copper. 

Vote: Unanimous

SPVU copper evaporator or condenser coil(s). An indoor or outdoor coil used in an air 

conditioner and fabricated entirely of copper. 

Vote: Unanimous

SPVU coated coil(s). An indoor coil or outdoor coil whose entire surface, including the entire 

surface of both fins and tubes, is covered with a thin continuous non-porous coating to reduce 

corrosion. 

Vote: One objection

CRAC copper evaporator or condenser coil(s). An indoor or outdoor coil used in an air 

conditioner and fabricated entirely of copper. 

Vote: Unanimous

CRAC coated coil(s). An indoor coil or outdoor coil whose entire surface, including the entire 

surface of both fins and tubes, is covered with a thin continuous non-porous coating to reduce 

corrosion. 

Vote: Unanimous

Certification 

Recommendations 97-98: General information to be included in a certification report with an indication 

of whether the information would appear on the DOE web site (i.e., “public info”).

Vote: Unanimous on types of information. Two objections on what information should be public; 

specifically, two parties believed that the manufacturer name and US Customs and Border Protection 

importer ID number should be public. 

A certification report must include the following for all product types: 

Product/Equipment type (public info); 

Product/Equipment class (public info); 
Manufacturer name and address; 

Private labeler name (public info) and address, if applicable; 

Brand name (public info); 

Basic Model number; 

Individual model number(s) covered by that basic model (public info); 

Customer-specified model number(s), if applicable; 

Status (new certification, discontinued, existing, etc.); 

Test sample size (0 in the case of the use of an AEDM); 

U.S. Customs and Border Protection (CBP) importer ID number, if applicable; 

Whether the certification is based on a test procedure waiver and the date of such waiver 

(public info); 

Whether the certification is based on exception relief from the Office of Hearings and Appeals 

and the date of such relief (public info); 

What AEDM was used if 0 in test sample size; and 

Whether the basic model is “engineered-to-order” (see Recommendation 120). 

Recommendation 99. Certification Timing. For “engineered to order” products, distribution in 

commerce is defined as the date on which the basic model is shipped (domestic) or imported 

(foreign). For other domestic manufactured products, distribution in commerce is defined as 

the date on which the manufacturer is first willing to accept an order. For foreign manufactured 

products (other than engineered to order), distribution in commerce is either when the 

manufacturer imports the product for sale or the manufacturer is first willing to accept an order, 

whichever is first. “Engineered to order” basic models are automatically recorded as 

discontinued at the second annual certification. 

Vote: Unanimous.

Certification Information Specific to Each Equipment Type 

Recommendation 100. Commercial Warm Air Furnaces. Information must include thermal 

efficiency in percent (%); maximum rated input capacity in British thermal units per hour 

(Btu/h). Information may include an optional PDF with additional testing instructions. 

Vote: Unanimous. 

Recommendation 101. Commercial Package Boilers. Information must include combustion 

efficiency in percent (%) or the thermal efficiency in percent (%) as required in § 431.87; and 

maximum rated input capacity in British thermal units per hour (Btu/h). Information may include 

an optional PDF with additional testing instructions. 

Vote: Unanimous. 

Recommendation 102. Commercial Electric Storage Water Heaters. Information must include 

maximum standby loss in percent per hour (%/hr); and measured storage volume in gallons 

(gal). Information may include an optional PDF with additional testing instructions. 

Vote: Unanimous. 
Recommendation 103. Commercial gas-fired and oil-fired storage water heaters. Information 

must include thermal efficiency in percent (%); maximum standby loss in British thermal units 

per hour (Btu/h); rated storage volume in gallons (gal); and nameplate input rate in British 

thermal units per hour (Btu/h). Information may include an optional PDF with additional testing 

instructions. 

Vote: Unanimous. 

Recommendation 104. Commercial water heaters and hot water supply boilers having more 

than 140 gallons of storage capacity. Information must include: Rated storage volume greater 

than 140 gallons (Y/N); Tank surface area is thermally insulated to R-12.5 or more (Y/N); No 

standing pilot light is used (Y/N); and Flue damper or fan assisted combustion for gas or oil-fired 

storage water heaters (Y/N). If no to any of the above, as applicable, report standby loss and 

measured storage volume. Information may include an optional PDF with additional testing 

instructions. 

Vote: Unanimous. 

Recommendation 105. Commercial gas-fired and oil-fired instantaneous water heaters less 

than 10 gallons and gas-fired and oil-fired hot water supply boilers less than 10 gallons. 

Information must include thermal efficiency in percent (%); and water volume in gallons (g). 

Information may include an optional PDF with additional testing instructions. 

Vote: Unanimous. 

Recommendation 106. Commercial gas-fired and oil-fired instantaneous water heaters greater 

than or equal to 10 gallons and gas-fired and oil-fired hot water supply boilers greater than or 

equal to 10 gallons. Information must include thermal efficiency in percent (%); maximum 

standby loss in British thermal units per hour (Btu/h); rated storage volume in gallons (gal); and 

nameplate input rate in Btu/h. Information may include an optional PDF with additional testing 

instructions. 

Vote: Unanimous. 

Recommendation 107. Commercial unfired hot water storage tanks. Information must include 

thermal insulation ( i.e., R-value); and stored water volume in gallons (gal). Information may 

include an optional PDF with additional testing instructions. 

Vote: Unanimous. 

Recommendation 108. Self-contained commercial refrigerators with solid doors, commercial 

refrigerators with transparent doors, commercial freezers with solid doors, and commercial 

freezers with transparent doors. Information must include daily energy consumption in kilowatt 

hours per day (kWh/day); and chilled or frozen compartment volume in cubic feet (ft3). 

Additional information necessary to run test must be provided in a PDF. 

Vote: Unanimous. 
Recommendation 109. Self-contained commercial refrigerator-freezers with solid doors.

Information must include the daily energy consumption in kilowatt hours per day (kWh/day); 

and adjusted volume in cubic feet (ft3). Additional information necessary to run test must be 

provided in a PDF. 

Vote: Unanimous. 

Recommendation 110. Remote condensing commercial refrigerators, freezers, and refrigeratorfreezers, self-contained commercial refrigerators, freezers, and refrigerator-freezers without 

doors, commercial ice-cream freezers, commercial refrigeration equipment with two or more 

compartments (i.e., hybrid refrigerators, hybrid freezers, hybrid refrigerator-freezers, and nonhybrid refrigerator-freezers), and service over counter commercial refrigerators and freezers. 

Information must include: daily energy consumption in kilowatt hours per day (kWh/day), total 

display area (TDA) in feet squared (ft2 ) or the chilled volume in cubic feet (ft3 ) as necessary to 

demonstrate compliance with the standards set forth in § 431.66; rating temperature in degrees 

Fahrenheit (°F); operating temperature range in degrees Fahrenheit ( e.g., ≥32 °F, <32 °F, and 

≤−5 °F); equipment class designation as described in § 431.66. Additional information necessary 

to run test, including charging instructions for remote cases, must be provided in a PDF. 

Vote: Unanimous. 

Recommendation 111. Small commercial package air conditioning and heating equipment that 

is air-cooled, three-phase, with a cooling capacity less than 65,000 Btu/h. Information must 

include seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)); 

heating seasonal performance factor (HSPF in British thermal units per Watt-hour(Btu/Wh)) as 

necessary to meet the standards set forth in § 431.97; and rated cooling capacity in British 

thermal units per hour (Btu/h). Additional PDF required to provide: Nominal cooling capacity; 

Rated heating capacity, where applicable; Rated airflow (SCFM) for each fan coil; Rated static; 

Charging instructions; Frequency set points; Required dip switch/control settings (for 

step/variable components); Indication that model will not operate at test conditions without 

manufacturer programming; Base motor designation; Indication that excluded features are 

included in base model; and additional testing instructions. 

Vote: Unanimous. 

Recommendation 112. Commercial package air-conditioning and heating equipment (except 

water-source equipment and small commercial package air conditioning and heating equipment 

that is air-cooled, three-phase, with a cooling capacity less than 65,000 Btu/h), including watercooled and evaporatively-cooled equipment. Information must include energy efficiency ratio 

(EER in British thermal units per Watt-hour (Btu/Wh)); coefficient of performance (COP) as 

necessary to meet the standards set forth in § 431.97; rated cooling capacity in British thermal 

unit per hour (Btu/h); and type of heating used by the unit (with option for no heating). 

Additional PDF required to provide: Nominal cooling capacity; Rated heating capacity, where 

applicable; Rated airflow (SCFM) for each fan coil; Rated static; Charging instructions; Frequency 

set points; Required dip switch/control settings (for step/variable components); Indication that 
model will not operate at test conditions without manufacturer programming; Base motor 

designation; Indication that excluded features are included in base model; and additional testing 

instructions. Also, water flow rate (gpm), for water-cooled only. 

Vote: Unanimous. 

Recommendation 113. PTAC/PTHP. Information must include energy efficiency ratio (EER in 

British thermal units per Watt-hour (Btu/W-h)); coefficient of performance (COP) (where 

applicable); cooling capacity in British thermal units per hour (Btu/h); and wall sleeve 

dimensions in inches (in). Information may include an optional PDF with additional testing 

instructions. 

Vote: Unanimous. 

Recommendation 114. SPVU. Information must include energy efficiency ratio (EER in British 

thermal units per Watt-hour (Btu/Wh)); coefficient of performance (COP) (where applicable); 

and cooling capacity in British thermal units per hour (Btu/h). Information may include an 

optional PDF with additional testing instructions. 

Vote: Unanimous. 

Recommendation 115. VRFs with a cooling capacity less than 65,000 Btu/h. Information must 

include seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)); 

heating seasonal performance factor (HSPF in British thermal units per Watt-hour(Btu/Wh)) as 

necessary to meet the standards set forth in § 431.97; and rated cooling capacity in British 

thermal units per hour (Btu/h). Additional PDF required to provide: Nominal cooling capacity; 

Outdoor unit(s) and indoor units identified in the “tested combination”; Components needed 

for heat recovery, where applicable; Rated heating capacity, where applicable; Rated airflow 

(SCFM) for each indoor unit; Rated static; Compressor(s) frequency set points; Required dip 

switch/control settings (for step/variable components); Indication that model will not operate 

at test conditions without manufacturer programming; Indication that excluded features are 

included in base model; and Additional testing instructions. Must also provide water flow rate 

for water-cooled models. Upon request of DOE, manufacturer must provide a layout of the 

system set-up for testing, including the charging instructions, that is consistent with the 

installation manual. 

Vote: Unanimous. 

Recommendation 116. VRFs with a cooling capacity greater than or equal to 65,000 Btu/h. 

Information must include energy efficiency ratio; coefficient of performance; rated cooling 

capacity in British thermal unit per hour (Btu/h); and type of heating used by the unit (with 

option for no heating). Additional PDF required to provide: Nominal cooling capacity; Outdoor 

unit(s) and indoor units identified in the “tested combination”; Components needed for heat 

recovery, where applicable; Rated heating capacity, where applicable; Rated airflow (SCFM) for 

each indoor unit; Rated static; Compressor(s) frequency set points; Required dip 

switch/control settings (for step/variable components); Indication that model will not operate 
at test conditions without manufacturer programming; Indication that excluded features are 

included in base model; and Additional testing instructions. Must also provide water flow rate 

for water-cooled models. Upon request of DOE, manufacturer must provide a layout of the 

system set-up for testing, including the charging instructions, that is consistent with the 

installation manual. 

Vote: Unanimous. 

Recommendation 117. Water source VRFs. Information must include energy efficiency ratio; 

coefficient of performance, as applicable; rated cooling capacity in British thermal unit per hour 

(Btu/h); and type of heating used by the unit (with option for no heating). Additional PDF 

required to provide: Nominal cooling capacity; Rated heating capacity, where applicable; Water 

flow rate (gpm); Rated airflow (scfm); Rated Static Pressure, where applicable; Charging 

instructions; Compressor/VFD frequency set points; Required dip switch/control settings (for 

step/variable components); Indication that model will not operate at test conditions without 

manufacturer programming; Base motor designation; Indication that excluded features are 

included in base model; and Additional testing instructions. Upon request of DOE, manufacturer 

must provide a layout of the system set-up for testing, including the charging instructions, that is 

consistent with the installation manual. 

Vote: Unanimous. 

Recommendation 118. CRAC. Information must include: Net sensible cooling capacity; 

Configuration (Upflow or downflow); Economizer Presence (Y/N); Condenser Medium (Aircooled, Water-cooled, or Glycol Cooled); SCOP; Net cooling capacity; and Rated air flow (SCFM). 

Information may include an optional PDF with additional testing instructions. 

Vote: Unanimous. 

Recommendation 119. Commercial water source heat pump. Information must include energy 

efficiency ratio; coefficient of performance, as applicable; rated cooling capacity in British 

thermal unit per hour (Btu/h); and type of heating used by the unit (with option for no heating). 

Additional PDF required to provide: Nominal cooling capacity; Rated heating capacity, where 

applicable; Water flow rate (gpm); Rated airflow (scfm); Rated Static Pressure, where applicable; 

Charging instructions; Compressor/VFD frequency set points; Required dip switch/control 

settings (for step/variable components); Indication that model will not operate at test 

conditions without manufacturer programming; Base motor designation; Indication that 

excluded features are included in base model; and Additional testing instructions. 

Vote: Unanimous. 

“Engineered-To-Order”

The Working Group agreed to add a new concept to the regulations to add clarity to the certification 

requirements. The Working Group also expects that the concept of engineered-to-order equipment will 

be necessary to reach consensus on verification requirements. 
Recommendation 120. Definition. An “engineered-to-order” basic model is a basic model that 

is not listed in any catalogs or marketing literature and is designed and built to customer 

requirements. An “engineered to order” basic model is not offered as a “configure to order” or 

“menu-system” set of options.

Vote: Unanimous.

Recommendation 121. Certification. Each basic model, including an “engineered to order” 

basic model, must be certified prior to distribution in commerce. 

Recommendation 122. Limitation on Certification. A basic model may not be classified as 

“engineered to order” for more than one annual certification cycle (effectively not to exceed 24 

months). 

Vote: Unanimous.

Recommendation 123. Treatment of Information. “Engineered to order” basic models are not 

published on the DOE web site. 

Vote: Unanimous.

Compliance Dates 

Recommendation 124. Certification reports must be submitted for all basic models according to 

the following schedule, provided that the Certification Final Rule is not significantly different 

than the consensus agreement of the Working Group. If the Certification Final Rule is 

significantly different than the consensus agreement of the Working Group, the compliance 

dates are based on the Certification Final Rule (instead of the AEDM Final Rule). In addition, in 

no instance will the compliance date for a product be less than two months after the issuance of 

the Certification Final Rule. 

Months after AEDM Final 

Rule*

Products

6 Furnaces, PTAC

9 Instantaneous Water Heaters <10 gal

Hot Water Supply Boilers <10 gal

12 Commercial Water Heaters (all others)

Small Package Boilers (≤2.5 mil Btu)

Self-contained, closed CRE

15 VRF

18 All HVAC*

Large Package Boilers (>2.5 mil Btu)

All other CRE

Vote: Unanimous. 

Recommendation 125. Grace period. DOE should not pursue civil penalties for at least six 

months following a compliance date to permit manufacturers to gain familiarity with the new 

certification process and remedy any problems. The schedule above is predicated on an 
understanding that DOE will provide a 6 month grace period for each product (following the 

applicable compliance date). 

Vote: Unanimous.