31224 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

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. 

DATES: DOE will hold a public meeting 

in Washington, DC on Friday, June 11, 

2010 from 9 a.m. to 4 p.m. The purpose 

of the meeting is to receive comments 

and to help DOE understand potential 

issues associated with this proposed 

rulemaking. DOE must receive requests 

to speak at the meeting before 4 p.m. 

Friday, June 4, 2010. DOE must receive 

a signed original and an electronic copy 

of statements to be given at the public 

meeting before 4 p.m. Friday, June 4, 

2010. 

DOE will accept comments, data, and 

other information regarding this notice 

of proposed rulemaking (NOPR) before 

or after the public meeting, but no later 

than August 16, 2010. See section V., 

‘‘Public Participation,’’ of this NOPR for 

details. 

ADDRESSES: The public meeting will be 

held at the U.S. Department of Energy, 

Forrestal Building, Room 8E–089. You 

may submit comments, identified by 

docket number EERE–2009–BT–TP– 

0004 and/or Regulation Identifier 

Number (RIN) 1904–AB94, by any of the 

following methods: 

• Federal eRulemaking Portal http:// 

www.regulations.gov.: Follow the 

instructions for submitting comments. 

• E-mail: RCAC-HP-2009-TP0004@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. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. Please 

submit one signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 6th 

Floor, 950 L’Enfant Plaza, SW., 

Washington, DC 20024. Telephone: 

(202) 586–2945. Please submit one 

signed paper original. 

Instructions: All submissions must 

include the agency name and docket 

number or RIN for this rulemaking. For 

detailed instructions on submitting 

comments and additional information 

on the rulemaking process, see section 

V., ‘‘Public Participation,’’ of this 

document. 

Docket: For access to the docket to 

read background documents or 

comments received, visit the U.S. 

Department of Energy, 6th Floor, 950 

L’Enfant Plaza, SW., Washington, DC 

20024, (202) 586–2945, between 9 a.m. 

and 4 p.m., Monday through Friday, 

except Federal holidays. Please call Ms. 

Brenda Edwards at (202) 586–2945 for 

additional information regarding 

visiting the Resource Room. Please note: 

DOE’s Freedom of Information Reading 

Room (Forrestal Building, Room 1E– 

190) no longer houses rulemaking 

materials. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Wes Anderson, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–7335. E-mail: 

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 

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 LowVoltage Transformer Used When Testing 

Only Air Conditioners and Heat Pumps 

and Require Metering of All Sources of 

Energy Consumption During All Tests 

14. Add Testing Procedures and 

Calculations for Off Mode Energy 

Consumption 

15. Add Parameters for Establishing 

Regional Standards 

a. Use a Bin Method for Single-Speed SEER 

Calculations for the Hot-Dry Region and 

National Rating 

b. Add New Hot-Dry Region Bin Data 

c. Add Optional Testing at the A and B 

Test Conditions With the Unit in a HotDry 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 

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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31225 

E. Review Under the Unfunded Mandates 

Reform Act of 1995 

F. Review Under the Treasury and General 

Government Appropriations Act, 1999 

G. Review Under Executive Order 13132 

H. Review Under Executive Order 12988 

I. Review Under the Treasury and General 

Government Appropriations Act, 2001 

J. Review Under Executive Order 13211 

K. Review Under Executive Order 12630 

L. Review Under Section 32 of the Federal 

Energy Administration (FEA) Act of 1974 

V. Public Participation 

A. Attendance at Public Meeting 

B. Procedure for Submitting Requests To 

Speak 

C. Conduct of Public Meeting 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

A. Authority 

Title III of the Energy Policy and 

Conservation Act (42 U.S.C. 6291 et 

seq.; EPCA or the Act) sets forth a 

variety of provisions designed to 

improve energy efficiency. Part A of 

Title III (42 U.S.C. 6291–6309) 

establishes the ‘‘Energy Conservation 

Program for Consumer Products Other 

Than Automobiles.’’ (This part was 

originally titled Part B; however, it was 

redesignated Part A in the United States 

Code for editorial reasons.) The program 

covers consumer products and certain 

commercial products (collectively 

‘‘covered products’’), including 

residential central air conditioners and 

heat pumps having rated cooling 

capacities less than 65,000 British 

thermal units/hour (Btu/h). (42 U.S.C. 

6291(1)–(2), (21) and 6292(a)(3)) 

Under the Act, the overall program 

consists of testing, labeling, and Federal 

energy conservation standards. 

Manufacturers of covered products must 

use the test procedures prescribed under 

EPCA to measure energy efficiency, to 

certify to DOE that products comply 

with EPCA’s energy conservation 

standards, and for representing the 

energy efficiency of their products. 

Similarly, DOE must use these test 

procedures when determining whether 

the equipment complies with energy 

conservation standards adopted 

pursuant to EPCA. 

Section 323 of EPCA (42 U.S.C. 6293) 

sets forth generally applicable criteria 

and procedures for DOE’s adoption and 

amendment of such test procedures. For 

example, the Act states that ‘‘[a]ny test 

procedures prescribed or amended 

under this section shall be reasonably 

designed to produce test results which 

measure energy efficiency, energy use 

* * * or estimated annual operating 

cost of a covered product during a 

representative average use cycle or 

period of use, as determined by the 

Secretary [of Energy], and shall not be 

unduly burdensome to conduct.’’ (42 

U.S.C. 6293(b)(3)) DOE’s existing test 

procedures for central air conditioners 

and heat pumps adopted pursuant to 

these provisions appear under Title 10 

of the Code of Federal Regulations (CFR) 

part 430, subpart B, appendix M 

(‘‘Uniform Test Method for Measuring 

the Energy Consumption of Central Air 

Conditioners and Heat Pumps’’). 

Further, if any rulemaking amends a 

test procedure, DOE must determine ‘‘to 

what extent, if any, the proposed test 

procedure would alter the measured 

energy efficiency * * * of any covered 

product as determined under the 

existing test procedure.’’ (42 U.S.C. 

6293(e)(1)) If it determines that the 

amended test procedure would alter the 

measured efficiency of a covered 

product, DOE must amend the 

applicable energy conservation standard 

accordingly. (42 U.S.C. 6293(e)(2)) The 

amendments proposed in today’s 

rulemaking will not alter the measured 

efficiency, as represented in the 

regulating metrics of SEER and HSPF. 

Thus, today’s proposed test procedure 

changes can be adopted without 

amending the standards for SEER and 

HSPF. 

On December 19, 2007, the President 

signed the Energy Independence and 

Security Act of 2007 (EISA 2007; Pub. 

L. 110–140), which contains numerous 

amendments to EPCA. Section 310 of 

EISA 2007 established that the 

Department’s test procedures for all 

covered products must account for 

standby and off mode energy 

consumption. (42 U.S.C. 6295(gg)(2)(A)) 

DOE must modify the test procedures to 

integrate such energy consumption into 

the energy descriptor(s) for each 

product, unless the Secretary 

determines that ‘‘(i) the current test 

procedures for a covered product 

already fully account for and 

incorporate the standby mode and off 

mode energy consumption of the 

covered product; or (ii) such an 

integrated test procedure is technically 

infeasible * * * in which case the 

Secretary shall prescribe a separate 

standby mode and off mode energy use 

test for the covered product, if 

technically feasible. (42 U.S.C. 6295 

(gg)(2)(A)) In addition, section 306(a) of 

EISA 2007 amended EPCA section 

325(o)(6) to consider one or two regional 

standards for central air conditioners 

and heat pumps (among other products) 

in addition to a base national standard. 

(42 U.S.C. 6295(o)(6)(B)) EPCA 

325(o)(6)(C)(i) requires that DOE 

consider only regions made up of 

contiguous States. (42 U.S.C. 

6295(o)(6)(C)(i)) Accordingly, today’s 

proposed test procedure rulemaking 

includes additions that specifically 

address sections 306 and 310 of EISA 

2007. 

B. Background 

Most portions of the existing test 

procedure for central air conditioners 

and heat pumps were originally 

published as a final rule in the Federal 

Register on December 27, 1979. 44 FR 

76700. DOE modified the test procedure 

on March 14, 1988, to expand coverage 

to variable-speed central air 

conditioners and heat pumps, to address 

testing of split non-ducted units, and to 

change the method for crediting heat 

pumps that provide a demand defrost 

capability. 53 FR 8304. 

The next revision of the central air 

conditioners and heat pumps test 

procedure was published as a final rule 

on October 11, 2005, and became 

effective on April 10, 2006. 70 FR 

59122. The October 2005 final rule 

provided a much needed updating to 

reference current standards, adopted 

improved measurement capabilities, 

and presented more detail on how to 

conduct the laboratory testing. The 2005 

final rule also expanded coverage for 

equipment features previously not 

covered (e.g., two-capacity northern 

heat pumps, heat comfort controllers, 

triple-split systems, etc.). During this 

revision process, the test procedure was 

significantly reorganized in an effort to 

improve its readability. 

On July 20, 2006, DOE published a 

proposed rule to consider additional 

changes to the test procedure in 

response to issues interested parties 

submitted before the October 2005 

publication of the final rule. 71 FR 

41320. DOE determined that it was 

appropriate to consider additional 

modifications to the test procedure for 

the following reasons: (1) To implement 

test procedure revisions for new energy 

conservation standards for 

small-duct, high-velocity (SDHV) 

systems; (2) to address test procedure 

waivers for multi-split systems; and (3) 

to address interested parties’ concerns 

about sampling and rating after new 

energy conservation standards became 

effective on January 23, 2006. (10 CFR 

432.32(c)(2)) DOE issued a final rule 

adopting relevant amendments to the 

central air conditioner and heat pump 

test procedures on October 22, 2007, 

which became effective on April 21, 

2008. 72 FR 59906. This latter final rule 

was published before EISA’s 

implementation on December 19, 2007; 

therefore, the test procedures did not 

incorporate the requirements in sections 

306 and 310 of EISA 2007. 

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31226 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

While making changes necessary to 

comply with the amendments in EISA 

2007, DOE is considering additional 

changes to the test procedure that were 

identified after finalizing the prior 

rulemaking. 

II. Summary of the Proposed Rule 

DOE proposes amendments to its test 

procedure for residential central air 

conditioners and heat pumps. The 

amendments would add calculations for 

determination of sensible heat ratio 

(SHR), would incorporate a method to 

evaluate off mode power consumption, 

and would add parameters for 

establishing regional measures of energy 

efficiency. 

In addition to statutory requirements 

for amended test procedures, EISA 2007 

has three separate provisions regarding 

the inclusion of standby mode and off 

mode energy use in any energy 

conservation standard that have bearing 

on the current test procedure 

rulemaking. First, test procedure 

amendments to include standby mode 

and off mode energy consumption shall 

not be used to determine compliance 

with standards established prior to the 

adoption of such test procedure 

amendments. (42 U.S.C. 6295(gg)(2)(C)) 

Second, standby mode and off mode 

energy use must be included into a 

single amended or new standard for a 

covered product adopted in a final rule 

after July 1, 2010. Finally, a separate 

standard for standby mode and off mode 

energy consumption is required if a 

single amended or new standard is not 

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

In order to accommodate the abovementioned first provision, DOE clarifies 

that today’s proposed amended test 

procedure would not alter the measure 

of energy efficiency used in existing 

energy conservation standards; 

therefore, this proposal would neither 

affect a manufacturer’s ability to 

demonstrate compliance with 

previously established standards nor 

require retesting and rerating of existing 

units that are already certified. These 

amended test procedures would become 

effective, in terms of adoption into the 

CFR, 30 days after the date of 

publication in the Federal Register of 

the final rule in this test procedure 

rulemaking. However, DOE is proposing 

added language to the regulations 

codified in the CFR that would state that 

any added procedures and calculations 

for determining off mode energy 

consumption and regional cooling mode 

performance being proposed in order to 

satisfy the relevant provisions of EISA 

2007 need not be performed at this time 

to determine compliance with the 

current energy conservation standards. 

Subsequently, and consistent with the 

second provision above, manufacturers 

would be required to use the amended 

test procedures’ off mode and regional 

cooling mode provisions to demonstrate 

compliance with DOE’s energy 

conservation standards on the effective 

date of a final rule establishing amended 

energy conservation standards for these 

products that address off mode energy 

consumption and/or regional cooling 

mode performance, at which time the 

limiting statement in the DOE test 

procedure would be revised or removed. 

Further clarification would also be 

provided that as of 180 days after 

publication of a test procedure final 

rule, any representations as to the off 

mode energy consumption and regional 

cooling mode performance of the 

products that are the subject of this 

rulemaking would need to be based 

upon results generated under the 

applicable provisions of this test 

procedure. (42 U.S.C. 6293(c)(2)) A 

separate standard for off-mode energy 

consumption is required if a single 

amended or new standard is not 

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

III. Discussion 

The current standards rulemaking 

preliminary analysis for residential 

central air conditioners and heat pumps 

is ready for stakeholder review and 

comment. This preliminary analysis 

follows the first step in the standards 

rulemaking process, the release of the 

framework document (http:// 

www1.eere.energy.gov/buildings/ 

appliance_standards/residential/pdfs/ 

cac_framework.pdf) and the subsequent 

June 12, 2008 public meeting. At and 

following this latter meeting, 

stakeholder comments were received, 

some of which apply to today’s 

proposed test procedure. 

In formulating today’s notice of 

proposed rulemaking (NOPR), DOE 

considered these test procedure related 

comments and, where appropriate, 

proposed changes to the test procedure. 

Moreover, DOE responses to stakeholder 

comments are provided in the following 

subject areas: 

1. Test Procedure Schedule 

2. Bench Testing of Third Party coils 

3. Defaults for Fan Power 

4. Changes to External Static Pressure 

Values 

5. Fan Time Delay Relays 

6. Inverter-Driven Compressors 

7. Addition of Calculation for 

Sensible Heat Ratio 

8. Regional Rating Procedure 

9. Address Testing Inconsistencies for 

Ductless Mini- and Multi-Splits 

10. Standby Power Consumption and 

Measurement 

Section III. A. provides a more indepth discussion on those comments 

that questioned or disagreed with DOE’s 

positions in the framework document. 

Section III. B. provides a summary of 

the proposed changes to the test 

procedure, including 

1. Modify the definition of ‘‘tested 

combination’’ for residential multi-split 

systems 

2. Add Alternative Minimum External 

Static Pressure Requirements for Testing 

Ducted Multi-Split Systems 

3. Clarify that Optional Tests May Be 

Conducted Without Forfeiting Use of 

the Default Value(s) 

4. Allow a Wider Tolerance on Air 

Volume Rate to Yield More Repeatable 

Laboratory Setups 

5. Change the Magnitude of the Test 

Operating Tolerance Specified for the 

External Resistance to Airflow and the 

Nozzle Pressure Drop 

6. Modify Third-Party Testing 

Requirements when Charging the Test 

Unit 

7. Clarify Unit Testing Installation 

Instruction and Address Manufacturer 

and Third-Party Testing Laboratory 

Interactions 

8. When Determining the Cyclic 

Degradation Coefficient CD, Correct the 

Indoor-Side Temperature Sensors Used 

During the Cyclic Test to Align with the 

Temperature Sensors Used During the 

Companion Steady-State Test, If 

Applicable 

9. Clarify Inputs for the Demand 

Defrost Credit Equation 

10. Add Calculations for Sensible 

Heat Ratio 

11. Incorporate Changes to Cover 

Testing and Rating of Ducted Systems 

Having More than One Indoor Blower 

12. Add Changes To Cover TripleCapacity, Northern Heat Pumps. 

13. Specify Requirements for the LowVoltage Transformer Used when Testing 

Coil-Only Air Conditioners and Heat 

Pumps and Require Metering of All 

Sources of Energy Consumption During 

All Tests 

14. Add Testing Procedures and 

Calculations for Off Mode Energy 

Consumption 

15. Add Parameters for Establishing 

Regional Standards 

As part of today’s rulemaking, DOE 

provides the specific proposed changes 

to 10 CFR part 430, subpart B, appendix 

M, ‘‘Uniform Test Method for Measuring 

the Energy Consumption of Central Air 

Conditioners and Heat Pumps.’’ 

A. Framework Comment Summary and 

DOE Responses 

A notation in the form ‘‘Southern 

Company Systems (SCS), No. 13 at p. 

105’’ identifies a written comment DOE 

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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31227 

has received and has included in the 

docket of this rulemaking. This 

particular notation refers to a comment 

(1) by the Southern Company Systems 

(SCS); (2) in document number 13 in the 

docket of this rulemaking; and (3) 

appearing on page 105 of document 

number 13. 

1. Test Procedure Schedule 

Several interested parties commented 

that DOE should consider the timeline 

necessary when modifying this test 

procedure, and how the publication of 

the test procedure coincides with 

publication of the revised standard. 

(Southern Company Systems (SCS), No. 

13 at p. 105; Air-Conditioning, Heating 

and Refrigeration Institute (AHRI), No. 

13 at p. 116; the American Council for 

an Energy Efficient Economy (ACEEE), 

No. 13 at p. 117; Trane, No. 13 at p. 123) 

DOE is coordinating the publication 

timelines of both the test procedure and 

the amended standard. The test 

procedure NOPR will be open for public 

comments. DOE will then address those 

comments and publish a final test 

procedure rule. The associated standard 

will proceed concurrently with the test 

procedure rulemaking to maximize the 

time interval between the test procedure 

final rule and the revised energy 

standards final rule. 

2. Bench Testing of Third-Party Coils 

The Northeast Energy Efficiency 

Partnerships (NEEP) comment stated 

that test procedures should require 

laboratory/bench testing for 

independent coil manufacturers’ (ICM) 

indoor units. (NEEP, No. 37 at p. 3) 

NEEP includes representatives from the 

Connecticut Office of Policy and 

Management, New Hampshire Office of 

Energy and Planning, Efficiency Maine, 

and Department of Energy Resources for 

the Commonwealth of Massachusetts. 

As amended, EPCA makes all 

residential central air conditioners and 

heat pumps sold in the United States 

subject to specific testing, rating, 

minimum efficiency, and labeling 

requirements. These requirements apply 

to complete systems, including those 

split systems where the outdoor 

components are provided by one 

manufacturer, while the indoor 

components are provided by a separate 

manufacturer. The typical twomanufacturer split system is where the 

indoor unit is provided by an ICM and 

the outdoor unit is provided by an 

original equipment manufacturer 

(OEM). Because the ICM wants to 

advertise the performance of its indoor 

coils with various OEM outdoor units, 

the ICM is responsible for obtaining the 

system seasonal energy efficiency ratio 

(SEER) and heating seasonal 

performance factor (HSPF) ratings 

according to DOE requirements. In 

obtaining these ratings, the ICM can 

either test complete systems or use a 

DOE-approved alternative rating method 

(ARM) to calculate the rating. Approval 

of the ARM requires laboratory test 

results for complete systems, but inputs 

to the ARM may or may not require 

testing of just the indoor unit. (10 CFR 

430.24) 

Although DOE does not have the 

authority to regulate a component of an 

air conditioner or heat pump system, it 

does regulate the complete systems. The 

system ratings published by ICMs must 

be obtained in accordance with DOE 

requirements summarized above. 

3. Defaults for Fan Power 

A Joint Comment stated that the 

present rating method does not credit 

advanced air handler designs 

adequately because the default value is 

much lower than the average air handler 

energy use observed in the field. (Joint 

Comment, No. 25 at pp. 4, 6–7) 

According to the Joint Comment, a low 

default value for fan power reduces the 

incentive to improve fan efficiency. The 

Joint Comment includes representatives 

from ACEEE, Appliance Standards 

Awareness Project (ASAP), the 

California Energy Commission (CEC), 

the Northwest Power and Conservation 

Council (NPCC), and the Western 

Cooling Efficiency Center (WCEC). 

Proctor Engineering Group (Proctor) 

stated that the inside coil fan energy 

needs to represent the median values 

from actual installations, and also 

provided input on the methodology for 

evaluating fan power based on air 

volume rate and equipment tonnage. 

(Proctor, No. 38 at p. 1) 

NEEP stated that testing should be 

required for motors in actual operation 

and that the procedure should include 

provisions for testing while air handler 

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

Split-system ducted air conditioners 

and heat pumps are primarily designed 

for two different applications. These 

applications depend on whether the air 

conditioner or heat pump is installed 

with a hot-air furnace and share a 

common duct system. Air conditioners 

and heat pumps not designed for 

installation with a hot-air furnace must 

contain a blower to circulate air through 

the indoor coil and ductwork. Systems 

that include the integral or modular 

indoor blower are typically referred to 

as blower-coil units. Coil-only units— 

air conditioners and heat pumps 

designed for installation with a hot-air 

furnace—rely on the furnace blower to 

circulate air through the indoor coil, 

ductwork, and the furnace section when 

the compressor and outdoor fan are 

operating. 

The Joint Comment pertains to coilonly units, so discussion in the 

following paragraphs is limited to those 

products. This comment does not apply 

to blower-coil units within the test 

procedure because there is no required 

default assumption for the average air 

handler. With regard to the NEEP 

comment, the ratings for blower coil 

units already reflect the performance of 

the system’s particular indoor blower. 

When blower coils are tested, the indoor 

blower operates, and its performance is 

accounted for in the measured system 

capacity and power consumption values 

and ultimately in SEER and HSPF. 

A coil-only air conditioner or heat 

pump can be installed with a multitude 

of new and existing furnaces. The key 

considerations for matching a coil-only 

unit with a furnace are (1) the furnace 

blower’s ability to provide the necessary 

air volume rate for the system; and (2) 

whether the outlet flange dimensions of 

the furnace are compatible with the 

inlet flanges on the indoor coil-only 

section of the air conditioner or heat 

pump. Another factor for field 

application is whether the overall height 

(length) of the furnace and coil-only 

indoor section will fit into the available 

building space. 

The SEER and HSPF ratings represent 

the seasonal efficiencies of a complete, 

functioning air conditioner or heat 

pump system. However, coil-only split 

systems in laboratory testing are 

incomplete because a hot-air furnace is 

not part of the setup. Instead of the 

furnace blower, the exhaust fan in the 

test facility pulls air through the indoor 

unit of the coil-only system. The 

exhaust fan is located downstream of 

the test unit’s indoor section, outlet 

instrumentation, and air volume 

measurement station. When the hot-air 

furnace and blower are removed from 

testing, the associated power 

consumption and measured cooling or 

heating capacity are adjusted to account 

for the hypothetical hot-air furnace 

blower. The Joint Comment asserted 

that the test procedure default value is 

too low and should require additional 

real-time blower testing. Proctor 

Engineering Group agreed and offered 

an alternative default equation based on 

data collected from actual installations. 

Given the variety of furnaces within 

which a coil-only unit may be installed, 

the range of blower sizes and associated 

efficiency of a complete installed system 

are unknown. As a result, there are 

several options for calculating the 

assumed power and heat contributions 

for the hypothetical hot-air furnace 

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31228 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

blower. To obtain a SEER (and for heat 

pumps, an HSPF) rating for each coilonly split system, the hot-air furnace 

blower receives a default value. 

According to the DOE test procedure, 

the hypothetical hot-air furnace blower 

contribution is expressed in terms of 

power (watts) and heat (Btu/h) per unit 

of air volume rate (in this case, 1,000 

standard cubic feet per minute [scfm]). 

Since it was issued in 1979, the DOE 

test procedure for central air 

conditioners and heat pumps has used 

the same default fan power and heat for 

rating coil-only air conditioners and 

heat pumps: 365 watts per 1,000 scfm 

and 1,250 Btu/h per 1,000 scfm. These 

default values result in the adjustment 

range from approximately 220 watts 

(750 Btu/h) for a 1.5-ton unit to 

approximately 730 watts (2,500 Btu/h) 

for a 5-ton unit. 

The default value does not indicate 

the efficiency of blowers in furnaces; it 

simply provides a means of comparing 

products on a complete system basis. 

The long-standing default values 

represent a typical furnace blower while 

not being overly conservative. Changing 

the default values would shift the SEER 

and HSPF ratings, but the ranking 

among most comparably sized 

equipment would change minimally, if 

at all. DOE evaluated the worst-case 

scenario: multiple units with the same 

SEER calculated using the existing fan 

power and heat defaults, but with 

degradation coefficients (CD) varying 

from 0.01 and 0.25, and capacities 

differing up to 10 percent. If the SEER 

calculation uses a higher default like 

500 watts per 1,000 scfm (1,700 Btu/h 

per 1,000 scfm), the new SEER ratings 

would all decrease but lie within a 

range that spans less than 0.20 points 

(on the SEER rating scale). The minimal 

impact on the ranking lessens the need 

for better defaults. To determine 

whether higher default values better 

represent actual installations, DOE must 

address three questions: 

• What data can accurately represent 

the typical installation? 

• What coordination will ensure that 

blower coils and coil-only units are 

evaluated on a common basis? 

• Should poor duct systems affect 

equipment ratings? 

DOE expects that addressing these 

questions will require additional data 

collection, analysis, and input from 

interested parties. With minimal impact 

on altering the relative ranking among 

competing products combined with the 

need to answer the above questions, 

DOE chose not to propose alternative 

default values for the power and heat 

contribution of the hypothetical furnace 

blower used when calculating the SEER 

and HSPF for coil-only air conditioners 

and heat pumps. 

4. Changes to External Static Pressure 

Values 

A Joint Comment stated that the 

current assumed inches of water column 

(in wc) values are lower than those 

typically found in the field and 

unrealistically deemphasize the 

importance of fan efficiency as a part of 

overall system effectiveness. (Joint 

Comment, No. 25 at pp. 4, 6) The 

discrepancy often leads to less airflow 

in a field application, which generally 

improves latent (at the expense of 

sensible) capacity. 

The Joint Utility Comment suggested 

that new test conditions for external 

static pressure and default fan power 

should be consistent with current field 

research findings. (Joint Utility 

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

Utility Comment includes 

representatives from Pacific Gas and 

Electric Company (PG&E), Southern 

California Edison, Sempra Energy 

Utilities (Southern California Gas 

Company and San Diego Gas and 

Electric Company; hereafter ‘‘Sempra’’), 

Sacramento Municipal Utility District, 

the Nevada Power Company, and Sierra 

Pacific Power. 

DOE received a number of comments 

requesting that the minimum external 

static pressure levels be increased. 

(Florida Solar Energy Center (FSEC), No. 

31 at p. 4; Sempra, No. 13 at p. 121; 

SCS, No. 39 at p. 2) Additionally, 

Proctor Engineering Group (Proctor) 

provided a formula for estimating the 

static pressure based on the rated cfm/ 

ton (Proctor, No. 38 at p. 2). 

Some split system and all singlepackage 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, singlepackage and blower-coil split air 

conditioners and heat pumps are 

laboratory tested with installed 

components to include the most 

restrictive filter(s), supplementary 

heating coils, and other equipment 

specified as part of the unit. The DOE 

test procedure allows testing of a ducted 

unit without an indoor air filter but 

requires a compensatory increase of 0.08 

in wc for the minimum external static 

pressure requirement. Otherwise, the 

test procedure requires that the unit be 

installed and configured in accordance 

with the manufacturer’s instructions. 

The DOE test procedure requires that 

a minimum external static pressure be 

equaled or exceeded during the wet-coil 

cooling mode test. If this requirement is 

not met initially, the configuration of 

the indoor unit is incrementally 

changed (e.g., switched to the next 

highest speed tap), and the wet-coil test 

is repeated until the measured external 

static pressure meets or surpasses the 

applicable DOE test procedure 

minimum value. 

Since its issuance in 1980, the DOE 

test procedure for central air 

conditioners and heat pumps has used 

the same set of minimum external static 

pressure values (except for SDHV 

systems): 0.10 in wc for systems with a 

rated cooling capacity less than or equal 

to 28,800 Btu/h, 0.15 in wc for 29,000 

to 42,500 Btu/h, and 0.20 in wc for 

43,000 to 64,500 Btu/h. The laboratory 

static pressure measurement tries to 

account for the supply and return home 

or building duct system unit flow 

resistance. 

Limited field testing reports and the 

general decline in the quality of 

installed duct systems (in part from the 

proliferation of the flexible duct) would 

support an increase in the minimum 

external static pressure. Efforts by 

building trades and code compliance 

communities to improve the quality of 

installed duct systems would support 

smaller increases in the minimum 

statics prescribed in the DOE test 

procedure. More field data would be 

helpful but would likely never be 

acquired to the level needed to provide 

a definitive basis for selecting new 

minimums. The greater impact of higher 

minimum external static pressures will 

be on lowering the SEER and HSPF of 

all units equally. Lacking a basis to 

propose new values or reference a 

consensus standard where alternatives 

to the current minimums are 

established, DOE chose not to propose 

an alternative to the existing minimum 

values as part of today’s NOPR. 

5. Fan Time Delay Relays 

FSEC and SCS commented that the 

fan time delay relays should be disabled 

for the SEER test procedure. (FSEC, No. 

31 at p. 3; SCS, No. 39 at p. 2) 

Many air conditioners and heat 

pumps employ a fan-off delay feature on 

the indoor blower. This delay, which is 

usually active for both the cooling and 

heating modes, is used to extract stored 

energy from the indoor coil immediately 

after the compressor has cycled off. The 

indoor blower typically continues to 

operate for 45 to 90 seconds after the 

compressor cycles off. 

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The DOE test procedure seeks to 

evaluate the performance of central air 

conditioners and heat pumps without 

making the process overly burdensome 

or expensive. The test procedure 

includes optional cyclic tests used to 

quantify the degradation in performance 

from the system cycling (predominantly 

in field installation) compared with 

operating continuously (as in most 

laboratory tests). During these cyclic 

tests, the fan-off delay feature is not 

disabled. The evaluation thus accounts 

for an incremental increase in total 

delivered capacity at the expense of 

increased electrical energy consumption 

in extending the indoor blower 

operation. 

Disabling the fan time delay from 

central air conditioners and heat pumps 

during the cooling season will prevent 

re-evaporation of moisture on the indoor 

coil and in the condensation pan. 

Substantial re-evaporation can occur if 

the indoor blower continues for an 

extended period after compressor 

shutoff. Because of this evaporative 

mechanism, continuous fan operation is 

discouraged during the cooling season. 

However, DOE is not aware of definitive 

data that show significant 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 reevaporation. 

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. 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 variablespeed 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 multispeed equipment. (FSEC, No. 31 at p. 2) 

Ice Energy suggested that the 

dehumidification capability of CAC 

equipment under hot and humid 

conditions be included in the standard, 

and any regional standard for the 

Southeast region should address this 

issue. (Ice Energy, No. 33 at p. 3) On the 

other hand, the Edison Electric Institute 

(EEI) wants dehumidification capability 

to be included in the standards for all 

regions. (EEI, No. 20 at p. 4) SCS stated 

that for hot and humid climates, a 

higher dehumidification capacity 

should be incorporated in the standard. 

(SCS, No. 13 at p. 42) SCS also stated 

that any regional air conditioning 

standard should provide for minimum 

dehumidification performance that 

should be measured at normal operating 

conditions and not at a higher 

temperature like 95 °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 

part 430, subpart B, appendix M, 

revised section 3.3c and proposed 

section 4.5) The Federal Trade 

Commission (FTC) could then consider 

incorporating this information in labels 

for these products. 

8. Regional Rating Procedure 

DOE received some comments that 

were supportive and others that were 

neutral on the development of regional 

ratings. The Joint Comment noted that 

DOE already applies regional rating 

methods in the current test procedure 

for residential central air conditioners 

and heat pumps. (Joint Comment, No. 

25 at pp. 3–4) It further noted that 

adoption of regional rating methods 

might allow DOE to set standards of 

comparable stringency, but using 

different rating conditions. (Joint 

Comment, No. 25 at p. 8) Ice Energy 

stated that the test protocol should be 

comprehensive and should span 

outdoor ambient conditions over the 

complete range of expected operating 

conditions. (Ice Energy, No. 33 at p. 3) 

FSEC stated that DOE should develop 

new cooling season bin temperature 

profiles using 2008 typical 

meteorological year (TMY) data from the 

National Renewable Energy Laboratory 

(NREL). (FSEC, No. 31 at pp. 3–4) The 

National Rural Electric Cooperative 

Association (NRECA) commented that 

DOE should evaluate whether its test 

procedures account for the vast 

differences in ambient humidity levels 

in different regions. The air conditioner 

and heat pump standards should also 

take into account the effects of humidity 

on different regional standards. 

(NRECA, No. 35 at p. 1) 

A second Joint Comment (Joint 

Comment 2) from the National 

Resources Defense Council, National 

Consumer Law Center, Inc., and 

Enterprise stated that DOE should 

strengthen the SEER test procedure to 

provide a more robust measure of actual 

performance in varying conditions in 

different regions. (Joint Comment 2, No. 

36 at p. 2) PG&E noted that DOE needs 

to reevaluate test procedures to 

determine the performance of this 

equipment in the various climate zones. 

(PG&E, No. 13 at p. 116) EEI suggested 

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that the test procedure be updated to 

account for ambient conditions in hotdry and hot-humid climates. (EEI, No. 

20 at p. 3) Proctor commented that the 

temperature bins used for the rating 

calculation are not representative of the 

hotter portions of the United States and 

provided data representative of specific 

hot climates. Proctor also commented 

that the ratings for dry climates should 

be based only on the sensible capacities 

measured in the test, and suggested that 

the sensible capacities and latent 

capacities, as well as the appropriate 

watt draws, be measured in the existing 

115 °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 region-specific SEER. (10 CFR 430, 

subpart B, appendix M, proposed 

section 2.2e and revised sections 3.2.1, 

3.2.2.1, 3.2.3, and 3.2.4) The calculation 

parameters that permit this proposed 

region-specific SEER are the fractional 

bin hour distribution and the outdoor 

design temperature. DOE proposes 

modifying the indoor wet bulb 

temperature as part of additional 

required and optional testing. (10 CFR 

part 430, subpart B, appendix M, 

revised sections 3.2.1 (table 3A), 3.2.2.1 

(table 4A), and 3.2.2 (table 5A)) These 

test procedure proposed changes will 

complement efforts to evaluate the merit 

of a regional standard for a coolingdominated 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 

four-State region consisting of Arizona, 

California, Nevada, and New Mexico. 

The proposed SEER–HD reflects 

equipment performance in this region. 

DOE does not endorse the 

recommendation to add testing at 115 °F 

outdoor temperature. A linear fit of data 

collected from the cooling mode tests at 

82 °F and 95 °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 performancelongevity issues. (WCEC, No. 41 at p. 2) 

ACEEE stated that DOE could use an 

alternative rating route to deal with 

enhanced dehumidification products. 

(ACEEE, No. 13 at p. 154) 

Regarding installation and 

performance longevity issues, DOE does 

not have the authority to implement 

new performance metrics for 

characterizing such features at this time. 

Presently, the only metrics available for 

representing performance are SEER and 

HSPF. These are seasonal performance 

metrics and are not useful for 

characterizing installation issues, 

performance longevity, or quantifying 

performance at peak demand. 

DOE notes that while there may be 

value in defining a test procedure that 

can provide consistent, comparable 

rating of alternative cooling systems, 

including evaporative cooling 

technologies and technologies 

incorporating thermal storage, such 

expansion of the test procedure is 

beyond the scope of this rulemaking. 

This rulemaking seeks to address 

changes mandated in EISA and 

otherwise improve upon coverage of 

comparatively conventional air 

conditioners and heat pumps. 

Determining additions and changes 

needed to allow testing and rating of 

thermal storage technologies, for 

example, is a formidable task, one that 

requires significant investigation. Such 

an investigation is difficult to pursue 

until such equipment is readily 

available as a commercial product. 

9. Address Testing Inconsistencies for 

Ductless Mini- and Multi-Splits 

Two interested parties commented 

that there are inconsistencies within the 

central air conditioning test procedure 

for mini- and multi-split systems. 

(MEUS, No. 13 at p. 21 and 22; Daikin, 

No. 28 at p. 6) 

The proposed changes to items 1 

through 3 of Appendix M, cover test 

procedure changes addressing 

inconsistencies for ductless mini- and 

multi-splits. In response to the 

comments, DOE proposes three changes 

to the test procedure to address these 

inconsistencies: (1) Modify the 

definition of tested combination for 

multi-split systems. DOE proposes to 

use the term ‘‘nominal cooling capacity’’ 

within the definition of ‘‘tested 

combination’’ (proposed change to 10 

CFR 430, subpart A, section 430.2, 

Definitions, Tested Combination) and to 

simplify the requirements for multi-split 

systems with cooling capacities of 

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24,000 Btu/h or lower; (2) add an 

alternative minimum static pressure 

requirement for use when testing ducted 

multi-split systems (10 CFR 430, subpart 

B, appendix M, proposed table 2); (3) 

clarify within the test procedure that 

optional testing may be conducted 

without forfeiting the use of default 

values (10 CFR 430, subpart B, appendix 

M, proposed section 3.6.4d). 

10. Standby Power Consumption and 

Measurement 

Interested parties submitted 

comments refuting the need to revise 

the test procedure to consider standby 

power consumption when EISA does 

not explicitly call for its revision, and 

noting that standby power consumption 

is already addressed in the standard. 

(AHRI, No. 13 at p. 105; Sempra, No. 13 

at p. 133; Energy Solutions, No. 13 at p. 

108; Emerson, No. 13 at p. 111) Some 

contended that the test procedure’s 

accounting of standby power 

consumption is adequate and does not 

require modification. (Trane, No. 16 at 

p. 3; Carrier Corporation (Carrier), No. 

18 at p. 1; ASAP, No. 13 at p. 114; 

MEUS, No. 19 at p. 1; AHRI, No. 24 at 

p. 2). Trane and Carrier representatives 

both stated that the standby power 

consumption calculation is already 

captured in the degradation coefficient, 

CD calculation. (Trane, No. 16 at p. 3; 

Carrier, No. 18 at p. 1) 

SEER reflects all modes of climate 

control energy consumption that occur 

during the cooling season, as HSPF does 

for the heating season. SEER does not 

capture the time that an air conditioner 

could be energized but idle during the 

non-cooling season. Similarly, the 

current test procedure does not capture 

energy consumed by a heat pump 

during the non-cooling and non-heating 

seasons. These are the shoulder seasons 

that occur between the cooling and 

heating seasons and can be quantified 

by converting the cooling and heating 

load hours for any location into actual 

hours. In each case, the actual site or 

region-specific cooling and heating 

season hours always sum to less than 

8,760. To calculate annual energy 

consumption or annual operating cost, 

all 8,760 hours of the year must be 

accounted for. Until now, these annual 

quantities have been based on energy 

consumption of fewer than 8,760 hours. 

The DOE test procedure must account 

for the idle mode energy consumption 

of the air conditioner and heat pump 

during the shoulder seasons and the idle 

mode energy consumption of an air 

conditioner during the heating season. 

Several interested parties commented 

that although the current standard does 

address standby power consumption, 

standby and off mode power need to be 

better defined. (Joint Comment, No. 25 

at p. 6; CFM Equipment Distributors, 

No. 13 at p. 129; Lennox, No. 13 at pp. 

113, 134; Carrier, No. 13 at p. 113; the 

Unico System, No. 13 at p. 129; Trane, 

No. 13 at pp. 130, 131, 136; PG&E, No. 

13 at pp. 132, 137; General Electric, No. 

13 at p. 135; EEI, No. 20 at p. 5; ASAP, 

No. 13 at p. 132) 

DOE concurs with the commenters. 

The definitions of standby and off mode 

as provided in EPCA section 325(gg) 

were amended by section 310 of EISA 

and are purposely generic so that they 

can apply to all covered products. (42 

U.S.C. 6295(gg)(1)(A)(iii), (42 U.S.C. 

6295(gg)(1)(A)(ii), respectively) EPCA 

section 325 allows DOE to redefine 

these definitions, including off mode, as 

part of this rulemaking. (42 U.S.C. 

6295(gg)(1)(B)) The proposed definition 

is as follows: 

The term ‘‘off mode’’ means: 

(1) For air conditioners, all times during 

the non-cooling season of an air conditioner. 

This mode includes the ‘‘shoulder seasons’’ 

between the cooling and heating seasons 

when the unit provides no cooling to the 

building and the entire heating season, when 

the unit is idle. The air conditioner is 

assumed to be connected to its main power 

source at all times during the off mode; and 

(2) For heat pumps, all times during the 

non-cooling and non-heating seasons of a 

heat pump. This mode includes the 

‘‘shoulder seasons’’ between the cooling and 

heating seasons when the unit provides 

neither heating nor cooling to the building. 

The heat pump is assumed to be connected 

to its main power source at all times during 

the off mode. 

DOE requests comments on this proposed 

definition (10 CFR, subpart B, appendix M, 

proposed section 1.48). 

B. Summary of the Test Procedure 

Revisions 

Today’s proposed rule contains the 

following proposed changes to the test 

procedure in 10 CFR part 430, subpart 

B, appendix M. 

1. Modify the Definition of ‘‘Tested 

Combination’’ for Residential MultiSplit Systems 

DOE procedures require testing a 

complete system, not just its 

components. For multi-split systems, 

each model of outdoor unit may be 

installed with numerous indoor unit 

combinations. Systems may differ in the 

number of connected indoor units, their 

physical type (e.g., wall-mounted versus 

ceiling cassette, ducted versus nonducted), and individual capacities. 

As part of the October 2007 final rule, 

multi-split units with rated cooling 

capacities less than 65,000 Btu/h were 

newly covered in the DOE central air 

conditioner and heat pump test 

procedure. As part of this coverage, 

manufacturers are required to test each 

model of a multi-split outdoor unit with 

at least one set of non-ducted (and at 

least one set of ducted, if applicable) 

indoor units. DOE placed limits on the 

set of indoor units selected to meet this 

testing requirement for each multi-split 

outdoor unit. These limits are 

prescribed in 10 CFR 430.2 definition 

for ‘‘tested combination.’’ During the 

previous test procedure rulemaking, 

DOE refined the ‘‘tested combination’’ 

definition from the version published in 

the July 20, 2006 NOPR to the version 

published in the October 2007 final 

rule. After implementing the new test 

procedures, manufacturers of multi-split 

systems requested additional changes. 

In its May 27, 2008 letter to DOE, the 

Air-Conditioning, Heating, and 

Refrigeration Institute (AHRI) 

recommended three changes to the 

‘‘tested combination’’ definition. First, 

AHRI supported changing specific 

references to ‘‘capacity’’ and ‘‘nominal 

capacity’’ to ‘‘nominal cooling capacity.’’ 

AHRI argued that ‘‘this correction is 

necessary to clarify that the test 

procedures are based on the cooling 

(rather than heating) capacity of the 

equipment and to recognize that the 

nominal means the cooling capacity of 

the system at 95 °F ambient, 80/67 °F 

indoor conditions.’’ 

Second, AHRI requested that the 

requirement preventing the use of an 

indoor unit having a nominal cooling 

capacity that exceeds 50 percent of the 

nominal cooling capacity of the outdoor 

unit be waived for outdoor units with a 

nominal cooling capacity of 24,000 Btu/ 

h or lower. AHRI noted that it is not 

always possible to meet this 

requirement, especially because of the 

additional DOE requirement that the 

nominal cooling capacities of the indoor 

units, when summed, must fall between 

95 and 105 percent of the outdoor unit’s 

nominal capacity. AHRI gave the 

example of an outdoor unit rated for 

20,000 Btu/h that is designed to be used 

with indoor units having nominal 

capacities of 9,000 and 12,000 Btu/h. In 

this case, the only combination that 

meets the 95 to 105 percent indooroutdoor 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 

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Btu/h. The current limit of five indoor 

units to complete the system is often 

insufficient for the required 95 to 105 

percent match with the outdoor unit. As 

AHRI stated in its letter, AHRI 

recognizes that ‘‘this capacity is beyond 

the cooling capacity limit of 65,000 Btu/ 

h * * * but many manufacturers have 

been granted waivers in which this 

tested combination definition applies.’’ 

DOE concurs with two of the three 

changes AHRI requested. DOE proposes 

to adopt the wording ‘‘nominal cooling 

capacity’’ within the definition of 

‘‘tested combination.’’ (10 CFR 430.2) 

DOE will also waive the restriction that 

no indoor unit shall have a nominal 

cooling capacity exceeding 50 percent of 

the outdoor unit’s nominal cooling 

capacity for multi-split systems having 

a nominal cooling capacity of 24,000 

Btu/h or less. (10 CFR 430.2(2)(iii)) 

Additionally, DOE proposes to modify 

the definition for ‘‘tested combination’’ 

to indicate that the allowed range for the 

indoor to outdoor capacity percentages 

is 95 to 105 percent, inclusive. (10 CFR 

430.2(2)(ii) The current wording calls 

for the match to be ‘‘between’’ (i.e., not 

‘‘including’’) these bounds. Especially 

with the above switch to using ‘‘nominal 

cooling capacity,’’ specifying a set of 

indoor units that yields an indoor to 

outdoor capacity percentage of either 95 

or 105 percent increases should be 

allowed. 

With regard to the third change 

requested by AHRI, DOE will not 

establish a different limit on the number 

of indoor units used when testing multisplit systems with nominal capacities 

greater than 150,000 Btu/h because 

these systems are outside the scope of 

this residential test procedure 

rulemaking. 

2. Add Alternative Minimum External 

Static Pressure Requirements for Testing 

Ducted Multi-Split Systems 

Since the inception of DOE central air 

conditioner and heat pump test 

procedures, the majority of covered 

products have used a single indoor unit 

designed to work with a multi-branch 

duct system to distribute air within a 

building. This system imposes an 

additional load (quantified as external 

static pressure (ESP)) on the indoor 

blower as it distributes and returns air 

to and from the conditioned space. 

When a system is laboratory tested 

according to the DOE test procedure, 

airflow resistance imposed on the 

blower by external attachments is 

measured when the indoor blower and 

the laboratory’s airflow measurement 

apparatus maintain the manufacturerspecified 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. Multisplits are also offered where one or more 

of the indoor units is ducted. Compared 

with conventional ducted units, indoor 

unit ducting for multi-splits is shorter 

and used on the return or supply, or 

both. 

In its May 27, 2008 letter, AHRI stated 

that ‘‘many ductless manufacturers have 

‘ducted’ indoor units that are intended 

for a minimum (less than a few feet) or 

no duct runs and as a result have a rated 

external static pressure capability of less 

than 0.1 ESP and usually around 0.02 

ESP.’’ AHRI recommended a mechanism 

and language for addressing this issue in 

the DOE test procedure. Specifically, 

AHRI suggested that DOE amend its test 

procedure by adding the following 

footnote to Table 2 of Appendix M 

(shown as Table III.1 below): ‘‘If the 

manufacturer’s rated external static 

pressure is less than 0.10 in wc (25 

Pascals (Pa)), then the indoor unit 

should be tested at that rated external 

static pressure.’’ 

TABLE III.1—MINIMUM EXTERNAL STATIC PRESSURE FOR DUCTED SYSTEMS TESTED WITH AN INDOOR FAN INSTALLED * 

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 air-enthalpy test apparatus is used on the indoor 

side, limit the resistance to airflow on the inlet side of the indoor blower coil to a maximum of 0.1 in wc. Impose the balance of airflow resistance 

on the outlet side of the indoor blower. 

In the field, ducted multi-split 

systems are installed using lower 

pressure duct systems than are typically 

used to install a conventional ducted 

central air conditioner or heat pump. 

Consequently, DOE recognizes that 

ducted multi-split systems should not 

be subject to the same minimum ESP 

requirements as conventional central 

systems. Specifying appropriate 

minimums, however, is difficult. 

One problem with the language AHRI 

proposed is that a manufacturer could 

choose an unrealistically low value for 

the rated external static pressure. 

Because this would likely be a 

secondary concern (if not completely 

overlooked) when a system is selected, 

the manufacturer lacks an incentive to 

choose a representative rating. 

Additionally, because the manufacturer 

is not allowed to select the minimum 

external static pressure when testing a 

conventional unit, allowing the 

manufacturer to select the minimum 

when testing a ducted multi-split 

systems would create an unjustifiable 

inconsistency. 

DOE considered three related factors 

before formulating an alternative to the 

AHRI proposal. First, the following 

approach appears in the Draft 

International Standard (DIS) ballot of 

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ISO Standard 15402, ‘‘Multi-Split 

System Air Conditioners and Air-to-Air 

Heat Pumps: Testing and Rating for 

Performance.’’ 

This ESP shall be greater than the 

minimum value given in Table 1 but not 

greater than 80% of the maximum external 

static pressure specified by the manufacturer. 

* * * If the maximum ESP of the unit is 

lower than the minimum ESP given in Table 

1, then the airflow rate is lowered to achieve 

an ESP equal to 80% of the maximum ESP 

of the manufacturer. In case this ESP is lower 

than 25 Pa, the unit can be considered as a 

free delivery unit. 

Where the ISO approach ties the 

tested minimum external static pressure 

to a manufacturer published maximum 

value while approximating the smallest 

indoor units as non-ducted, the two 

other inputs suggest that the current test 

procedure requirements are manageable. 

Specifically, manufacturers of single 

indoor blower coil units that use short 

ducts —sometimes referred to as ‘‘furred 

down or ceiling mounted air handling 

units’’—have never requested that DOE 

lower the minimum static pressure 

requirements. Further, DOE has 

received no evidence showing that any 

multi-split indoor unit could not 

achieve the applicable DOE minimum 

external static pressure when delivering 

its air volume rate. 

DOE proposes an approach that does 

not require publication of the maximum 

external static pressure. For the systems 

meeting the definition of ‘‘multiple-split 

air conditioner and heat pumps’’ in the 

test procedure (10 CFR part 430, subpart 

B, appendix M, section 1.30), DOE 

proposes a new set of minimum external 

static pressures. The proposed 

minimums will be listed in table 2 of 

appendix M of the test procedure, along 

with the current values for SDHV and 

all other systems. The proposed values 

are 0.03 in wc for units through 28,800 

Btu/h, 0.05 in wc for units between 

29,000 and 42,500 Btu/h, and 0.07 in wc 

for units 43,000 Btu/h and above. The 

proposed minimums seek to capture the 

relative differences between a 

conventional central ducted system and 

one with the shorter ducts of a typical 

multi-split system installation. Because 

ducts add resistance, DOE will not 

adopt the ISO approach of testing the 

smallest systems at zero static pressure. 

For multi-split systems, the applicable 

minimum external static pressure will 

be assigned based on the nominal/rated 

cooling capacity of the outdoor unit. A 

static pressure equal to or higher that 

this minimum will be achieved in each 

outlet duct upstream of the point where 

they connect to the common plenum 

that leads to the test room’s airflow 

measuring apparatus. In addition to 

ducted multi-split systems, DOE 

proposes applying this new set of 

minimum external static pressures to 

ducted mini-splits or 1-to-1 systems 

where the indoor air handler is a ducted 

furred down/ceiling-mounted unit. To 

limit the 1-to-1 products that qualify for 

the lower minimum static pressures, the 

single indoor unit must not exceed 

specified dimensions (e.g., no more than 

11 in high and less than 24 in deep), the 

indoor unit must use a single slab coil 

that is perpendicular to the flow stream, 

and the system’s rated capacity must not 

exceed 39,000 Btu/h. 

DOE requests comment from 

interested parties on the proposed lower 

external static pressure levels for certain 

equipment as described above and on 

the proposed language for ensuring that 

these levels are used only for testing the 

intended products: ducted multi-splits, 

ducted mini-splits, and ducted furred 

down/ceiling mounted one-to-one units. 

3. Clarify That Optional Tests May Be 

Conducted Without Forfeiting Use of 

the Default Value(s) 

In the DOE test procedure, the 

manufacturer has two options for 

obtaining a required parameter within 

the SEER or HSPF calculation 

algorithm: (1) Run one or two additional 

tests to obtain the necessary data; or (2) 

use a ‘‘default value,’’ which may be 

fixed or derived from an approximating 

equation. For certain frost accumulation 

tests, the DOE test procedure gives the 

manufacturer the option of conducting 

the test or using default equations to 

determine the pump’s power 

consumption and space heating capacity 

at 35 °F outdoor temperature and at the 

designated compressor capacity. The 

test procedure is not clear whether 

defaults are forfeited if the manufacturer 

conducts the optional laboratory test. 

This matter is clarified here. 

As stated in the DOE test procedure 

(10 CFR part 430, subpart B, appendix 

M, sections 3.2.1, 3.2.2.1, and 3.2.3), the 

manufacturer may run the optional 

test(s) for determining a cyclic 

degradation coefficient but still use the 

default if it is lower than the tested 

value. DOE proposes allowing 

manufacturers to run the optional 

test(s), with the understanding that they 

can still use the default value if it is 

more favorable for optional frost 

accumulation tests. Specifically, the 

manufacturer may use the power 

consumption and heating capacity 

values derived from conducting the 

optional frost accumulation test or the 

values calculated using the default 

equations, whichever set contributes to 

a higher Region IV HSPF based on the 

minimum design heating requirement. 

4. Allow a Wider Tolerance on Air 

Volume Rate To Yield More Repeatable 

Laboratory Setups 

A goal of the DOE test procedure is 

specifying a consistent equipment 

configuration to obtain repeatable 

laboratory test results. For example, the 

indoor blower of a particular model 

should be consistently set to the same 

blower speed setting for a given test 

configuration. More generally, the 

blower speed setting should be the same 

when performing the same test on all 

units of the same equipment model. 

As part of the equipment setup 

requirements for most blower-coil units, 

the testing entity (e.g., manufacturer or 

third party) turns on both the indoor 

unit blower and the test facility exhaust 

fan. The exhaust fan and/or an airflow 

damper are adjusted until the 

manufacturer-specified indoor air 

volume rate is obtained. If the measured 

external static pressure equals or 

exceeds the test procedure specified 

minimum value, testing proceeds 

without adjustment to the indoor unit 

configuration. 

If the measured external static 

pressure is below the DOE minimum, 

the setup requires additional effort. The 

first step is to reduce the air volume rate 

until the measured external static 

pressure equals the DOE minimum. As 

currently specified in the test 

procedure, if the measured external 

static pressure does not equal the DOE 

minimum by the time the air volume 

rate has been reduced to 95 percent of 

the rated value, then the indoor unit 

blower is turned off, and the indoor 

unit’s setup is adjusted to the next 

highest speed setting. 

The above setup procedure will 

typically result in the indoor blowercoil set to the same speed setting for 

testing all units of the same model. In 

essence, the procedure handles the 

inherent variability in the external static 

pressure and air volume rate produced 

and measured for multiple equipment 

setups. This variability is due to 

manufacturing tolerances and lab 

measurement uncertainties. 

In its May 27, 2008 letter, AHRI 

requested that the 5-percent tolerance 

on air volume rate be increased to 10 

percent. In addition, AHRI 

recommended that the language for the 

indoor blower coil setup procedure be 

refined to recognize that some 

incremental setting changes may affect 

more than fan speed. AHRI gives the 

example that ‘‘some speed tap settings 

may equate to a specific duration of fan 

delay whereas other settings may 

translate to no fan delay.’’ To address 

this issue, AHRI recommends that DOE 

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make incremental changes to the indoor 

blower setting among settings that 

provide similar operating features. 

AHRI offers two reasons in its May 27, 

2008 letter for supporting a greater 

tolerance on air volume rate during the 

initial setup process: The expanding use 

of constant torque motors for central air 

conditioners and heat pumps blower 

coils, and the effect of barometric 

pressure. AHRI states that ‘‘for a given 

speed tap, the air volume rate achieved 

using a constant torque motor is 

comparatively more variable; also the 

change in power draw as a function of 

an incremental change in the speed tap 

is also comparatively greater so the 

impact on efficiency will be more 

pronounced.’’ Barometric pressure 

affects air density and the water vapor 

content for a given db/wb combination. 

Thus, barometric pressure affects 

capacity through both the air volume 

rate and the enthalpy change of the air. 

As referenced in the AHRI letter, 

barometric pressure effects are 

especially important, as most 

manufacturers’ in-house testing is 

conducted at a lower elevation and 

typically higher barometric pressure 

than at the industry’s primary 

independent certification testing 

facility. 

In response to AHRI’s May 27, 2008 

letter, DOE proposes to increase the 

tolerance on air volume rate from 5 to 

10 percent. In addition, DOE proposes 

to adopt AHRI’s recommendation to 

refine the indoor blower coil setup 

procedure to recognize that some 

incremental changes to the setting may 

affect more than the fan speed. DOE 

used computer modeling and laboratory 

data to determine that a 10 percent 

difference in air volume rate will cause 

total capacity to decrease between 1.3 to 

2 percent, while having the total system 

power consumption fall between 1 to 

1.8 percent for a minimally compliant 

system. Because capacity and power 

impacts are similar, the EER and SEER 

impacts are less. SEER is projected to 

decrease between 0.2 and 0.4 percent. 

Thus, this proposed change has the 

potential to affect the measured capacity 

such that it may make it more difficult 

to meet the industry certification 

program’s 95 percent capacity tolerance. 

The impact on the DOE regulated 

descriptor of SEER, however, is well 

within the measurement uncertainty, 

even for the limiting case of a 10- 

percent departure. 

DOE requests data and comments 

from interested parties on the impact of 

the change from 5 to 10 percent 

tolerance on air volume rate. 

5. Change the Magnitude of the Test 

Operating Tolerance Specified for the 

External Resistance to Airflow and the 

Nozzle Pressure Drop 

The DOE test procedure specifies both 

test operating and condition tolerances. 

Test operating tolerances indicate the 

maximum range that a parameter may 

vary during the data collection interval. 

For any given test, operating tolerances 

are specified for a few different 

parameters. For each parameter, the 

difference between the highest and 

lowest instantaneous measurement for 

the data collection interval must not 

exceed the specified operating tolerance 

in order to constitute a valid test. 

The test operating tolerance for 

external resistance to airflow is 0.05 in 

wc. The test operating tolerance for 

nozzle pressure drop is 2.0 percent. 

Both tolerances, which apply for all 

cooling and heating tests were included 

in industry standards (e.g., ASHRAE 

Standard 37) that pre-date the first 

publication of the DOE central air 

conditioner and heat pump test 

procedure. The DOE test procedure 

adopted the two tolerances at its 

inception and has not changed it. For 

current industry standards, the 

tolerances appear in the 2009 version of 

ASHRAE Standard 37. 

The two test operating tolerances are 

often exceeded when an electronic 

pressure transducer is used to measure 

differential pressure instantaneously. 

The likelihood of exceeding the 

tolerance increases with higher 

sampling rates and when testing indoor 

blowers whose controls actively regulate 

operation of the blower’s motor. One 

example is a blower with a variablespeed motor designed to maintain the 

air volume rate regardless of the airflow 

resistance. In contrast, these test 

operating tolerances are usually 

satisfied if the differential pressures are 

measured using liquid manometers. The 

fluid provides mechanical damping that 

tends to stabilize readings. 

DOE proposes to loosen the existing 

tolerances from 0.05 to 0.12 in wc for 

the test operating tolerance assigned to 

the external resistance to airflow and 

from 2.0 percent to 8.0 percent for the 

nozzle pressure drop tolerance because 

the pressure fluctuations are real (10 

CFR, subpart B, appendix M, revised 

tables 7, 8, 13, 14 and 15). The proposed 

changes in the magnitude of the 

tolerances are based on limited data 

obtained from laboratory testing of a 

variable-speed, constant air-volume-rate 

blower using electronic pressure 

transducers with a 5-second sampling 

rate. This data indicated that the current 

tolerances could rarely be achieved 

when using and electronic pressure 

transducer instead of a liquid 

manometer. Matching or remaining 

within the proposed tolerances, by 

comparison, was far more achievable. 

At this stage, DOE proposes amended 

values for the two tolerances rather than 

their complete elimination because they 

still help assure data is taken during a 

period of relatively steady operation. 

Additional steps, however, may be 

warranted. For example, a prescribed 

algorithm for identifying outliers and/or 

establishing minimum intervals over 

which all instantaneous measurements 

are averaged (e.g., minutely averages) 

may also be needed to strike the 

necessary balance between defining test 

tolerances that promote repeatable test 

results while not extending test times. 

Another option may be to introduce a 

mechanical means for damping the high 

frequency pressure fluctuations that are 

fed to the electronic pressure transducer 

to mimic a liquid manometer. Such 

damping would be acceptable because 

the measurements would still reveal 

whether the flow was steady or trending 

higher or lower. 

DOE seeks comments from interested 

parties about the proposal to increase 

the test operating tolerance for the 

external resistance to airflow from 0.05 

to 0.12 in wc and increase the test 

operating tolerance for the nozzle 

pressure drop from 2.0 percent to 8.0 

percent. In addition, comments on 

alternative or additional steps to assure 

the capacity and electrical power data 

are collected over a 30-minute period of 

consistent operation are encouraged. 

6. Modify Third-Party Testing 

Requirements When Charging the Test 

Unit 

DOE proposes to revise section 2.2.5, 

‘‘Additional refrigerant charging 

requirements,’’ of the test procedure. 

Most of the proposed revisions originate 

from the requirements listed in section 

9.8.1.1 of the 2008 ARI General 

Operations Manual for AHRI 

Certification Programs. DOE adopted the 

current language in section 2.2.5 of the 

DOE test procedure in the October 2005 

final rule. The section 2.2.5 text covers 

details not addressed in the test 

procedure prior to the October 2005 

rule, such as charging instructions that 

differ for field installations versus 

laboratory testing and the procedure for 

manufacturers and third-party testing 

entities to resolve questions on charging 

a particular system. In the months 

following publication of that rule, AHRI 

members reconsidered refrigerant 

charging, mainly within the context of 

implementing its third-party 

certification program. During the August 

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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, subcooling, or refrigerant pressure, the average of 

the range shall be used to determine the 

refrigerant charge. If multiple instructions are 

given, the manufacturer will be asked to sign 

off on the preferred method. 

The testing laboratory will then add or 

subtract the correct amount of refrigerant to 

achieve the pre-determined superheat, subcooling, or refrigerant pressure. This single 

charge will then be used to conduct all 

cooling cycle and heating cycle tests. 

Once the correct refrigerant charge is 

determined, the test will run until 

completion without interruption. 

DOE proposes to adopt selected 

elements of the above AHRI procedures. 

(10 CFR part 430, subpart B, appendix 

M, section 2.2.5) The proposed changes 

promote consistency with current AHRI 

certification practices, including 

explicitly disallowing charge 

manipulation once the initial charging 

procedure is completed, while differing 

on the approach of addressing cases 

where a manufacturer either provides 

no instructions or provides more than 

one set of charging instructions. In 

particular, DOE chose not to implement 

a ‘‘sign off’’ option as AHRI uses because 

the proposed approach of specifically 

addressing the setup procedure in these 

two special cases is effective and less 

burdensome. 

7. Clarify Unit Testing Installation 

Instruction and Address Manufacturer 

and Third-Party Testing Laboratory 

Interactions 

DOE proposes to add language to 

section 2.2 of the test procedure. The 

additions seek to clarify installation 

instructions and, when third-party 

testing is conducted, to clarify that 

interaction with the manufacturer is 

allowed. 

The AHRI Certification Program and 

the DOE test procedure focus on 

different aspects of the rating process. 

The AHRI program conducts 

verification testing of full production of 

randomly sampled units taken from the 

manufacturer’s inventory. By 

comparison, the DOE test procedure is 

typically conducted before a new model 

of air conditioner or heat pump is 

introduced into the market. Therefore, 

testing is usually performed on first 

production or pre-production units, 

each of which meets the requirement in 

10 CFR 430.24 that testing be done on 

‘‘units which are production units, or 

are representative of production units.’’ 

When testing pre-production units, the 

installation instructions are not 

packaged with the unit or perhaps not 

even finalized. DOE proposes adding 

language on how to handle such cases. 

(appendix M, revised section 2.2) Some 

of the restrictions on interactions 

between third-party testing laboratories 

and manufacturers, imposed as part of 

the AHRI Certification Program, do not 

apply to the DOE test procedure. One 

example is AHRI’s General Operations 

Manual requirement that ‘‘only 

laboratory personnel shall install test 

units.’’ The policy is useful to AHRI 

because certification testing checks DOE 

ratings. AHRI does not want individual 

manufacturers to slow the testing 

process or reveal information about a 

competitor. On the other hand, DOE 

will not prohibit a manufacturer from 

interacting with a third-party testing 

laboratory if the latter is contracted to 

perform work similar to in-house 

manufacturers. (10 CFR part 430, 

subpart B, appendix M, revised section 

2.2a) In the event of a DOE enforcement 

action, DOE places no restrictions on 

manufacturer involvement as long as the 

test unit installation and laboratory 

testing are conducted in complete 

compliance with all other requirements 

in the DOE test procedure. The highest 

order of these other requirements is to 

install the unit according ‘‘the 

manufacturer’s installation 

instructions,’’ as stated in section 8.2 of 

ASHRAE Standard 37, where the first 

source for those instructions is the 

published literature that comes 

packaged with the unit. 

This second issue on the allowed 

interactions between third-party testing 

laboratory and the manufacturer was 

addressed in a previous rulemaking (70 

FR 59122) but only as it pertained to the 

specific installation step of refrigerant 

charging (section 2.2.5 of the test 

procedure). Because the interaction 

applies to the entire installation process, 

DOE proposes to address the issue in 

section 2.2 and, as a result, existing 

section 2.2.5 language on this topic is 

proposed for deletion. 

8. When Determining the Cyclic 

Degradation Coefficient CD, Correct the 

Indoor-Side Temperature Sensors Used 

During the Cyclic Test to Align With the 

Temperature Sensors Used During the 

Companion Steady-State Test, If 

Applicable 

In the DOE test procedure, the results 

from two optional dry-coil cooling mode 

tests—one steady-state, one cyclic— 

provide the inputs to calculate cooling 

mode cyclic degradation coefficient(s), 

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 part 

430, subpart B, appendix M, sections 3.4 

and 3.7) and cyclic (10 CFR part 430, 

subpart B, appendix M, sections 3.5 and 

3.8) CD tests require calculating the 

change in the db temperature on the 

indoor side. To complete these 

measurements, the laboratory test setup 

includes redundant sets of temperature 

sensors and associated instrumentation. 

In many cases, one set of temperature 

sensors provides the primary 

measurement of the change in db 

temperature for all steady-state tests, 

while the second set provides the same 

primary measurement for all transient 

tests, including the cyclic CD test. Using 

two sets of temperature sensors allows 

highly accurate measurements during 

the steady-state test; comparatively less 

accurate but necessarily fasterresponding measurements are achieved 

during the transient tests. The DOE test 

procedure refers to ASHRAE Standard 

41.1–1986 (RA 2001) for 

recommendations and requirements on 

making these temperature 

measurements. 

Cyclic degradation coefficients are 

used to obtain a relationship between 

part-load factor (PLF) and the percent 

on-time of the unit. PLF is a ratio of the 

cyclic to the steady-state EER. The 

consecutive CD tests are used to obtain 

one point on the PLF versus percent ontime 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 

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during the steady-state CD test and a 

different set for the companion cyclic 

CD test is a source of potential bias. 

To avoid conflict, DOE may require 

that the same temperature measurement 

instrumentation be used for both 

consecutive CD tests. The Standards 

Project Committee revising ASHRAE 

Standard 116, ‘‘Methods of Testing for 

Rating Seasonal Efficiency of Unitary 

Air Conditioners and Heat Pumps,’’ 

considered this alternative but chose to 

make it a recommendation, not a 

requirement (see clause 5.1.4 of 

ASHRAE Standard 116–1995R, ‘‘Method 

of Testing for Rating Seasonal Efficiency 

of Unitary Air Conditioners and Heat 

Pumps,’’ First Public Review draft). A 

second option is to correlate the 

instrumentation used for the primary 

measurement of the temperature 

difference of the cyclic CD test to that 

used for the primary measurement 

during the steady-state CD test. Some 

industry members have implemented 

this correlation approach and found that 

it improves repeatability. 

DOE proposes to require a correlation 

step for testing laboratories that use 

different instrumentation to measure the 

change in the db temperature of the air 

entering and leaving the indoor unit 

during the steady-state CD test versus 

the cyclic CD test. This correlation step 

is conducted during the steady-state CD

test. During the test, both sets of 

instrumentation—those sensors 

providing the primary measurement 

during the steady-state (set SS) and 

during the cyclic (set CYC) tests— 

measure the indoor-side air db 

temperature difference. For both sets of 

instrumentation, measurements made at 

equal intervals that span 5 minutes or 

less determine the temperature 

difference. Once the 30-minute data 

collection period begins for the steadystate 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 the example case 

of a sampling rate of 1 minute or less, 

the first FCD shall be based on data 

collected from elapsed time of 0 to 6 

minutes, the second from 1 to 7 

minutes, the third from 2 to 8 minutes, 

and so on. 

Upper and lower limits are proposed 

for FCD to provide a uniform basis as to 

how much the two temperature 

measurements may deviate. The 

proposed allowable range of FCD is 0.94 

to 1.06. Laboratories that sample at a 

rate of every minute or less can evaluate 

the first FCD as soon as 6 minutes after 

the start of the normal 30-minute data 

collection period. If this first or any 

subsequent value of FCD is outside the 

proposed application range of 0.94 to 

1.06, then the testing laboratory can 

make a decision to abort the test in 

advance of completing the 30-minute 

data collection period. By comparison, 

if a 5-minute sample rate is used, FCD

falling within the allowed range will 

remain unknown until the 30-minute 

data collection period is completed. In 

this case, up to 24 minutes of laboratory 

testing time may be lost from a longer 

wait to evaluate compliance. 

If the value of FCD at the conclusion 

of the 30-minute period (saved FCD) falls 

outside the range of 1.0 ± 0.6, then the 

test sequence must be terminated, and 

steps taken to improve the agreement 

between the sets SS and CYC 

instrumentation. Calibration of one or 

both sets of instrumentation in 

accordance with ASHRAE Standard 

41.1 may be necessary. Once the 

remedial steps are complete, the 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 timeintegrated value of the same determined 

using the set CYC instrumentation. For 

example, with respect to section 3.5 of 

Appendix M, the equation for the 

integrated, indoor-side air temperature 

difference will be written as follows: 

The value of FCD shall be used only 

to adjust the set CYC temperature 

difference measurement from the cyclic 

CD test that immediately follows the 

steady-state CD test that yields the 

correlation factor. The FCD determined 

and applied for one set of consecutive 

CD tests shall not be used to adjust the 

set CYC temperature difference 

measured during a second cyclic CD test 

or during a frost accumulation test. 

DOE proposes to decrease the 

minimum sampling rate of the db 

temperature difference from the current 

value of every 10 minutes to every 5 

minutes to obtain a more representative 

value of FCD. As an extension of this 

modification, DOE proposes to change 

the long-standing minimum sampling 

rate for all steady-state tests from 10 to 

5 minutes. The 10-minute sampling 

interval rate allows time for some 

measurements to be hand-recorded. 

Improved test quality and results, 

advances in electronic instrumentation, 

and the low cost of computer-based 

versus manual recording justify the 

minimum sampling rate change. 

DOE seeks comments from interested 

parties on the introduction and 

calculation of the cyclic degradation 

correlation factor. DOE also seeks 

comments on the change in sampling 

rate from 10 to 5 minutes. 

9. Clarify Inputs for the Demand Defrost 

Credit Equation 

The demand defrost credit (Fdef) is a 

direct multiplier within the HSPF 

calculation Eq. 4.2–1 in the DOE test 

procedure. The factor provides nominal 

credit for heat pumps with a demand 

defrost control system. Systems that 

meet DOE requirements in test 

procedure definition 1.21, ‘‘demand 

defrost control system,’’ qualify for this 

credit. The multiplier has a value 

between 1.00 and 1.03, which is a 0 to 

3 percent increase in the HSPF rating. 

The credit is evaluated using the 

following equation from section 3.9.2 of 

the DOE test procedure: 

Fdef

def =+ × − −

−

⎡

⎣

⎢ ⎤

⎦

1 0 03 1 ⎥

1 5

1 5 . ..

Δ

Δ

τ

τ max

Where: 

Δtdef = time between defrost terminations (in 

hours) or 1.5, whichever is greater, and 

Δtmax = maximum time between defrosts as 

allowed by the controls (in hours) or 12, 

whichever is less. 

The demand defrost credit was 

incorporated into the test procedure 

during the rulemaking completed in 

March 1988 and has remained 

unchanged. 53 FR 8319. DOE 

mistakenly overlooked inputs to this 

equation during the most recent test 

procedure final rulemaking, in which 

DOE shortened the maximum duration 

of all frost accumulation tests from 12 

to 6 hours. DOE has since considered 

two options for calculating the credit: 

(1) Update the evaluation of Δtmax 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 Δtdef 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 


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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 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 Δtdef 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 Δtmax. 

DOE seeks comments from interested 

parties on this proposal for calculating 

the demand defrost credit (Fdef) for cases 

where the Frost Accumulation Test is 

terminated because the heat pump does 

not initiate a defrost within the 

maximum allowed 6-hour heating 

interval. 

10. Add Calculations for Sensible Heat 

Ratio 

SHR is a parameter that indicates the 

relative contributions of the air 

conditioner’s or heat pump’s cooling 

output that reduces the db temperature 

of the air (i.e., sensible cooling) to the 

cooling output that reduces the moisture 

content in the air (i.e., latent cooling). 

The parameter is calculated by dividing 

the sensible cooling capacity by the total 

cooling capacity. Total cooling capacity 

is the sum of the sensible and latent 

cooling capacities. For example, an SHR 

of 0.75 indicates that 75 percent of the 

cooling is sensible and 25 percent is 

latent. 

The DOE test procedure considers 

total building cooling loads and total 

cooling equipment capacities as part of 

the SEER calculation. The cooling load 

and capacity are not divided into their 

sensible and latent components. Based 

on historical data, equipment SHRs 

have remained relatively unchanged as 

equipment SEER ratings have increased. 

In addition, cooling equipment has 

historically provided a reasonable 

match to the sensible and latent loads of 

the building or residence. However, 

better insulation of homes and small 

commercial buildings has helped reduce 

sensible building loads. Particularly in 

more humid climates, this reduction in 

the sensible building load can make the 

latent building load more prominent. 

SHR differences among equipment 

having approximately the same SEER 

have always existed. For example, 2001 

Amrane, Hourahan, and Potts data 

reported in the January 2003 ASHRAE 

Journal (pp. 28–31) show SHR values 

that vary by at least 0.10 for a given 

SEER value. When humidity control is 

a concern, consumers and their 

contractors may wish to know the SHRs 

of different units to make a more 

informed decision. 

The measurements required to 

calculate the SHR from a DOE wet-coil 

cooling mode test are taken as part of 

the DOE test procedure. In fact, 

manufacturers and independent testing 

laboratories routinely determine SHR. 

DOE proposes to add the SHR 

calculation to its test procedure to 

endorse the calculation and its 

continued use explicitly. (10 CFR part 

430, subpart B, appendix M, revised 

section 3.3c and proposed section 4.5) 

11. Incorporate Changes to Cover 

Testing and Rating of Ducted Systems 

Having More Than One Indoor Blower 

The majority of residential central air 

conditioners and heat pumps employ a 

single blower and a single refrigerant-toair coil. Typical multi- and some minisplits 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 blowerto-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 twocapacity units and systems having a 

single-speed compressor with a 

variable-air-volume rate indoor blower 

would provide the basis for the 

algorithms that address systems with a 

multi-blower indoor unit (10 CFR 430, 

subpart B, appendix M, revised sections 

2.2.3, 2.4.1, 3.1.4.1.1, 3.1.4.2, 3.1.4.4.2, 

3.1.4.5, 3.2.2, 3.2.2.1, and 3.6.2; 

proposed sections 3.2.6, 3.6.7, 4.1.5, and 

4.2.7; and revised tables 4 and 10). 

On August 28, 2008, DOE published 

a decision and order granting a waiver 

from the DOE Residential Central Air 

Conditioner and Heat Pump Test 

Procedure for a line of multi-blower 

indoor units that may be combined with 

one single-speed heat pump outdoor 

unit, one two-capacity heat pump 

outdoor unit, or two separate singlespeed heat pump outdoor units. 73 FR 

50787–50797. For the two separate 

single-speed outdoor units, the chosen 

indoor coil contains two independent 

refrigeration circuits, each fed by one of 

the outdoor units. 

The above-referenced waiver covers 

products that use two to eight indoor 

blowers with a single- or dual-circuit 

indoor coil. To simplify the testing and 

rating algorithm, DOE structured the 

waiver so that each system was 

evaluated with all and with half of the 

indoor blowers operating. DOE did not 

consider any other potential blower 

combinations. For systems offering 

compressor modulation, a high-stage 

compressor operation was evaluated 

only when all blowers were on, and the 

low-stage was evaluated with half the 

blowers on. 

DOE proposes to amend the test 

procedure to allow the coverage of 

systems that use a multi-blower indoor 

unit to address the same type of 

equipment covered by the test 

procedure waiver granted to Cascade 

Group, LLC. 

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12. Add Changes To Cover TripleCapacity, Northern Heat Pumps 

On February 5, 2010, DOE granted 

Hallowell International a waiver from 

the DOE test procedure on how to test 

and rate its line of boosted compression 

heat pumps. (24 FR 6014–6018) These 

heat pumps offer three stages of 

compressor capacity when heating, with 

the third stage being designed to 

provide greater heating capacity at the 

lowest outdoor temperatures. The 

approved waiver contained additional 

laboratory tests and calculations steps 

that were specific to obtaining an HSPF 

rating for the Hallowell heat pumps. No 

changes to the DOE test procedure were 

required to evaluate the SEER for these 

heat pumps. The test procedure sections 

covering two-capacity systems when 

operating in a cooling mode are 

applicable for the Hallowell heat 

pumps. 

Proposed test procedure amendments 

are offered as part of this rulemaking to 

cover heat pumps that provide three 

levels or stages of heating capacity like 

the Hallowell units. The proposals seek 

to cover the more generic case of such 

technology.. The proposal includes, 

additional laboratory testing to capture 

the effect on both capacity and power of 

the additional stage of heating 

operations.. The proposed building load 

assigned by HSPF calculations requires 

evaluation based on the application in 

which high-stage compressor capacity 

for heating exceeds that for cooling. 

Finally, the proposed coverage accounts 

for controls that lock out one or two 

heating mode capacity levels at any 

given outdoor temperature. Once these 

proposals are incorporated into the test 

procedure, the need for a waiver will be 

eliminated and the requirements will 

apply to all manufacturers who offer 

equipment with this technology. 

DOE proposes adding two required 

steady-state tests to quantify the heating 

capacity and power consumption 

characteristics of the third stage of 

heating. One test would be conducted at 

the existing outdoor temperature test 

condition of 17 °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 part 430, subpart B, appendix M, 

proposed section 3.6.6). 

DOE is proposing equations for 

calculating the capacity and electrical 

power consumption of the heat pump as 

a function of the outdoor temperature 

when operating at its highest stage of 

compressor capacity. As part of the 

proposal, the heating building load used 

in the HSPF calculation, would also be 

based on the capacity measured during 

the H1 test condition (47 °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 be an extension of the 

approach currently used in the DOE test 

procedure for two-capacity heat pumps. 

The active stages of heating capacity 

available for each bin temperature 

calculation would be based on the 

control logic of the unit (10 CFR part 

430, subpart B, appendix M, proposed 

section 4.2.6). 

DOE seeks comments from interested 

parties on the inclusion of test 

procedure amendments to cover heat 

pumps that offer three stages of 

compressor capacity when heating. 

13. Specify Requirements for the LowVoltage Transformer Used when Testing 

Coil-Only Air Conditioners and Heat 

Pumps and Require Metering of All 

Sources of Energy Consumption During 

All Tests 

The transformer that powers the lowvoltage components of a field-installed 

hot-air furnace and add-on (coil-only) 

air conditioner or heat pump resides in 

the furnace. A coil-only air conditioner 

or heat pump with a hot-air furnace is 

not typically laboratory tested. As a 

result, the DOE test procedure does not 

specify the low-voltage source of power 

for the compressor contactor, control 

boards, and most heat pump reversing 

valves. Because the test procedure does 

not stipulate metering requirements, the 

associated power consumption is 

typically unmetered, which makes the 

choice of the transformer used 

inconsequential. A 100 volt amp (VA) 

transformer powered by a 230 V input 

works as well as a 40 VA model 

powered by a 115 V input. 

Because coil-only equipment mainly 

competes against like equipment, not 

accounting for low-voltage components’ 

power consumption in the past was not 

a glaring deficiency as the comparable 

impact on SEER and HSPF ratings. 

However, in seeking to account for all 

modes and sources of energy 

consumption as per section 310 of EISA 

2007, DOE proposes that the energy 

consumption of low-voltage 

components of coil-only systems be 

measured and included in the 

applicable rating descriptors. DOE 

anticipates needing to specify a VA 

rating for the transformer used for 

laboratory testing, while requiring that 

the input voltage be the same as that 

provided to the outdoor unit (e.g., 

230 V). 

An indoor wall thermostat is not 

typically used for laboratory testing of a 

central air conditioner or heat pump. 

For this rulemaking, DOE considered 

but decided against assigning a default 

power value to account for the absence 

of the wall thermostat. Some 

thermostats use no power or are battery 

powered. If a low-voltage-powered 

electronic thermostat is used, its power 

consumption is often low, usually less 

than a watt or two. In most cases, an air 

conditioner or heat pump can be 

installed in a system that includes a 

variety of wall thermostats. It is not 

possible to know the type of thermostat 

that will be used or its power 

consumption. 

For testing coil-only air conditioners 

and heat pumps, DOE proposes that the 

power consumption of the low-voltage 

system components be metered. 

Additionally, the transformer would be 

rated to provide 24 V, have a load rating 

of either 40 or 50 VA, and would be 

designed to operate with a primary 

input of 230 V, single phase, 60 hertz. 

The transformer may be powered by the 

same source as the outdoor unit or a 

separate 230 V source. The key 

requirement is that the instrument 

measuring the transformer’s power 

consumption during the off mode power 

or any other test must do so within the 

prescribed measurement accuracy. 

14. Add Testing Procedures and 

Calculations for Off Mode Energy 

Consumption 

SEER is a seasonal descriptor that 

accounts for all (modes of) energy 

consumption that occurs during the 

cooling season, including times when 

the air conditioner or heat pump is 

cycled off because the building 

thermostat is satisfied. HSPF is a 

seasonal descriptor for heat pumps that 

accounts for all (modes of) energy 

consumption during the heating season. 

The current test procedure does not 

cover the energy consumption of an air 

conditioner during the heating season 

when the unit is typically turned off at 

the thermostat but its controls and 

protective devices remain energized. 

The current test procedure also does not 

account for a complete 8,760-hour year 

as part of the annual cost calculation. As 

documented in appendix A of ASHRAE 

Standard 137–2009, ‘‘Method of Testing 

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for Efficiency of Space-Conditioning/ 

Water Heating Appliances that Include 

a Desuperheater Water Heater,’’ the 

combination of the location-specific 

cooling and heating load hours used in 

the annual cost calculation is less than 

8,760. The missing hours correspond to 

the intervals during which space 

conditioning is not required because the 

outdoor temperature is moderate, as 

during the shoulder seasons that occur 

between the cooling and heating 

seasons. Neither SEER nor HSPF 

account for energy consumed during the 

shoulder seasons. 

To provide a means for more clearly 

accounting for the energy consumption 

during the shoulder seasons and, for air 

conditioners, the energy consumption 

during the heating season, DOE 

proposes to define that such times occur 

when the air conditioner or heat pump 

is in an ‘‘off mode.’’ DOE proposes the 

following definition. 

The term ‘‘off mode’’ means: 

(1) For air conditioners, all times during 

the non-cooling season of an air conditioner. 

This mode includes the ‘‘shoulder seasons’’ 

between the cooling and heating seasons 

when the unit provides neither heating nor 

cooling to the building plus the entire 

heating season, when the unit is idle. The air 

conditioner is assumed to remain connected 

to its main power source at all times during 

the off mode; and 

(2) For heat pumps, all times during the 

non-cooling and non-heating seasons of a 

heat pump. This mode includes the 

‘‘shoulder seasons’’ between the cooling and 

heating seasons when the unit provides 

neither heating nor cooling to the building. 

The heat pump is assumed to remain 

connected to its main power source at all 

times during the off mode. 

Notably, the above proposed 

definition differs from the one provided 

in section 310 of EISA 2007, which 

amended section 325(gg)(1)(A) of EPCA. 

(42 U.S.C. 6295(gg)(1)(A)) This section 

of EPCA applies to a wide range of 

covered products, and as a result, the 

definitions for off-mode, active mode, 

and standby mode are relatively general 

in order to address all possible energy 

consuming modes. Rather than 

introduce alternative definitions for all 

of these modes within the central air 

conditioner and heat pump test 

procedure, DOE proposes modifying 

only the definition for off-mode as part 

of this rulemaking. 

DOE proposes new laboratory tests 

and a separate calculation algorithm for 

estimating the energy consumption 

during the off-mode season. The new 

tests and calculations are used to 

determine an average power 

consumption for the collective shoulder 

seasons and, for air conditioners, an 

average power consumption during the 

heating season. The shoulder season’s 

off-mode power consumption will be 

designated as P1, which affects both air 

conditioner and heat pump energy 

usage. The heating season off-mode 

power consumption will be designated 

as P2, which only affects air conditioner 

energy usage. 

(10 CFR part 430, subpart B, appendix 

M, proposed section 3.13) 

DOE has determined that it is not 

technically feasible to integrate offmode energy use into the SEER and 

HSPF metrics because they are both 

seasonal descriptors. These seasonal 

descriptors should not be used to 

account for the out-of-season of offmode energy consumption—i.e., the 

energy consumed during the shoulder 

seasons and during the heating season. 

To do so would alter the basis of SEER 

and HSPF. The basis for the integrated 

SEER for an air conditioner would be 

annual performance, while the basis for 

the integrated SEER and HSPF for a heat 

pump would be part-year performance. 

Annual and part-year bases for SEER 

and HSPF are inconsistent with the 

definitions of these regulating metrics. 

Moreover, the difference in bases, 

annual for the air conditioner versus 

part-year for the heat pump, disallows 

the use of the integrated SEER for 

comparing an air conditioner to a heat 

pump. Therefore, to maintain the 

technical integrity of SEER and HSPF 

and to account for off-mode (off season) 

energy consumption, DOE has 

developed a separate algorithm to 

calculate the off-mode (off season) 

energy consumption. 

The proposed P1 and P2 parameters 

are used to evaluate the off-mode energy 

consumption for any generalized 

climatic region or specific location. 

The shoulder season average off-mode 

power P1 (for air conditioners and heat 

pumps) would be multiplied by the 

appropriate shoulder season hours to 

obtain the energy consumed during the 

collective shoulder seasons. For air 

conditioners during the heating season, 

the average off-mode power P2 would 

be multiplied by the applicable heating 

season hours to obtain the energy 

consumed. The calculation of an air 

conditioner’s annual energy 

consumption and annual operating cost 

would include both the shoulder season 

energy consumption and the energy 

consumed during the heating season. 

For heat pumps, the energy 

consumption during the shoulder 

seasons would be included in the 

calculation of the annual energy 

consumption and annual operating cost. 

As part of today’s notice, DOE 

provides the actual hours associated 

with cooling, heating, and the collective 

shoulder seasons for six generalized 

climatic regions currently defined in the 

test procedure. DOE also includes actual 

hours that correspond to the 1,000 

cooling load and the 2,080 heating load 

hours referenced in 10 CFR 430.23(m), 

‘‘Test procedures for the measurement of 

energy and water consumption—central 

air conditioners and heat pumps,’’ as the 

representative average use cycles. 

Additionally, DOE provides equations 

for calculating the actual hours for the 

cooling, heating, and collective shoulder 

seasons corresponding to any cooling 

and heating load hour combination. 

As noted above, it is not technically 

feasible to use SEER and HSPF to 

account for the off-mode energy use. 

SEER and HSPF are the seasonal 

performance descriptors for the cooling 

and heating seasons, respectively. 

Moreover, such changes would have a 

deleterious impact on the manufacturer 

and confuse the consumer. Air 

conditioners and heat pumps would no 

longer be comparable and their energy 

efficiency values would only apply to 

similar climactic regions (i.e. one 

specific combination of cooling season 

hours, heating season hours, and 

shoulder season hours). If these energy 

efficiency values were integrated, SEER 

would be different in Maine than in 

Florida for similar air conditioner 

design. Therefore, additional 

precautions would be required to make 

sure the manufacturer only labels the 

units with a ‘‘locally integrated’’ SEER 

when selling a unit. This new 

complexity would require the consumer 

to have a technically pertinent 

knowledge to make an informed 

purchasing decision. 

DOE seeks comments from interested 

parties about off-mode power 

consumption, its definition, and how 

DOE proposes to add it to the test 

procedure. 

15. Add Parameters for Establishing 

Regional Standards 

Implementation of regional standards 

for central air conditioners and heat 

pumps is allowed if justified. (42 U.S.C. 

6295(o)(6)(D)(i)) Before DOE can 

establish regional standards it must 

fulfill two statutory requirements: (1) 

That the establishment of additional 

regional standards will produce 

significant energy savings in 

comparison to establishing only a single 

national standard; and (2) that the 

additional regional standards are 

economically justified. DOE has 

considered regional standards from two 

perspectives: (1) Using the existing 

SEER and/or HSPF rating but setting the 

regional standard higher than the 

national standard; and (2) evaluating the 

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regional SEER and/or HSPF using a 

different algorithm and establishing a 

standard based on this region-specific 

SEER and/or HSPF. As part of its 

standards rulemaking, DOE is 

considering the merits of both 

alternatives. Notably, DOE does not 

have authority to use a performance 

metric other than SEER and HSPF to 

quantify performance, either as part of 

a national rating or as part of a regional 

rating. EER and COP, for example, 

cannot be used. 

To consider a standard based on a 

region-specific SEER and/or HSPF, DOE 

must implement changes to the test 

procedure. Proposed test procedure 

changes are itemized below. These 

proposed changes were formulated 

based on the framework specified in 

EISA 2007 and from the results of the 

preliminary analysis conducted as part 

of the standards rulemaking. For that 

framework, section 306 of EISA 2007 

permits DOE to establish up to two 

regional standards for cooling products 

in addition to the national standard. (42 

U.S.C. 6295(o)(6)(B)) Further, individual 

States shall be placed only into a single 

region. (42 U.S.C. 6295(o)(6)(C)(iii)) In 

response, DOE has tentatively decided 

to limit its consideration of regional 

standards to cooling-dominated 

contiguous States and, in addition, to 

focus only on a region-specific SEER, 

not HSPF. The natural division of the 

cooling-dominated region is an eastwest 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 hothumid regional standard, however, 

could be higher than the value assigned 

for the national standard. 

As for the proposed hot-dry region, 

DOE identified States that could be 

included in this region. These States 

and the basis for their selection is 

described in the technical support 

document (TSD) prepared as part of the 

development of the residential central 

air conditioners and heat pumps 

standards. For this region, DOE is 

considering the option of establishing a 

regional SEER standard based on a 

region-specific SEER rating (i.e., SEER 

or SEER Hot-Dry (SEER–HD)). The 

subsections that follow discuss test 

procedure elements that offer 

mechanisms for capturing equipment 

performance in a climate that differs 

from the average climate represented in 

the national SEER rating. Until DOE 

finalizes the list of States in the targeted 

region, some numbers and inputs are 

subject to change. 

a. Use a Bin Method for Single-Speed 

SEER Calculations for the Hot-Dry 

Region and National Rating 

The bin calculation structure 

currently used in the DOE test 

procedure for calculating the SEER of 

two-capacity and variable-speed 

systems accounts for the effects of 

outdoor db temperature (including a 

shift in the frequency of occurrence), the 

equipment sizing criteria, and an 

alternative building load profile. The 

bin calculation method allows a 

mechanism to evaluate the relative 

impact of installing an air conditioner or 

heat pump in different climates, 

including a hot climate. 

The simple short-cut equation 

provided in the DOE test procedure for 

rating most single-speed systems 

typically yields a SEER value that is 

close to the SEER value obtained using 

the temperature bin method; i.e., if the 

fractional bin hour distribution, the 

sizing criteria, and the building load 

line algorithm are the national average 

values. As deviations to this specific 

case are introduced, however, the bin 

calculated SEER will change 

accordingly while the short-cut SEER 

will remain unchanged and equal to the 

value that results from the calculations 

in 10 CFR part 430, subpart B, appendix 

M, section 4.1.1. Thus, the current 

short-cut SEER method cannot be used 

if any calculation parameter changes. 

Three potentially differentiating 

parameters of the proposed hot-dry 

region are the addition of operating 

hours at bin temperatures above the 

current maximum of 102 °F, an 

appreciable redistribution in the 

percentage of hours occurring in each 

5 °F outdoor temperature bin, and a 

different outdoor design temperature. 

To account for the dryness of the region, 

in addition, cooling capacity and 

electrical power can be based on 

performance achieved when operating 

with comparatively drier indoor 

conditions. Because of these projected 

departures, DOE proposes a bin 

calculation method for evaluating the 

region-specific SEER for all types of 

systems, including those units having a 

single-speed compressor. 

The proposed SEER–HD temperature 

bin method will use a single set of new 

fractional bin hours representative of 

the applicable contiguous States. A 

revised outdoor design temperature 

would be used in defining the building 

load for each temperature bin. The zeroload 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 short-cut method, 

elimination of concerns that the shortcut method often yields a slightly higher 

SEER than the bin method for current 

equipment, and consistency between 

the calculation of the national SEER and 

regional SEER–HD (10 CFR part 430, 

subpart B, appendix M, revised sections 

4.1 and 4.1.1). 

b. Add New Hot-Dry Region Bin Data 

An important component for 

implementing a new SEER–HD rating is 

defining a representative set of outdoor 

temperature data for the cooling season. 

This data set is the fractional bin hours 

assigned to each 5 °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 hot-dry 

region. Using population-based 

weighting factors for each TMY 

location, DOE calculated a populationaveraged 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 

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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 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 HotDry Region Setup 

Bin calculations account for how the 

air conditioner or heat pump’s total 

cooling capacity and electrical power 

consumption change with outdoor 

temperature (and, for modulating 

systems, with the compressor’s capacity 

or speed). During the cooling season for 

the proposed hot-dry region, the air 

conditioner or heat pump will operate 

mostly when comparatively less latent 

cooling is needed. By comparison, the 

performance data from the currently 

required laboratory tests (Tests A and B 

for single-speed systems) correspond to 

indoor test conditions that result in a 

fully wetted coil and a significant 

amount of latent cooling (typically 20 to 

30 percent of the total capacity). The 

electrical power consumption and EER 

of a system operating with a fully 

wetted coil also differ slightly from the 

values obtained from operating with a 

partially wetted or dry coil. 

In addition to evaluating the SEER– 

HD using the same performance data 

used to calculate the national SEER, at 

least two other options are available: 

specify hot-dry, steady-state cooling 

mode tests (where indoor conditions are 

representative of such an installation), 

or test at the same indoor conditions 

currently specified for the dry-coil tests 

used to determine the cooling mode 

cyclic degradation coefficient(s). 

To determine the potential impact 

that the indoor conditions (wb 

temperature) may have on the new 

SEER–HD rating, DOE conducted 

sample calculations for the bracketing 

cases. A unit with a tested national 

SEER of 13.6 would earn a SEER–HD of 

13 using the 80 °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 dryinstead 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 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, CEC–500– 

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 twocapacity units and for the minimum 

speed performance of variable-speed 

systems provide the same utility. 

Because of the availability of the 

national SEER wet-coil test data, the 

need to minimize the test burden, and 

the fact that the performance ratings 

only apply to the hot-dry regional 

climate, DOE seeks to minimize the 

number of new required tests. 

Therefore, DOE proposes a combination 

of required and optional tests. Instead of 

conducting optional tests, DOE proposes 

using simplified approximating 

equations to capture the change in 

performance as the outdoor temperature 

changes. 

As proposed, single-speed systems 

will have a single required SEER–HD 

test, which will occur at an outdoor 

temperature of 95 °F and be designated 

‘‘the AD Test.’’ Systems having a 

modulating capability will have two 

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31242 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

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. 

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 hot-dry region 

capacity and power consumption 

change with outdoor temperature for a 

given compressor capacity. Specifically, 

the slope of the capacity (or power 

consumption) versus outdoor 

temperature relationship for the 

comparable 80 °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 underpredicted. 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 binweighted cooling delivered for 

temperature bins less than the test 

temperature should exceed the cooling 

contribution from temperature bins 

above the test temperature. As a result, 

a conservative rating would be achieved 

if the capacity at the lower temperatures 

is under-predicted and the power 

consumption at these temperatures is 

over-predicted. To determine the 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 

SEER–HD determined from the optional 

test(s). DOE wants the approximation to 

provide a conservative rating, which 

will avoid over-predicting the actual 

value. When the optional testing is 

conducted but yields a poorer outcome, 

a manufacturer shall not be penalized 

for having conducted the optional SEER 

tests. If the SEER–HD determined using 

the approximations defined above is 

higher than the SEER–HD determined 

using the data from the optional test(s), 

the manufacturer may use the higher 

value. (10 CFR part 430, subpart B, 

appendix M, revised sections 3.6.2, 

3.6.3, and 3.6.4) 

DOE considered additional options 

for modifying the laboratory testing to 

differentiate equipment installed in a 

hot-dry region. For example, DOE 

considered setting higher minimum 

external static pressure requirements for 

the required and optional SEER–HD 

laboratory tests, as some interested 

parties have advocated increasing the 

current minimums. DOE elected not to 

change these minimums as part of the 

SEER–HD tests to maximize consistency 

between the SEER–HD and national 

SEER tests. This consistency is 

necessary given the above-described 

method for approximating the 

relationship between cooling capacity 

(power consumption) and outdoor 

temperature for the hot-dry condition. 

DOE also considered ways to account 

for an extended indoor fan time delay 

mode designed to re-evaporate 

condensate trapped on the coil or lying 

in the pan. Because the current CD tests 

are dry-coil tests, DOE was unable to 

conceive of a change that would permit 

measurement of such an evaporative 

cooling (latent recovery) mechanism if 

employed in the field. 

d. Add a New Equation for Building 

Load Line in the Hot-Dry Region 

As part of the evaluation of the newly 

proposed region-specific performance 

rating, SEER–HD, DOE must establish a 

building load line for the SEER–HD (just 

as used for evaluating the national 

SEER): 

BL T

T

j

j

( ) = ( ) −

( ) − ×

T ( )

T T

Q T

F

ZB

OD ZB

c HD

k

OD

OS

,

Where: 

Tj = the bin temperature, 

TZB = the zero load balance point, 

TOD = the outdoor design temperature, 

Q ̇ k

c,HD (TOD) = the unit’s capacity at the 

design outdoor temperature, and 

FOS = the oversizing factor. 

As with the calculation of the national 

SEER, the building load is assumed to 

vary linearly with outdoor temperature. 

Other parameters common to the two 

building load calculations are the zero 

load balance point, the outdoor design 

temperature, and the oversizing factor: 

65 °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 hotdry region setup. 


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16. Add References to ASHRAE 116– 

1995 (RA 2005) for Equations That 

Calculate SEER and HSPF for VariableSpeed Systems 

DOE proposes to reference specific 

language and equations within ASHRAE 

Standard 116–1995 (RA 2005) that 

provide greater detail in determining the 

three balance point temperatures 

needed when calculating the SEER of an 

air conditioner or heat pump having a 

variable-speed compressor. DOE 

proposes to do the same for the HSPF 

variable-speed algorithm. 

The DOE test procedure does not 

include the equations used for 

calculating the outdoor temperatures at 

which the unit’s cooling or heating 

capacity matches the building’s cooling 

or heating load when operating at 

minimum, intermediate, or maximum 

compressor speeds. (Intermediate speed 

is used for laboratory testing.) The DOE 

test procedure defines these three 

outdoor temperatures and how they are 

evaluated. ASHRAE Standard 116–1995 

(RA 2005) provides explicit equations 

for calculating the three outdoor 

temperatures for cooling and the three 

outdoor temperatures for heating. 

Referencing this standard within the 

DOE test procedure is worthwhile, as it 

may be especially helpful for those new 

to either test procedures or testing and 

rating variable-speed products. 

DOE proposes adding a sentence 

within test procedure sections 4.1.4.2 

and 4.2.4.2 to reference the applicable 

sections of the ASHRAE Standard that 

provide the exact equations, along with 

explanatory text and figures. 

DOE seeks comments on this 

proposal. 

17. Update Test Procedure References to 

the Current Standards of AHRI and 

ASHRAE 

Since the October 2007 final rule, ARI 

has merged with the Gas Appliance 

Manufacturers Association to become 

AHRI. References to ARI within 

Appendix M need to be updated 

accordingly, as documented below. 

IV. Regulatory Review 

A. Review Under Executive Order 12866 

Today’s regulatory action is not a 

‘‘significant regulatory action’’ under 

Executive Order (E.O.) 12866, 

‘‘Regulatory Planning and Review.’’ 58 

FR 51735 (October 4, 1993). 

Accordingly, this action was not subject 

to review by the Office of Management 

and Budget under the Executive Order. 

B. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE proposes 

amendments to test procedures that may 

be used to implement future energy 

conservation standards for central air 

conditioners. These amendments will 

not affect the quality or distribution of 

energy usage and, therefore, will not 

result in any environmental impacts. 

DOE has determined that this rule falls 

into a class of actions that are 

categorically excluded from review 

under the National Environmental 

Policy Act of 1969 (NEPA) (42 U.S.C. 

4321 et seq.) and the Department’s 

implementing regulations at 10 CFR part 

1021. More specifically, this rule is 

covered by the Categorical Exclusion in 

paragraph A5, to subpart D, 10 CFR part 

1021. Accordingly, neither an 

environmental assessment nor an 

environmental impact statement is 

required. 

C. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IRFA) for any rule that by law 

must be proposed for public comment, 

unless the agency certifies that the rule, 

if promulgated, will not have a 

significant economic impact on a 

substantial number of small entities. As 

required by E.O. 13272, ‘‘Proper 

Consideration of Small Entities in 

Agency Rulemaking’’ (67 FR 53461 

(August 16, 2002)), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s Web site (http:// 

www.gc.doe.gov). 

DOE reviewed today’s proposed rule, 

which would amend the test procedures 

for residential central air conditioners 

and heat pumps, under the provisions of 

the Regulatory Flexibility Act and the 

procedures and policies published on 

February 19, 2003. DOE tentatively 

concludes and certifies that the 

proposed rule, if adopted, would not 

result in a significant impact on a 

substantial number of small entities. 

The factual basis for this certification is 

set forth below. 

As defined by the Small Business 

Administration (SBA) for the 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 CFR part 

121. The standards are listed by North 

American Industry Classification 

System (NAICS) code and industry 

description and are available at http:// 

www.sba.gov/idc/groups/public/ 

documents/sba_homepage/ 

serv_sstd_tablepdf.pdf. 

Residential central air conditioner 

and heat pump equipment 

manufacturing is classified under 

NAICS 333415, ‘‘Air-Conditioning and 

Warm Air Heating Equipment and 

Commercial and Industrial Refrigeration 

Equipment Manufacturing.’’ 70 FR 

12395 (March 11, 2005). DOE reviewed 

AHRI’s listing of residential central air 

conditioner and heat pump equipment 

manufacturer members and surveyed 

the industry to develop a list of 

domestic manufacturers. As a result of 

this review, DOE identified 22 

manufacturers of residential central air 

conditioners and heat pumps, of which 

15 would be considered small 

manufacturers with a total of 

approximately 3 percent of the market 

sales. DOE seeks comment on its 

estimate of the number of small entities 

that may be impacted by the proposed 

test procedure. 

Potential impacts of the proposed test 

procedures on all manufacturers, 

including small businesses, come from 

impacts associated with the cost of 

proposed additional testing. DOE 

estimates the incremental cost of the 

proposed additional tests described in 

10 CFR part 430, subpart B, appendix M 

(revised sections 3.1, 4.3.1, and 4.3.2; 

and proposed sections 3.13 and 4.2.7) to 

be an increase of $1,000 to $1,500 per 

unit tested. This estimate is based on 

private testing services quoted on behalf 

of DOE in the last two years for central 

air conditioners and heat pumps. 

Typical costs for running the cooling 

tests appear to be approximately $5,000. 

DOE estimated that the additional 

activities required by the revised test 

procedure would introduce a 20 to 30 

percent increase in testing time 

resulting in approximately $1,000 to 

$1,500 additional cost. The largest 

additional cost would be associated 

with conducting steady-state cooling 

mode tests and the dry climate tests (for 

SEER–HD). 

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Because the incremental cost of 

running the extra tests is the same for 

all manufacturers, DOE believes that all 

manufacturers would incur comparable 

costs for testing of individual basic 

models as a result of the proposed test 

procedures. DOE expects that small 

manufacturers will incur less testing 

expense compared with larger 

manufacturers as a result of the 

proposed testing requirements because 

they have fewer basic models and thus 

require proportionally less testing when 

compared with large manufacturers that 

have many basic models. DOE 

recognizes, however, that smaller 

manufacturers may have less capital 

available over which to spread the 

increased costs of testing. 

DOE compared the cost of the testing 

to the total value added by the 

manufacturers to determine whether the 

impact of the proposed test procedure 

amendments is significant. The value 

added represents the net economic 

value that a business creates when it 

takes manufacturing inputs (e.g. 

materials) and turns them into 

manufacturing outputs (e.g. 

manufactured goods). Specifically as 

defined by the U.S. Census, the value 

added statistic is calculated as the total 

value of shipments (products 

manufactured plus receipts for services 

rendered) minus the cost of materials, 

supplies, containers, fuel, purchased 

electricity, and contract work expenses. 

DOE analyzed the impact on the 

smallest manufacturers of central air 

conditioners and heat pumps because 

these manufacturers would likely be the 

most vulnerable to cost increases. DOE 

calculated the additional testing 

expense as a percentage of the average 

value added statistic for the five 

individual firms in the 25 to 49 

employee size category in NAICS 

333415 as reported by the U.S. Census 

(U.S. Bureau of the Census, American 

Factfinder, 2002 Economic Census, 

Manufacturing, Industry Series, 

Industry Statistics by Employment Size) 

http://factfinder.census.gov/servlet/

EconSectorServlet?_lang=en&ds_

name=EC0200A1&_

SectorId=31&_ts=288639767147>). The 

average annual value for manufacturers 

in this size range from the census data 

was 1.26 million dollars in 2001$, per 

the 2002 Economic Census, or 

approximately 1.52 million dollars per 

year in 2009$ after adjusting for 

inflation using the implicit price 

deflator for gross domestic product (U.S. 

Department of Commerce Bureau of 

Economic Analysis http://www.bea.gov/ 

national/nipaweb/SelectTable.asp). 

DOE also examined the average value 

added statistic provided by census for 

all manufacturers with less than 500 

employees in this NAICS classification 

as the most representative value from 

the 2002 Economic Census data of the 

CAC manufacturers with less than 750 

employees that are considered small 

businesses by the SBA (15 

manufacturers). The average annual 

value added statistic for all small 

manufacturers with less than 500 

employees was 7.88 million dollars 

(2009$). 

Given this data, and assuming the 

high-end estimate of $1,500 for the 

additional testing costs, DOE concluded 

that the additional costs for testing of a 

single basic model product under the 

proposed requirements would be 

approximately 0.1% of annual value 

added for the five smallest firms, and 

approximately 0.02% of the average 

annual value added for all small CAC 

manufacturers (15 firms). DOE estimates 

that testing of basic models may not 

have to be updated more than once 

every five years, and therefore the 

average incremental burden of testing 

one basic model may be one fifth of 

these values when the cost is spread 

over several years. 

DOE requires that only the highest 

sales volume split system combinations 

be lab tested (10 CFR 430.24(m)). The 

majority of air conditioners and heat 

pumps offered by a manufacturer are 

typically split systems that are not 

required to be lab tested but can be 

certified using an alternative rating 

method which does not require DOE 

testing of these units. DOE reviewed the 

available data for five of the smallest 

manufacturers to estimate the 

incremental testing cost burden for 

those small firms that might experience 

the greatest relative burden from the 

revised test procedures. These 

manufacturers had an average of 10 

models requiring testing (AHRI 

Directory of Certified Product 

Performance http:// 

www.ahridirectory.org/ahridirectory/ 

pages/home.aspx), while large 

manufacturers will have well over a 

hundred such models. The additional 

testing cost for final certification for 10 

models was estimated at $15,000. 

Meanwhile these certifications would be 

expected to last the product life, 

estimated to be at least five years based 

on the time frame established in EPCA 

for DOE review of CAC efficiency 

standards. This test burden is therefore 

estimated to be approximately 0.2% of 

the estimated five-year value added for 

the smallest five manufacturers. DOE 

believes that these costs are not 

significant given other, much more 

significant costs that the small 

manufacturers of central air 

conditioners and heat pumps incur in 

the course of doing business. DOE seeks 

comment on its estimate of the impact 

of the proposed test procedure 

amendments on small entities and its 

conclusion that this impact is not 

significant. 

Accordingly, as stated above, DOE 

tentatively concludes and certifies that 

this proposed rule would not have a 

significant economic impact on a 

substantial number of small entities. 

Accordingly, DOE has not prepared an 

IRFA for this rulemaking. DOE will 

provide its certification and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the SBA for 

review under 5 U.S.C. 605(b). 

D. Review Under the Paperwork 

Reduction Act 

This rule contains a collection-ofinformation requirement subject to the 

Paperwork Reduction Act (PRA) and 

which has been approved by OMB 

under control number 1910–1400. 

Public reporting burden for the 

collection of test information and 

maintenance of records on regulated 

residential central air conditioners and 

heat pumps based on the certification 

and reporting requirements is estimated 

to average 30 hours per response, 

including the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection of information. 

Send comments regarding this burden 

estimate, or any other aspect of this data 

collection, including suggestions for 

reducing the burden, to DOE (see 

ADDRESSES) and by e-mail to 

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 

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to publish estimates of the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820. (This policy is 

also available at http://www.gc.doe.gov.) 

Today’s proposed rule contains neither 

an intergovernmental mandate, nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

F. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any 

proposed rule that may affect family 

well-being. Today’s proposed rule 

would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is unnecessary to 

prepare a Family Policymaking 

Assessment. 

G. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 10, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to assess carefully the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE 

examined today’s proposed rule and has 

determined that it does not preempt 

State law and does not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of 

today’s proposed rule. States can 

petition DOE for a waiver of such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297) No further action is required by 

E.O. 13132. 

H. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of E.O. 

12988, ‘‘Civil Justice Reform’’ (61 FR 

4729, February 7, 1996), imposes on 

Federal agencies the general duty to 

adhere to the following requirements: 

(1) Eliminate drafting errors and 

ambiguity; (2) write regulations to 

minimize litigation; (3) provide a clear 

legal standard for affected conduct 

rather than a general standard; and (4) 

promote simplification and burden 

reduction. Section 3(b) of E.O. 12988 

specifically requires that Executive 

agencies make every reasonable effort so 

that the regulation: (1) Clearly specifies 

the preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of E.O. 12988 

requires Executive agencies to review 

regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that to the 

extent permitted by law, the proposed 

rule meets the relevant standards of E.O. 

12988. 

I. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under information quality 

guidelines established by each agency 

pursuant to general OMB guidelines. 

The OMB’s guidelines were published 

at 67 FR 8452 (February 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (October 7, 2002). DOE has 

reviewed today’s proposed rule under 

the OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 

J. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to the Office of 

Information and Regulatory Affairs 

(OIRA), Office of Management and 

Budget, a Statement of Energy Effects for 

any proposed significant energy action. 

A ‘‘significant energy action’’ is defined 

as any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that (1) 

is a significant regulatory action under 

E.O. 12866, or any successor order; and 

(2) is likely to have a significant adverse 

effect on the supply, distribution, or use 

of energy; or (3) is designated by the 

Administrator of OIRA as a significant 

energy action. For any proposed 

significant energy action, the agency 

must give a detailed statement of any 

adverse effects on energy supply, 

distribution, or use should the proposal 

be implemented, and of reasonable 

alternatives to the action and their 

expected benefits on energy supply, 

distribution, and use. Today’s regulatory 

action would not have a significant 

adverse effect on the supply, 

distribution, or use of energy and, 

therefore, it is not a significant energy 

action. Accordingly, DOE has not 

prepared a Statement of Energy Effects. 

K. Review Under Executive Order 12630 

DOE has determined, under E.O. 

12630, ‘‘Governmental Actions and 

Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(March 15, 1988), that this proposed 

regulation, if promulgated as a final 

rule, would not result in any takings 

that might require compensation under 

the Fifth Amendment to the U.S. 

Constitution. 

L. Review Under Section 32 of the 

Federal Energy Administration (FEA) 

Act of 1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91), DOE must comply with section 32 

of the Federal Energy Administration 

Act of 1974, as amended by the Federal 

Energy Administration Authorization 

Act of 1977. When a proposed rule 

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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). 

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 handdeliver requests to speak, along with a 

computer diskette or CD in WordPerfect, 

Microsoft Word, PDF, or text (ASCII) file 

format to the address shown in the 

ADDRESSES section at the beginning of 

this NOPR between 9 a.m. and 4 p.m. 

Monday through Friday, except Federal 

holidays. Requests may also be sent by 

mail or e-mail to 

Brenda.Edwards@ee.doe.gov. 

Persons requesting to speak should 

briefly describe the nature of their 

interest in this rulemaking, provide a 

telephone number for contact, and 

submit an advance copy of their 

statements at least one week before the 

public meeting. At its discretion, DOE 

may permit any person who cannot 

supply an advance copy of their 

statement to participate, if that person 

has made advance alternative 

arrangements with the Building 

Technologies Program. The request to 

give an oral presentation should ask for 

such alternative arrangements. 

C. Conduct of Public Meeting 

DOE will designate a DOE official to 

preside at the public meeting and may 

also employ a professional facilitator to 

aid discussion. The meeting will not be 

a judicial or evidentiary-type public 

hearing, but DOE will conduct it in 

accordance with section 336 of EPCA 

(42 U.S.C. 6306). A court reporter will 

record the proceedings and prepare a 

transcript. DOE reserves the right to 

schedule the order of presentations and 

to establish the procedures governing 

the conduct of the public meeting. After 

the public meeting, interested parties 

may submit further comments on the 

proceedings as well as on any aspect of 

the rulemaking until the end of the 

comment period. 

The public meeting will be conducted 

in an informal conference style. DOE 

will present summaries of comments 

received before the public meeting, 

allow time for presentations by 

participants, and encourage all 

interested parties to share their views on 

issues affecting this rulemaking. Each 

participant will be allowed to make a 

prepared general statement (within 

DOE-determined time limits) prior to 

the discussion of specific topics. DOE 

will permit other participants to 

comment briefly on any general 

statements. 

At the end of all prepared statements 

on a topic, DOE will permit participants 

to clarify their statements briefly and 

comment on statements made by others. 

Participants should be prepared to 

answer questions from DOE and other 

participants concerning these issues. 

DOE representatives may also ask 

questions of participants concerning 

other matters relevant to this 

rulemaking. The official conducting the 

public meeting will accept additional 

comments or questions from those 

attending, as time permits. The 

presiding official will announce any 

further procedural rules or modification 

of the above procedures that may be 

needed for the proper conduct of the 

public meeting. 

DOE will make the entire record of 

this proposed rulemaking, including the 

transcript from the public meeting, 

available for inspection at the U.S. 

Department of Energy, 6th Floor, 950 

L’Enfant Plaza, SW., Washington, DC 

20024, (202) 586–2945, between 9 a.m. 

and 4 p.m. Monday through Friday, 

except Federal holidays. Any person 

may purchase a copy of the transcript 

from the transcribing reporter. 

D. Submission of Comments 

DOE will accept comments, data, and 

other information regarding the 

proposed rule before or after the public 

meeting, but no later than the date 

provided at the beginning of this NOPR. 

Please submit comments, data, and 

other information electronically to 

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 

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determination as to the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include (1) a 

description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) a date 

upon which such information might 

lose its confidential nature due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

E. Issues on Which DOE Seeks Comment 

Although comments are welcome on 

all aspects of this rulemaking, DOE is 

particularly interested in receiving 

comments on following issues: 

1. Specific examples, including 

laboratory data, that address a 

stakeholder’s comment on the failure of 

the test procedure to capture the 

performance characteristics of an air 

conditioner or heat pump that uses 

‘‘new inverter-driven compressor 

technology.’’ 

2. Do the proposed definitions for off 

mode air conditioners and off mode heat 

pumps clarify the meaning of off mode 

power? 

3. What is the impact of proposed 

lower external static pressure levels and 

the proposed language for making sure 

that these levels are limited to testing 

ducted multi-split systems? 

4. What is the impact of the change to 

the air volume rate setup tolerance? 

Information on real cases where the 

indoor unit was adversely affected by 

the current 5 percent tolerance would be 

especially helpful. 

5. What is the proposed magnitude of 

the test operating tolerance for the 

external static pressure relative to its 

ability to provide an indication of 

steady, repeatable performance? 

6. Do manufacturers foresee obtaining 

a SEER–HD rating for all of their 

products? If not, what is an approximate 

percentage of systems that will likely 

have a SEER–HD rating? 

7. Do manufacturers foresee 

specifying installation instructions that 

would result in systems being 

configured differently for the hot-dry 

tests than for the normal SEER tests? If 

so, please provide examples of the likely 

differences in the setups. 

8. Will the proposed hot-dry indoor 

test condition of 80 °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 coldclimate heat pumps adequate to address 

testing concerns for these products? 

11. Are modifications needed, within 

the test procedure, for the laboratory setup of through-the-wall air conditioners 

and heat pumps? 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s NOPR. 

List of Subjects in 10 CFR Part 430 

Administrative practice and 

procedure, Energy conservation test 

procedures, Household appliances, 

Incorporation by reference. 

Issued in Washington, DC on February 12, 

2010. 

Cathy Zoi, 

Assistant Secretary, Energy Efficiency and 

Renewable Energy. 

For the reasons set forth in the 

preamble, DOE proposes to amend part 

430 of chapter II of Title 10, Code of 

Federal Regulations, to read as follows: 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

1. The authority citation for part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

2. Section 430.2 is amended by 

revising the definition of ‘‘tested 

combination’’ to read as follows: 

§ 430.2 Definitions. 

* * * * * 

Tested combination means a multisplit system with multiple indoor coils 

having the following features: 

(1) The basic model of a system used 

as a tested combination shall consist of 

one outdoor unit with one or more 

compressors matched with between two 

and five indoor units; for the multi-split 

system, each indoor unit shall be 

designed for individual operation. 

(2) The indoor units shall: 

(i) Collectively, have a nominal 

cooling capacity greater than or equal to 

95 percent and less than or equal to 105 

percent of the nominal cooling capacity 

of the outdoor unit; 

(ii) Represent the highest sales 

volume model family [Note: another 

indoor model family may be used if five 

indoor units from the highest sales 

volume model family do not provide 

sufficient capacity to meet the 95 

percent threshold level specified in 

paragraph (2)(i) of this section]; 

(iii) Individually not have a nominal 

cooling capacity greater than 50 percent 

of the nominal cooling capacity of the 

outdoor unit, unless the nominal 

cooling capacity of the outdoor unit is 

24,000 Btu/h or less; 

(iv) Operate at fan speeds consistent 

with manufacturer’s specifications; and 

(v) All be subject to the same 

minimum external static pressure 

requirement (i.e., 0 in wc for nonducted; 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. 

* * * * * 

(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.’’ 

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4. Removing, in section 1.9, ‘‘RA 01’’ 

and adding in its place ‘‘RA 06;’’ and by 

removing ‘‘2001’’ and adding in its place 

‘‘2006.’’ 

5. Adding, in section 1.10, ‘‘(RA 06)’’ 

after ‘‘41.6–00’’ and adding ‘‘and 

reaffirmed in 2006’’ after ‘‘2000.’’ 

6. Removing, in section 1.11, ‘‘51–99’’ 

and adding in its place ‘‘51–07;’’ and by 

removing ‘‘1999’’ and adding in its place 

‘‘2007’’ in two locations. 

7. Redesignating sections 1.32 through 

1.33 as 1.33 through 1.34 respectively; 

1.34 through 1.43 as 1.36 through 1.45 

respectively; and 1.44 through 1.47 as 

1.48 through 1.51 respectively. 

8. Adding new sections 1.32, 1.35, 

1.46, and 1.47. 

(b) In section 2, Testing Conditions, 

by: 

1. Removing, in section 2.1, ‘‘430.22’’ 

and adding in its place ‘‘430.3.’’ 

2. Revising, in section 2.2 paragraph 

a., and adding new paragraphs d, e, and 

f. 

3. Revising section 2.2.1. 

4. Revising section 2.2.3, and adding 

new sections 2.2.3.1 and 2.2.3.2. 

5. Revising section 2.2.5 and section 

2.4.1 paragraph b., first sentence. 

6. Removing, in section 2.4.1d, 

‘‘430.22’’ and adding in its place ‘‘430.3’’ 

in two locations. 

7. Removing, in section 2.4.2, 

‘‘430.22’’ and adding in its place ‘‘430.3’’ 

in two locations. 

8. Removing, in section 2.5, ‘‘430.22’’ 

and adding in its place ‘‘430.3.’’ 

9. Removing, in section 2.5.3, 

‘‘430.22’’ and adding in its place ‘‘430.3’’ 

in two locations. and in the second 

sentence by removing ‘‘–99’’ and adding 

in its place ‘‘–07’’ in two locations. 

10. Removing, in section 2.5.4.2, 

‘‘430.22’’ and adding in its place ‘‘430.3’’ 

in two locations and in the last sentence 

by removing ‘‘RA 01’’ and adding in its 

place ‘‘RA 06.’’ 

11. Revising section 2.5.5a. 

12. Removing, in section 2.5.6, third, 

fourth, and fifth sentences ‘‘RA 01’’ and 

adding in its place ‘‘RA 06,’’ and by 

removing ‘‘430.22’’ and adding ‘‘430.3’’ 

in its place in the three locations. 

13. Removing, in section 2.6, 

paragraph a, ‘‘–99’’ and adding in its 

place ‘‘–07’’ in two locations; and by 

removing ‘‘430.22’’ and adding in its 

place ‘‘430.3’’ in three locations. 

14. Removing, in section 2.6, 

paragraph b. ‘‘ARI Standard’’ and adding 

in its place ‘‘AHRI Standard’’ in one 

location; and by removing ‘‘430.22’’ and 

adding in its place ‘‘430.3’’ in three 

locations. 

15. Removing, in section 2.7, ‘‘ARI 

Standard’’ and adding in its place ‘‘AHRI 

Standard,’’ and by removing ‘‘430.22’’ 

and adding in its place ‘‘430.3.’’ 

16. Removing, in section 2.10.2, 

‘‘430.22’’ and adding in its place ‘‘430.3’’ 

in two locations. 

17. Removing, in section 2.10.3, 

‘‘430.22’’ and adding in its place ‘‘430.3’’ 

in two locations. 

18. Removing, in section 2.11, 

paragraph a. ‘‘430.22’’ and adding in its 

place ‘‘430.3.’’ 

19. Removing, in section 2.11, 

paragraph b. ‘‘RA 01’’ and adding in its 

place ‘‘RA 06,’’ and by removing 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

20. Removing, in section 2.11, 

paragraph c. ‘‘RA 01’’ and adding in its 

place ‘‘RA 06,’’ and by removing 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

21. Removing, in section 2.13, 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

(c) In section 3, Testing Procedures, 

by: 

1. Adding three new sentences at the 

end of section 3.1. 

2. Removing, in section 3.1.1, 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

3. Removing, in section 3.1.3, ‘‘ARI 

Standard’’ and adding in its place ‘‘AHRI 

Standard,’’ and by removing ‘‘430.22’’ 

and adding in its place ‘‘430.3.’’ 

4. Removing ‘‘95’’ and adding in its 

place ‘‘90’’ in section 3.1.4.1.1, 

paragraph a.4b. 

5. Revising the first sentence of 

paragraph a.6 in section 3.1.4.1.1. 

6. Revising Table 2 in section 

3.1.4.1.1. 

7. Adding new paragraphs d. and e. in 

section 3.1.4.1.1. 

8. Adding a new paragraph e. in 

section 3.1.4.2 . 

9. Revising in section 3.1.4.4.2 

paragraph c. and adding new paragraphs 

d. and e. 

10. Removing, in section 3.1.4.4.3, 

paragraph 4b, ‘‘95’’ and adding in its 

place ‘‘90’’ and revising the first sentence 

of paragraph a.6. 

11. Adding, in section 3.1.4.5, a new 

paragraph f. 

12. Removing, in section 3.1.5, 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

13. Removing, in section 3.1.6, 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

14. Adding, in section 3.2.1 following 

Table 3 footnotes, undesignated text, a 

new Table 3a and additional 

undesignated text. . 

15. Revising sections 3.2.2, 3.2.2.1, 

and 3.2.2.2. 

16. Revising section 3.2.3 

introductory sentence and paragraph c., 

and adding a new paragraph e. 

17. Adding a new paragraph d. in 

section 3.2.4, and adding new sections 

3.2.5 and 3.2.6. 

18. Revising section 3.3, paragraphs b. 

and c., and redesignating the second 

paragraph d. as paragraph e. 

19. Removing ‘‘0.05’’ in section 3.3 

Table 7 column ‘‘Test Operating 

Tolerance,’’ and adding in its place 

‘‘0.12.’’ 

20. Removing ‘‘2.0’’ in section 3.3 

Table 7 row ‘‘Nozzle pressure drop, % 

of rdg’’, and adding in its place ‘‘8.0.’’ 

21. Removing ‘‘See Definition 1.41’’ in 

section 3.3 Table 7 footnote (1), and 

adding in its place ‘‘See Definition 1.43.’’ 

22. Removing ‘‘See Definition 1.40’’ in 

section 3.3 Table 7 footnote (2), and 

adding in its place ‘‘See Definition 1.42.’’ 

23. Redesignating paragraph b. as c. in 

section 3.4, and adding a new paragraph 

b. 

24. Removing ‘‘0.05’’ in section 3.3 

Table 8 column ‘‘Test Operating 

Tolerance,’’ and adding in its place 

‘‘0.12.’’ 

25. Removing ‘‘2.0’’ in section 3.3 

Table 8 row ‘‘Airflow nozzle pressure 

difference or velocity 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 3.6.3 paragraph 

a., 2 sentences at the end of the 

paragraph. 

31. Removing, in section 3.6.4, 

paragraph a last sentence and two 

unnumbered equations, revising 

paragraphs b and c, and adding new 

paragraph d. 

32. Adding new sections 3.6.6 and 

3.6.7. 

33. Revising, in section 3.7, paragraph 

a., the first sentence of paragraphs b. 

and d., and adding a new paragraph e. 

34. Revising the introductory sentence 

in section 3.8 and paragraph a. 

35. Removing, in section 3.8.1, 

‘‘430.22’’ and adding in its place ‘‘430.3’’, 

and revising Table 14. 

36. Adding ‘‘H23’’ between ‘‘H2’’ and 

‘‘H22.’’ in section 3.9 introductory 

sentence, revising the last sentence of 

paragraph e, and by removing ‘‘430.22’’ 

and adding in its place ‘‘430.3’’ in 

paragraph f. 

37. Removing, in section 3.9c. ‘‘(see 

Definition 1.42)’’ from the third sentence 

and adding in its place ‘‘(see Definition 

1.44).’’ 

38. Removing ‘‘0.05’’ in section 3.9f 

Table 15 column ‘‘Test Operating 

Tolerance,’’ and adding in its place 

‘‘0.12.’’ 

39. Removing ‘‘2.0’’ in section 3.9f 

Table 15 row ‘‘External resistance to 

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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31249 

airflow, inches of water’’, and adding in 

its place ‘‘8.0.’’ 

40. Removing ‘‘See Definition 1.41’’ in 

section 3.9f. Table 15 footnote (1), and 

adding in its place ‘‘See Definition 1.43.’’ 

41. Removing ‘‘See Definition 1.40’’ in 

section 3.9f. Table 15 footnote (2), and 

adding in its place ‘‘See Definition 1.42.’’ 

42. Removing, in section 3.9.1a., 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

43. Revising section 3.9.2 paragraph 

a., section 3.10, section 3.11.1.1 

paragraph a., and 3.11.1.3 paragraph a. 

44. Removing, in section 3.11.1.3, 

paragraph b., ‘‘430.22’’ and adding in its 

place ‘‘430.3’’ in three locations. 

45. Revising, in section 3.11.2, 

paragraph a. 

46. Removing, in section 3.11.2, 

paragraph b., ‘‘430.22’’ and adding in its 

place ‘‘430.3.’’ 

47. Removing, in section 3.11.3, 

‘‘430.22’’ and adding in its place ‘‘430.3.’’ 

48. Adding new sections 3.13, 3.13.1, 

3.13.2, 3.13.2.1, 3.13.2.2, 3.13.3, 

3.13.3.1, 3.13.3.2, 3.13.3.3, 3.13.3.4, 

3.13.3.5, 3.13.4, 3.13.4.1, 3.13.4.2, 

3.13.4.3, 3.13.4.4.1, 3.13.4.4.2, 

3.13.4.4.3, 3.13.4.4.4, 3.13.4.4.5, 

3.13.4.4.6, 3.13.4.4.7, 3.13.4.4.8, 

3.13.4.5, 3.13.4.6, 3.13.5, 3.13.5.1, 

3.13.5.2, 3.13.5.33.13.5.4, 3.13.5.4.1, 

3.13.5.4.2, 3.13.5.43, 3.13.5.4.4, 

3.13.5.4.5, 3.13.5.5, 3.13.5.5.1, 

3.13.5.5.2, 3.13.5.5.3, 3.13.5.6, and 

3.13.5.7. 

(d) In section 4, Calculations of 

Seasonal Performance Descriptors, by: 

1. Revising, in section 4.1, the 

introductory text before equation (4.1– 

2), and the text following equation (4.1– 

2). 

2. Revising section 4.1.1. 

3. Adding, in section 4.1.3, at the end 

of the first sentence ‘‘, including triplecapacity northern heat pumps’’. 

4. Revising, in section 4.1.4.2, the 

definitions of T1 and T2 following 

equation for calculating B. 

5. Adding new sections 4.1.5, 4.1.5.1, 

4.1.5.2, 4.1.6, 4.1.6.1, 4.1.6.2, 4.1.6.2.1, 

4.1.6.2.2, 4.1.6.3, and 4.1.6.4. 

6. Adding, in section 4.2, item 4 in the 

numbered list following the equation for 

DHRmax, and revising the sentence 

preceding Table 18. 

7. Revising, in section 4.2.4.2, the 

definition of T4 following the equation 

for A. 

8. Adding new sections 4.2.6, 4.2.6.1, 

4.2.6.2, 4.2.6.3, 4.2.6.4, 4.2.6.5, 4.2.6.6, 

4.2.6.7, 4.2.6.8, 4.2.7, 4.2.7.1, 4.2.7.2, 

4.2.8, 4.2.8.1, 4.2.8.1.1, 4.2.8.1.2, 

4.2.8.1.3, 4.2.8.2, 4.2.8.2.1, 4.2.8.2.2, 

4.2.8.3, 4.2.8.3.1, and 4.2.8.3.2. 

9. Revising, in section 4.3.1, the 

equation which immediately follows the 

introductory text, and adding new text 

at the end of the last sentence. 

10. Revising sections 4.3.2 and 4.4, 

and adding a new section 4.5. 

The additions and revisions read as 

follows: 

Appendix M to Subpart B of Part 430— 

Uniform Test Method for Measuring the 

Energy Consumption of Central Air 

Conditioners and Heat Pumps 

* * * * * 

1. Definitions 

* * * * * 

1.32 Off mode means: 

(1) For air conditioners, all times during 

the non-cooling season of an air conditioner. 

This mode includes the ‘‘shoulder seasons’’ 

between the cooling and heating seasons 

when the unit provides no cooling to the 

building and the entire heating season, when 

the unit is idle. The air conditioner is 

assumed to be connected to its main power 

source at all times during the off mode; and 

(2) For heat pumps, all times during the 

non-cooling and non-heating seasons of a 

heat pump. This mode includes the 

‘‘shoulder seasons’’ between the cooling and 

heating seasons when the unit provides 

neither heating nor cooling to the building. 

The heat pump is assumed to be connected 

to its main power source at all times during 

the off mode. 

* * * * * 

1.35 Seasonal Energy Efficiency Ratio— 

Hot Dry (SEER–HD) means the total heat 

removed from the conditioned space during 

the annual cooling season for the designated 

hot-dry climatic region, expressed in Btus, 

divided by the total electrical energy 

consumed by the air conditioner or heat 

pump during the same season, expressed in 

watt-hours. Calculate SEER–HD as specified 

in section 4.1.6 of this Appendix. 

* * * * * 

1.46 Triple-capacity (or triple-stage) 

compressor means an air conditioner or heat 

pump with one of the following: 

(1) A three-speed compressor, 

(2) Two compressors where one is a twocapacity compressor—as defined in section 

1.45—and one is a single-speed compressor 

where the two-capacity compressor operates 

at both low and high capacity with the 

single-speed compressor turned off and then 

operates exclusively at high capacity when 

the single speed compressor is turned on, or 

(3) A compressor capable of cylinder or 

scroll unloading to provide a total of three 

levels of compressor capacity. 

For such systems, low capacity means: 

(1) Operating at the low compressor speed, 

(2) Operating the two-capacity compressor 

at low capacity with the single-speed 

compressor turned off, and 

(3) Operating with the compressor fully 

unloaded. 

For such systems, high capacity means: 

(1) Operating at the high compressor speed, 

(2) Operating the two-capacity compressor 

at high capacity with the single-speed 

compressor turned off, and 

(3) Operating with the compressor partially 

unloaded. 

For such systems, booster capacity means: 

(1) Operating at the booster compressor 

speed, 

(2) Operating the two-capacity compressor 

at high capacity with the single-speed 

compressor turned on, and 

(3) Operating the compressor fully loaded. 

1.47 Triple-capacity northern heat pump 

means a heat pump that provides two stages 

of cooling and three stages of heating. The 

two common stages for both the cooling and 

heating modes are the low capacity stage and 

the high capacity stage. The additional 

heating mode stage is called the booster 

capacity stage. Of the three heating mode 

stages, the booster capacity stage offers the 

highest heating capacity output for a given 

set of ambient operating conditions. 

* * * * * 

2. Testing Conditions 

* * * * * 

2.2 Test unit installation requirements. 

a. Except as noted in this appendix, install 

the unit according to section 8.2 of ASHRAE 

Standard 37–2005 (incorporated by reference, 

see § 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 triplesplit systems (see Definition 1.48), use the 

tubing length specified in section 6.1.3.5 of 

AHRI Standard 210/240–2008 (incorporated 

by reference, see § 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 Vamps and must be designed to operate with 

a primary input that is 230 V, single phase, 

60 Hz. The transformer may be powered from 

the same source as supplies powered to the 

outdoor unit or powered by a separate 230– 

V source. The power consumption of the 

added low-voltage transformer must be 

measured as part of the total system power 

consumption during all tests. 

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31250 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

e. If the manufacturer’s installation 

instructions include steps that apply to a hotdry climate different from the steps that 

apply for a mixed climate, apply these 

differing installation steps in advance of 

conducting the laboratory tests that apply for 

the respective climates. 

f. For third-party testing conducted to meet 

DOE certification requirements, the working 

relationship between the test laboratory and 

the manufacturer shall not be restricted as 

long as the test unit installation and 

laboratory testing are conducted in complete 

compliance with the procedures specified in 

this appendix. 

* * * * * 

2.2.1 Defrost control settings. Set heat 

pump defrost controls at the normal settings 

which most typify those encountered in 

generalized climactic region IV. (Refer to 

Figure 2 and Table 17 of section 4.2 for 

information on region IV.) For heat pumps 

that use a time-adaptive defrost control 

system (see Definition 1.44), the 

manufacturer must specify the frosting 

interval to be used during the Frost 

Accumulation tests and provide the 

procedure for manually initiating the defrost 

at the specified time. To ease testing of any 

unit, the manufacturer should provide 

information and any necessary hardware to 

manually initiate a defrost cycle. 

* * * * * 

2.2.3 Special requirements for systems 

that would normally operate using two or 

more indoor thermostats, including multisplit air conditioners and heat pumps, 

systems composed of multiple mini-split 

units (outdoor units located side-by-side), 

and ducted systems using a single indoor 

section containing multiple blowers. Because 

these types of systems will have more than 

one indoor fan and possibly multiple outdoor 

fans and compressor systems, references in 

this test procedure to a single indoor fan, 

outdoor fan, and compressor mean all indoor 

fans, all outdoor fans, and all compressor 

systems turned on during the test. 

2.2.3.1 Additional requirements for 

multi-split air conditioners and heat pumps 

and systems composed of multiple mini-split 

units. For any test where the system is 

operated at part load (i.e., one or more 

compressors ‘‘off,’’ operating at the 

intermediate or minimum compressor speed 

or at low compressor capacity), the 

manufacturer shall designate the particular 

indoor coils that are turned off during the 

test. For variable-speed systems, the 

manufacturer must designate at least one 

indoor unit that is turned off for all tests 

conducted at minimum compressor speed. 

For all other part-load tests, the manufacturer 

shall choose to turn off zero, one, two, or 

more indoor units. The chosen configuration 

shall remain unchanged for all tests 

conducted at the same compressor speed/ 

capacity. For any indoor coil turned off 

during a test, take steps to cease forced 

airflow through this indoor coil and block its 

outlet duct. 

2.2.3.2 Additional requirements for 

ducted systems with a single indoor section 

containing multiple blowers where the 

blowers are designed to cycle on and off 

independently of one another and are not 

controlled such that all blowers are 

modulated to always operate at the same air 

volume rate or speed. This Appendix covers 

systems with a single-speed compressor or 

systems offering two fixed stages of 

compressor capacity (e.g., a two-speed 

compressor, two single-speed compressors). 

For any test where the system is operated at 

its lowest capacity—i.e., the lowest total air 

volume rate allowed when operating the 

single-speed compressor or when operating 

at low compressor capacity—blowers 

accounting for at least one-third of the fullload air volume rate must be turned off 

unless prevented by the controls of the unit. 

In such cases, turn off as many blowers as 

permitted by the unit’s controls. Where more 

than one option exists for meeting this ‘‘off’’ 

blower requirement, the manufacturer shall 

choose which blower(s) are turned off. The 

chosen configuration shall remain unchanged 

for all tests conducted at the same lowest 

capacity configuration. For any indoor coil 

turned off during a test, take steps to cease 

forced airflow through any outlet duct 

connected to an ‘‘off’’ blower. 

* * * * * 

2.2.5 Additional refrigerant charging 

requirements. The test unit shall be charged 

in accordance with both the following 

instructions and the manufacturer’s 

installation instructions described in section 

2.2. 

If the manufacturer’s installation 

instructions specify as part of a standard 

installation and/or commissioning practice to 

either alter or check the refrigerant charge 

while the unit is operating, the testing 

laboratory shall do so in conjunction with 

establishing the cooling full-load air volume 

rate (see section 3.1.4.1) and operating 

entering air conditions specified in the A (or 

A2) Test. For heating-only heat pumps, this 

refrigerant charge evaluation and potential 

adjustment step shall be done in conjunction 

with establishing the heating full-load air 

volume rate (see section 3.1.4.4) and 

operating entering air conditions specified 

for the H1 (or H12) Test. For the entering db 

and wb air temperature conditions noted 

above, determine from the manufacturer’s 

installation instructions the target value(s) for 

the system’s measurable operating 

parameter(s)—e.g., suction superheat 

temperature, liquid line subcooling 

temperature, refrigerant suction pressure, etc. 

If the manufacturer’s installation instructions 

list a range for a particular parameter, use the 

midpoint value as the target value. The 

testing laboratory shall add or subtract the 

correct amount of refrigerant to achieve as 

closely as possible the target value(s). 

If a unit requires charging but the 

manufacturer’s installation instructions do 

not specify a charging procedure, then 

evacuate the unit and add the nameplate 

refrigerant charge. Where the manufacturer’s 

installation instructions contain two or more 

sets of refrigerant charging criteria, use the 

set most appropriate for a normal field 

installation. 

Once the test unit has been properly 

charged with refrigerant, all cooling mode 

and, if a heat pump, all heating modelaboratory tests shall be conducted, and the 

testing laboratory shall not add or subtract 

any more refrigerant to or from the test unit. 

* * * * * 

2.4.1 * * * 

* * * * * 

b. For systems having multiple indoor coils 

or multiple indoor blowers within a single 

indoor section, attach a plenum to each 

indoor coil or blower outlet. * * * 

* * * * * 

2.5.5 * * * 

a. Measure dry bulb temperatures as 

specified in sections 4, 5, 6.1–6.10, 9, 10, and 

11 of ASHRAE Standard 41.1–86 (RA 06) 

(incorporated by reference, see § 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 offmode 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 noncooling 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. * * * 

* * * * * 

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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31251 

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 

SDHV4,5 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 

1For 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. 2For 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. 3For ducted units tested without an air filter installed, increase the applicable tabular value by 0.08 inch of water. 

4See 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 fullload air volume rate assigned to each indoor 

unit during this set-up phase. 

e. For ducted systems having multiple 

indoor blowers within a single indoor 

section, obtain the full-load air volume rate 

with all blowers operating unless prevented 

by the controls of the unit. In such cases, turn 

on the maximum number of blowers 

permitted by the unit’s controls. Where more 

than one option exists for meeting this ‘‘on’’ 

blower requirement, the manufacturer shall 

choose which blower(s) are turned on. 

Conduct section 3.1.4.1.1 setup steps for each 

blower separately. If two or more indoor 

blowers are connected to a common duct as 

per section 2.4.1, either turn off the other 

indoor blowers connected to the same 

common duct or temporarily divert their air 

volume to the test room when confirming or 

adjusting the setup configuration of 

individual blowers. If the indoor blowers are 

all the same size or model, the target air 

volume rate for each blower plenum equals 

the full-load air volume rate divided by the 

number of ‘‘on’’ blowers. If different size 

blowers are used within the indoor section, 

the manufacturer must allocate the system’s 

full-load air volume rate assigned to each 

‘‘on’’ blower. 

* * * * * 

3.1.4.2 * * * 

* * * * * 

e. For ducted systems having multiple 

indoor blowers within a single indoor 

section, operate the indoor blowers such that 

the lowest air volume rate allowed by the 

unit’s controls is obtained when operating 

the lone single-speed compressor or when 

operating at low compressor capacity while 

meeting the requirements of section 2.2.3.2 

for the minimum number of blowers that 

must be turned off. The air volume rate for 

each ‘‘on’’ blower must then be determined 

using the first section 3.1.4.2 equation if the 

blower operates at fixed fan speeds or must 

be specified by the manufacturer if the 

blower is designed to provide a constant air 

volume rate. The sum of the individual ‘‘on’’ 

blowers’ air volume rates is the cooling 

minimum air volume rate for the system. 

* * * * * 

3.1.4.4.2 * * * 

* * * * * 

c. When testing ducted, two-capacity 

northern heat pumps (see Definition 1.50), 

use the appropriate approach of the above 

two cases for units that are installed with an 

indoor fan installed. For coil-only (fanless) 

northern heat pumps, the Heating Full-Load 

Air Volume Rate is the lesser of the rate 

specified by the manufacturer or 133 percent 

of the Cooling Full-Load Air Volume Rate. 

For this latter case, obtain the Heating FullLoad Air Volume Rate regardless of the 

pressure drop across the indoor coil 

assembly. 

d. For systems having multiple indoor 

blower coil units where individual blowers 

regulate the speed (as opposed to the cfm) of 

the indoor fan, use the first section 3.1.4.4.2 

equation for each blower coil individually. 

Sum the individual blower coil air volume 

rates to obtain the heating full-load air 

volume rate for the system. 

e. For ducted systems having multiple 

indoor blowers within a single indoor 

section, obtain the heating full-load air 

volume rate using the same ‘‘on’’ blowers as 

used for the cooling full-load air volume rate. 

For systems where individual blowers 

regulate the speed (as opposed to the cfm) of 

the indoor fan, use the first section 3.1.4.4.2 

equation for each blower individually. Sum 

the individual blower air volume rates to 

obtain the heating full-load air volume rate 

for the system. 

* * * * * 

3.1.4.4.3 * * * 

a. * * * 

6. If the conditions of step 4b occur first, 

make an incremental change to the set-up of 

the indoor fan that increases air volume rate 

while maintaining the same operating 

features (e.g., next highest fan motor pin 

setting that maintains the same fan delay 

interval, next highest fan motor speed) and 

repeat the evaluation process beginning with 

the above step 1. * * * 

* * * * * 

3.1.4.5 * * * 

* * * * * 

f. For ducted systems with multiple indoor 

blowers within a single indoor section, 

obtain the heating minimum air volume rate 

using the same ‘‘on’’ blowers as used for the 

cooling minimum air volume rate. For 

systems where individual blowers regulate 

the speed (as opposed to the cfm) of the 

indoor fan, use the first section 3.1.4.5 

equation for each blower individually. Sum 

the individual blower air volume rates to 

obtain the heating minimum air volume rate 

for the system. 

* * * * * 

3.2.1 * * * 

* * * * * 

In order to evaluate the cooling season 

performance of the test unit when applied in 

a hot-dry climate, conduct one steady-state 

test, the AD Test. Conducting an additional 

steady-state, dry climate test (the BD Test) is 

optional. Test conditions for the two dry 

climate tests are specified in Table 3A. 

mstockstill on DSKH9S0YB1PROD with PROPOSALS3

31252 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

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 

bulb 1

AD Test—required (steady) .............................. 80 64 95 75 Dry-Climate Full-Load. 

BD Test—optional (steady) ............................... 80 64 82 65 Dry-Climate Full-Load. 

1The 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: 

Q ̇ HD (82) = Q ̇ HD (95) + MDQ × (82 ¥ 95) 

E ̇ HD (82) = E ̇ HD (95) + MDE × (82 ¥ 95) 

Where: 

MD Q Q Q

Q Q

c c HD

c

= × −

−

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

×

⎡

⎣

⎢ ⎤

⎦

0 95

95 82

95 82

95

95 . () () ( )

( )



⎥

= × −

−

⎡

⎣

⎢ ⎤

⎦

⎥ ×

⎡

⎣

⎢ ⎤

⎦

MD

E E E

E E

c c HD

c

0 95 95 82

95 82

95

95 . () () ( )( )



⎥

In evaluating the above equations, 

determine the quantities Q ̇ HD (95) and E ̇ HD

(95) from the AD Test. Determine the 

quantities Q ̇ c (82) and E ̇ c (82) from the B Test 

and the quantities Q ̇ c (95) and E ̇ c (95) from 

the A Test. Evaluate all six quantities 

according to section 3.3. If the manufacturer 

conducts the BD Test, the option of using the 

above default equations is not forfeited. Use 

the paired values of Q ̇ HD (82) and E ̇ HD (82) 

derived from conducting the BD Test and 

evaluated as specified in section 3.3 or use 

the paired values calculated using the above 

default equations, whichever contribute to a 

higher SEER–HD. 

Determine and obtain the dry-climate fullload air volume rate used for the AD and BD 

Tests as specified in section 3.1.4.1 for the 

cooling full-load air volume rate, only now 

replacing references to the A Test and 

cooling full-load with references to the AD 

Test and the dry-climate full load. 

3.2.2 Tests for a unit with a single-speed 

compressor where the indoor section uses a 

single variable-speed variable-air-volume rate 

indoor fan or multiple blowers. 

3.2.2.1 Indoor fan capacity modulation 

that correlates with outdoor dry-bulb 

temperature or systems with a single indoor 

coil but multiple blowers. Conduct four 

steady-state wet-coil tests: the A2, A1, B2, and 

B1 Tests. Use the two optional dry-coil tests, 

the steady-state C1 Test and the cyclic D1 Test 

to determine the cooling mode cyclicdegradation coefficient, CDc . If the two 

optional tests are conducted but yield a 

tested CDc that exceeds the default CDc or if 

the two optional tests are not conducted, 

assign CDc the default value of 0.25. Table 4 

specifies test conditions for these six tests. 

TABLE 4—COOLING MODE TEST CONDITIONS FOR AIR CONDITIONERS AND HEAT PUMPS WITH A SINGLE-SPEED

COMPRESSOR THAT MEET THE SECTION 3.2.2.1 INDOOR UNIT REQUIREMENTS

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 1 75 Cooling Full-Load.2

A1 Test—required (steady, wet coil) ................. 80 67 95 1 75 Cooling Minimum.3

B2 Test—required (steady, wet coil) ................. 80 67 82 1 65 Cooling Full-Load.2

B1 Test—required (steady, wet coil) ................. 80 67 82 1 65 Cooling Minimum.3

C1 Test4—optional (steady, dry coil) ................. 80 (4) 82 — Cooling Minimum.3

D1 Test4—optional (cyclic, dry coil) .................. 80 (4) 82 — (5) 

1The 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. 4The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wetbulb 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 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: 


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31253 





Q Q HD

k

HD

k

HD

k

HD

k

() () ( )

() () (

82 95 82 95

82 95

= + ×−

= +×

MD

E E MD

Q

k

E

k 82 95 − )

Where: 

MD QQ Q

Q Q

k c

k

c

k

HD

k

c

k = × −

−

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

0 95 ×

95 82

95 82

95

95 . () () ()

( )





⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

= × −

−

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

MD ×

EE E

E

k c

k

c

k

HD

k

0 95

95 82

95 82

95 . () () ( )

( ) E

c

k 95

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

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 Q ̇ HDk=2 (95) and 

E ̇ HDk=2 (95) from the AD2 Test and the 

quantities Q ̇ HDk=1 (95) and E ̇ HDk=1 (95) from 

the AD1 Test. Determine the quantities Q ̇ c

k=2

(95) and E ̇ Ck=2 (95) from the A2 Test, the 

quantities Q ̇ c

k=1 (95) and E ̇ ck=1 (95) from the 

A1 Test, the quantities Q ̇ c

k=2 (82) and E ̇ Ck=2

(82) from the B2 Test, and the quantities Q ̇ c

k=1

(82) and E ̇ c

k=1 (82) from the B1 Test. Evaluate 

all 12 quantities according to section 3.3. If 

the manufacturer conducts either or both the 

BD2 and BD1 Tests, the option of using the 

above default equations is not forfeited. Use 

the paired values of Q ̇ HDk=2 (82) and E ̇ HDk=2

(82) derived from conducting the BD2 Test 

and evaluated as specified in section 3.3 or 

use the paired values calculated using the 

above default equations, whichever 

contribute to a higher SEER–HD. Similarly, 

use the paired values of Q ̇ HDk=1 (82) and 

E ̇ HDk=1 (82) derived from conducting the BD1

Test and evaluated as specified in section 3.3 

or use the paired values calculated using the 

above default equations, whichever 

contribute to a higher SEER–HD. 

Determine and obtain the dry-climate fullload 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 ΔPst,A2 with references 

to the AD1 Test, BD1 Test, AD2 Test, BD2 Test, 

dry-climate full-load, dry-climate minimum, 

and ΔPst,AD2, respectively. 

TABLE 4a—DRY CLIMATE COOLING MODE TEST CONDITIONS FOR AIR CONDITIONERS AND HEAT PUMPS WITH A SINGLESPEED 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 bulb 

AD2 Test–required (steady) .............................. 80 64 95 75 Dry-Climate Full-Load. 

AD1 Test–required (steady) .............................. 80 64 95 75 Dry-Climate Minimum. 

BD2 Test–optional (steady) ............................... 80 64 82 65 Dry-Climate Full-Load. 

BD1 Test–optional (steady) ............................... 80 64 82 65 Dry-Climate Minimum. 

1The 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 fullload 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 twocapacity 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: 





Q Q HD

k

HD

k

HD

k

HD

k

== =

= =

= + ×−

=

22 2

2 2

82 95 82 95

82

() () ( )

() (

MD

E E

Q

k

95 82 95 2 ) () + ×− = MDE

k

Where: 

MD QQ Q

Q

k c

k

c

k

HD

k

=

== =

= × −

−

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

× 2

22 2

0 95

95 82

95 82

95 . () () () 





Q

MD

E E

c

k

E

k c

k

c

k

=

=

= =

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

= × −

−

⎡

2

2

2 2

95

0 95

95 82

95 82

( )

. () ()

⎣

⎢

⎢

⎤

⎦

⎥

⎥

×

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

=

=





E

E

HD

k

c

k

2

2

95

95

( )

( )


mstockstill on DSKH9S0YB1PROD with PROPOSALS3EP02JN10.242</MATH> EP02JN10.243</MATH> EP02JN10.244</MATH> EP02JN10.245</MATH>
31254 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

In evaluating the above equations, 

determine the quantities Q ̇ HDk=2 (95) 

and E ̇ HDk=2 (95) from the AD2 Test. 

Determine the quantities Q ̇ c

k=2 (95) and 

E ̇ Ck=2 (95) from the A2 Test and the 

quantities Q ̇ c

k=2 (82) and E ̇ ck=2 (82) from 

the B2 Test. Evaluate all six quantities 

according to section 3.3. If the 

manufacturer conducts the BD2 Test, the 

option of using the above default 

equations is not forfeited. Use the paired 

values of Q ̇ HDk=2 (82) and E ̇ HDk=2 (82) 

derived from conducting the BD2 Test 

and evaluated as specified in section 3.3 

or use the paired values calculated 

using the above default equations, 

whichever paired values contribute to a 

higher SEER–HD. 

As an alternative to conducting the 

optional FD1 Test, use the following 

equations to approximate the capacity 

and electrical power of the test unit at 

the FD1 Test conditions: 





Q Q HD

k

HD

k

HD

k

HD

k

== =

= =

= + ×−

=

11 1

1 1

67 82 67 82

67

() () ( )

() (

MD

E E

Q

k

82 67 82 1 ) () + ×− = MDE

k

Where: 

MD QQ Q

Q

k c

k

c

k

HD

k

=

== =

= × −

−

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

× 1

11 1

0 95

82 67

82 67

82 . () () () 





Q

MD

E E

c

k

E

k c

k

c

k

=

=

= =

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

= × −

−

⎡

1

1

1 1

82

0 95

82 67

82 67

( )

. () ()

⎣

⎢

⎢

⎤

⎦

⎥

⎥

×

⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

=

=





E

E

HD

k

c

k

1

1

82

82

( )

( )

In evaluating the above equations, 

determine the quantities Q ̇ HDk=1 (82) 

and E ̇ HDk=1 (82) from the BD1 Test. 

Determine the quantities Q ̇ c

k=1 (82) and 

E ̇ Ck=1 (82) from the B1 Test and the 

quantities Q ̇ c

k=1 (67) and E ̇ ck=1 (67) from 

the F1 Test. Evaluate all six quantities 

according to section 3.3. If the 

manufacturer conducts the FD1 Test, the 

option of using the above default 

equations is not forfeited. Use the paired 

values of Q ̇ HDk=1 (67) and E ̇ HDk=1 (67) 

derived from conducting the FD1 Test 

and evaluated as specified in section 3.3 

or use the paired values calculated 

using the above default equations, 

whichever contribute to a higher SEER– 

HD. 

Determine and obtain the dry-climate 

full-load air volume rate used for the 

AD2 and BD2 Tests as specified in 

section 3.1.4.1 for the cooling full-load 

air volume rate, only now replacing 

references to the A2 Test and cooling 

full-load with references to the AD2 Test 

and the dry-climate full-load. Similarly, 

determine and obtain the dry-climate 

minimum air volume rate used for the 

BD1 and FD1 Tests as specified in 

section 3.1.4.2 for the cooling minimum 

air volume rate, only now replacing 

references to the B1 Test, F1 Test, A2

Test, cooling full load, cooling 

minimum, and ΔPst,A2 with references to 

the BD1 Test, FD1 Test, AD2 Test, dryclimate full-load, dry-climate minimum, 

and ΔPst,AD2, respectively. 

TABLE 5a—DRY CLIMATE COOLING MODE TEST CONDITIONS FOR AIR CONDITIONERS AND HEAT PUMPS HAVING A TWOCAPACITY 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 bulb 

AD2 Test—required 

(steady).

80 64 95 75 High .................................. Dry-Climate Full-Load. 

BD2 Test—optional 

(steady).

80 64 82 65 High .................................. Dry-Climate Full-Load. 

BD1 Test—required 

(steady).

80 64 82 65 Low ................................... Dry-Climate Minimum. 

FD1 Test—optional 

(steady).

80 64 67 53.5 Low ................................... Dry-Climate Minimum. 

1The specified test condition only applies if the unit rejects condensate to the outdoor coil. 

3.2.4 * * * 

* * * * * 

d. In order to evaluate the cooling 

season performance of the test unit 

when applied in a hot-dry climate, 

conduct two steady-state tests, the AD2

Test and the BD1 Test. Conducting two 

additional steady-state, dry climate tests 

(the BD2 and the FD1) are optional. Test 

conditions for the four dry climate tests 

are specified in Table 5a, only now 

substituting ‘‘Maximum’’ and 

‘‘Minimum’’ for the Compressor 

Capacity entries of ‘‘High’’ and ‘‘Low,’’ 

respectively. As an alternative to 

conducting the optional BD2 and FD1

Tests, use the equations given in section 

3.2.3 to approximate the capacity and 

electrical power of the test unit at the 

BD2 and FD1 test conditions. 

3.2.5 Tests for a unit having a triplecapacity 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 triplecapacity, 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 


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31255 

to separate but identical outdoor units, 

each having a single-speed compressor. 

3.3 * * * 

* * * * * 

b. After satisfying the pretest 

equilibrium requirements, make the 

measurements specified in Table 3 of 

ASHRAE Standard 37–2005 

(incorporated by reference, see § 430.3) 

for the Indoor Air Enthalpy method and 

the user-selected secondary method. 

Make the Table 3 measurements at equal 

intervals that span 5 minutes or less. 

Continue data sampling until reaching a 

30-minute period (e.g., seven 

consecutive 5-minute samples) where 

the test tolerances specified in Table 7 

are satisfied. For those continuously 

recorded parameters, use the entire data 

set from the 30-minute interval to 

evaluate Table 7 compliance. Determine 

the average electrical power 

consumption of the air conditioner or 

heat pump over the same 30-minute 

interval. 

c. Calculate indoor-side total cooling 

and sensible cooling capacity as 

specified in sections 7.3.3.1 and 7.3.3.3 

of ASHRAE Standard 37–2005 

(incorporated by reference, see § 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 

Q ̇ c

k(T), Q ̇ sck(T), and E ̇ ck(T), respectively. 

For these three variables, replace T with 

the nominal outdoor temperature at 

which the test was conducted. The 

superscript k is used only when testing 

multi-capacity units. Use the 

superscript k=2 to denote a test with the 

unit operating at high capacity or 

maximum speed, k=1 to denote low 

capacity or minimum speed, and k=v to 

denote the intermediate speed. 

* * * * * 

3.4 * * * 

* * * * * 

b. If the temperature sensors used to 

provide the primary measurement of the 

indoor-side dry bulb temperature 

difference during the steady-state drycoil test and the subsequent cyclic drycoil 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, DT (Set SS) and DT 

(Set CYC), for each equally spaced data 

sample. If using a consistent data 

sampling rate that is less than 1 minute, 

calculate and record minutely averages 

for the two temperature differences. If 

using a consistent sampling rate of one 

minute or more, calculate and record 

the two temperature differences from 

each data sample. After having recorded 

the seventh (i=7) set of temperature 

differences, calculate the following ratio 

using the first seven sets of values: 

F T(Set SS)

T(Set CYC) CD

i

i

=

−

∑

1

7 6

Δ

Δ

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 drycoil test and the subsequent cyclic drycoil test are the same, set FCD* = 1. 

* * * * * 

3.5 * * * 

* * * * * 

i. * * * 

Where: 

Γ= − [ ] ×° ∫ F T CD a

* () () , 1 2

1

2

τ τ δτ

τ

τ

Ta hr F,

and, V ̇ , Cp,a, Vn (or vn), Wn, and FCD* = the 

values recorded during the section 3.4 

dry coil steady-state tests, 

and Ta1(t) = dry-bulb temperature of the air 

entering the indoor coil at time t, °F. 

* * * * * 

3.6.2 Tests for a heat pump having a 

single-speed compressor and a single 

indoor unit having either (1) a variablespeed, variable-air-rate indoor fan 

whose capacity modulation correlates 

with outdoor dry bulb temperature or 

(2) multiple blowers. * * * 

* * * * * 

Table 10—Heating Mode Test 

Conditions for Heat Pumps With a 

Single-Speed Compressor That Meet the 

Section 3.6.2 Indoor Unit Requirements 

* * * 

* * * * * 

As an alternative to conducting the 

optional H21 Frost Accumulation Test, 

use the following equations to 

approximate the capacity and electrical 

power of the heat pump at the H21 test 

conditions: 

Q QR Q Q Q 

h

k

h

k

h

k

h

k

h

= == = =k = × +× − ⎢

⎣ ⎥⎦ 1 21 1 1 () () . () () 35 17 0 6 47 17 { }

= × +× − ⎢ = == = = E PR E E E 

h

k

h

k

h

k

h

k

h

1 21 1 1 k () () . () () 35 17 0 6 47 17 ⎣ ⎥ { }⎦

Where: 


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31256 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

QRk

h

h

k

h

k

h

k

h

k

Q

Q QQ

=

=

= == = +× − ⎡

2

2

2 22 35

35

17 0 6 47 17

( ) ( )

() . () ()



⎣ ⎤

⎦

= +× −

=

=

= == PRk

h

h

k

h

k

h

k

h

k

E

E EE

2

2

2 22 35

35

17 0 6 47

( ) ( )

() . () (



⎡ 17) ⎣ ⎤

⎦

In evaluating the above equations, 

determine the quantities Q ̇ h

k=2(47) and 

E ̇ h

k=2(47) from the H12 Test, determine 

the quantities Q ̇ h

k=1(47) and E ̇ hk=1(47) 

from the H11 Test, and evaluate all four 

quantities according to section 3.7. 

Determine the quantities Q ̇ h

k=2(35) and 

E ̇ h

k=2(35) from the H22 Test and evaluate 

them according to section 3.9. 

Determine the quantities Q ̇ h

k=2(17) and 

E ̇ h

k=2(17) from the H32 Test, determine 

the quantities Q ̇ h

k=1(17) and E ̇ hk=1(17) 

from the H31 Test, and evaluate all four 

quantities according to Section 3.10. If 

the manufacturer conducts the H21 Test, 

the option of using the above default 

equations is not forfeited. Use the paired 

values of Q ̇ h

k=1(35) and E ̇ hk=1(35) derived 

from conducting the H21 Frost 

Accumulation Test and evaluated as 

specified in section 3.9 or use the paired 

values calculated using the above 

default equations, whichever contribute 

to a higher Region IV HSPF based on the 

DHRmin. 

* * * * * 

3.6.3 * * * 

a. * * * If the manufacturer conducts 

the H21 Test, the option of using the 

above default equations is not forfeited. 

Use the paired values of Q ̇ h

k=1(35) and 

E ̇ h

k=1(35) derived from conducting the 

H21 Frost Accumulation Test and 

calculated as specified in section 3.9 or 

use the paired values calculated using 

the above default equations, whichever 

contribute to a higher Region IV HSPF 

based on the DHRmin. 

* * * * * 

3.6.4 * * * 

a. * * * 

b. As an alternative to conducting the 

optional H22 Frost Accumulation Test, 

use the following equations to 

approximate the capacity and electrical 

power of the heat pump at the H22 test 

conditions: 

Q Q QQ 

h

k

h

k

h

k

h

= = ==k = × +× − ⎢

⎣ ⎥ { }⎦ 2 2 22 () . () . () () 35 0 90 17 0 6 47 17

E E EE 

h

k

h

k

h

k

h

= = ==k = × +× − ⎢

⎣ ⎥⎦ 2 2 22 () . () . () () 35 0 985 17 0 6 47 17 { }

In evaluating the above equations, 

determine the quantities Q ̇ h

k=2(47) and 

E ̇ h

k=2(47) from the H12 Test and evaluate 

them according to section 3.7. 

Determine the quantities Q ̇ h

k=2(17) and 

E ̇ h

k=2(17) from the H32 Test and evaluate 

them according to section 3.10. If the 

manufacturer conducts the H22 Test, the 

option of using the above default 

equations is not forfeited. Use the paired 

values of Q ̇ h

k=2(35) and E ̇ hk=2(35) derived 

from conducting the H22 Frost 

Accumulation Test and evaluated as 

specified in section 3.9 or use the paired 

values calculated using the above 

default equations, whichever contribute 

to a higher Region IV HSPF based on the 

DHRmin. 

c. For heat pumps where the heating 

mode maximum compressor speed 

exceeds their cooling mode maximum 

compressor speed, conduct the H1N Test 

if the manufacturer requests it. If the 

H1N Test is done, operate the heat 

pump’s compressor at the same speed as 

used for the cooling mode A2 Test. Refer 

to the last sentence of section 4.2 for 

how the results of the H1N Test may be 

used in calculating the HSPF. 

d. For multiple-split heat pumps 

(only), the following procedures 

supersede the above requirements. 

* * * 

* * * * * 

3.6.6 Tests for a heat pump having a 

triple-capacity compressor (Definition 

1.46). With the exception of triplecapacity 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 maximumtemperature test (H01), two hightemperature tests (H12 and H11), one 

Frost Accumulation test (H22), two lowtemperature tests (H32, H33), and one 

minimum-temperature test (H43). 

Conduct an additional Frost 

Accumulation test (H21) and lowtemperature 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. 

If the above two conditions are met, 

an alternative to conducting the H21

Frost Accumulation Test to determine 

Q ̇ h

k=1(35) and E ̇ hk=1(35) is to use the 

following equations to approximate this 

capacity and electrical power: 

Q Q QQ 

h

k

h

k

h

k

h

= = ==k = × +× − ⎢

⎣ ⎥ { }⎦ 1 1 11 () . () . () () 35 0 90 17 0 6 47 17

E E EE 

h

k

h

k

h

k

h

= = ==k = × +× − ⎢

⎣ ⎥⎦ 1 1 11 () . () . () () 35 0 985 17 0 6 47 17 { }

In evaluating the above equations, 

determine the quantities Q ̇ h

k=1(47) and 

E ̇ h

k=1(47) from the H11 Test and evaluate 

them according to section 3.7. 

Determine the quantities Q ̇ h

k=1(17) and 

E ̇ h

k=1(17) from the H31 Test and evaluate 

them according to section 3.10. If the 

manufacturer conducts the H21 Test, the 

option of using the above default 


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equations is not forfeited. Use the paired 

values of Q ̇ h

k=1(35) and E ̇ hk=1(35) derived 

from conducting the H21 Frost 

Accumulation Test and evaluated as 

specified in section 3.9.1 or use the 

paired values calculated using the above 

default equations, whichever contribute 

to a higher Region IV HSPF based on the 

DHRmin. 

(b) Conducting a Frost Accumulation 

Test (H23) with the heat pump operating 

at its booster capacity is optional. If this 

optional test is not conducted, 

determine Q ̇ h

k=3(35) and E ̇ hk=3(35) using 

the following equations to approximate 

this capacity and electrical power: 

Q Q QQ 

h

k

h h

k

h

k

h

= = = ==k = × +× − 3 2 3 33 ( ) ( ) ( ) . ( ) () 35 35 17 1 20 17 2 QRk ⎢

⎣ ⎥ { }⎦

= × +× − = == = E E EE 

h

k

h h

k

h

3 23 3 k () () () . () 35 35 17 1 20 17 PRk

h

k = ⎢

⎣ ⎥ { }⎦ 3

( ) 2

Where: 

QRk

h

h

k

h

k

h

k

h

k

Q

Q QQ

=

=

= == = +× − ⎡

2

2

2 22 35 35

17 0 6 47 17

( ) ( )

() . () ()



⎣ ⎤

⎦

= +× −

=

=

= == PRk

h

h

k

h

k

h

k

h

k

E

E EE

2

2

2 22 35 35

17 0 6 47

( ) ( )

() . () (



⎡ 17) ⎣ ⎤

⎦

Determine the quantities Q ̇ h

k=2(47) 

and E ̇ h

k=2(47) from the H12 Test and 

evaluate them according to section 3.7. 

Determine the quantities Q ̇ h

k=2(35) and 

E ̇ h

k=2(35) from the H22 Test and evaluate 

them according to section 3.9.1. 

Determine the quantities Q ̇ h

k=2(17) and 

E ̇ h

k=2(17) from the H32 Test, determine 

the quantities Q ̇ h

k=3(17) and E ̇ hk=3(17) 

from the H33 Test, and determine the 

quantities Q ̇ h

k=3(2) and E ̇ hk=3(2) from the 

H43 Test. Evaluate all six quantities 

according to section 3.10. If the 

manufacturer conducts the H23 Test, the 

option of using the above default 

equations is not forfeited. Use the paired 

values of Q ̇ h

k=3(35) and E ̇ hk=3(35) derived 

from conducting the H23 Frost 

Accumulation Test and calculated as 

specified in section 3.9.1 or use the 

paired values calculated using the above 

default equations, whichever contribute 

to a higher Region IV HSPF based on the 

DHRmin. 

(c) Conduct the optional hightemperature cyclic test (H1C1) to 

determine the heating-mode cyclicdegradation coefficient, CDh. If this 

optional test is conducted but yields a 

tested CDh that exceeds the default CDh

or if the optional test is not conducted, 

assign CDh the default value of 0.25. If 

a triple-capacity heat pump locks out 

low capacity operation at lower outdoor 

temperatures, conduct the optional 

high-temperature cyclic test (H1C2) to 

determine the high-capacity heatingmode cyclic-degradation coefficient, 

CDh(k=2). If this optional test at high 

capacity is conducted but yields a tested 

CDh(k=2) that exceeds the default 

CDh(k=2) or if the optional test is not 

conducted, assign CDh(k=2) the default 

value. The default CDh(k=2) is the same 

value as determined or assigned for the 

low-capacity cyclic-degradation 

coefficient, CDh [or equivalently, 

CDh(k=1)]. Finally, if a triple-capacity 

heat pump locks out both low and high 

capacity operation at the lowest outdoor 

temperatures, conduct the optional lowtemperature cyclic test (H3C3) to 

determine the booster-capacity heatingmode cyclic-degradation coefficient, 

CDh(k=3). If this optional test at the 

booster capacity is conducted but yields 

a tested CDh(k=3) that exceeds the 

default CDh(k=3) or if the optional test 

is not conducted, assign CDh(k=3)the 

default value. The default CDh(k=3) is 

the same value as determined or 

assigned for the high-capacity cyclicdegradation coefficient, CDh [or 

equivalently, CDh(k=2)]. Table A 

specifies test conditions for all 13 tests. 

TABLE A—HEATING MODE TEST CONDITIONS FOR UNITS WITH A TRIPLE-CAPACITY COMPRESSOR

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 Minimum.1

H12 Test (required, steady) .................................................. 70 60(max) 47 43 High ............. Heating Full-Load.2

H1C2 Test (optional, cyclic) .................................................. 70 60(max) 47 43 High ............. 3

H11 Test (required) ............................................................... 70 60(max) 47 43 Low ............. Heating Minimum.1

H1C1 Test (optional, cyclic) .................................................. 70 60(max) 47 43 Low .............. 4

H23 Test (optional, steady) .................................................. 70 60(max) 35 33 Booster ........ Heating Full-Load.2

H22 Test (required) ............................................................... 70 60(max) 35 33 High ............. Heating Full-Load.2

H21 Test 5 6 (required) ........................................................... 70 60(max) 35 33 Low ............. Heating Minimum.1

H33 Test (required, steady) .................................................. 70 60(max) 17 15 Booster ........ Heating Full-Load.2

H3C3 Test (optional, cyclic) .................................................. 70 60(max) 17 15 Booster ........ 7

H32 Test (required, steady) .................................................. 70 60(max) 17 15 High ............. Heating Full-Load.2


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TABLE A—HEATING MODE TEST CONDITIONS FOR UNITS WITH A TRIPLE-CAPACITY COMPRESSOR—Continued 

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 

H31 Test 5 (required, steady) ................................................ 70 60(max) 17 15 Low ............. Heating Minimum.1

H43 Test (required, steady) .................................................. 70 60(max) 2 1 Booster ........ Heating Full-Load.2

1 Defined in section 3.1.4.5. 

2 Defined in section 3.1.4.4. 

3 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured during the H12 Test. 4 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured during the H11 Test. 5 Required only if the heat pump’s performance when operating at low compressor capacity and outdoor temperatures less than 37 °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 Q ̇ h

k=1(35) and E ̇ hk=1(17) may be used in lieu of conducting the H21 Test. 7 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured during the H33 Test. 

3.6.7 Tests for a heat pump having a 

single indoor unit having multiple 

blowers and offering two stages of 

compressor modulation. Conduct the 

heating mode tests specified in section 

3.6.3. Covered multiple blower systems 

have a single indoor coil connected to 

a single outdoor unit offering two stages 

of capacity modulation and ones having 

a single indoor coil having two 

refrigerant circuits where each circuit is 

connected to separate but identical 

outdoor units, each having a singlespeed compressor. 

3.7 * * * 

a. For the pretest interval, operate the 

test room reconditioning apparatus and 

the heat pump until equilibrium 

conditions are maintained for at least 30 

minutes at the specified section 3.6 test 

conditions. Use the exhaust fan of the 

airflow measuring apparatus and, if 

installed, the indoor fan of the heat 

pump to obtain and then maintain the 

indoor air volume rate and/or external 

static pressure specified for the 

particular test. Continuously record the 

dry-bulb temperature of the air entering 

the outdoor coil. Refer to section 3.11 

for additional requirements that depend 

on the selected secondary test. After 

satisfying the pretest equilibrium 

requirements, make the measurements 

specified in Table 3 of ASHRAE 

Standard 37–2005 (incorporated by 

reference, see § 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 .................................................................................................................... 2 .0 0 .5 

Leaving temperature ..................................................................................................................... 2 .0 ..................................

Indoor wet-bulb, °F 

Entering temperature .................................................................................................................... 1 .0 ..................................

Leaving temperature ..................................................................................................................... 1 .0 ..................................

Outdoor dry-bulb, °F 

Entering temperature .................................................................................................................... 2 .0 0 .5 

Leaving temperature ..................................................................................................................... 2 2 .0 

Outdoor wet-bulb, °F 

Entering temperature .................................................................................................................... 1 .0 0 .3 

Leaving temperature ..................................................................................................................... 3 1 .0 ..................................

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 ..................................

1See Definition 1.43. 

2See Definition 1.42. 

3Only applies when the Outdoor Air Enthalpy Method is used. 

4Only 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

Ô, specific heat of the air, 

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Cp,a (expressed on a dry air basis), 

specific volume of the air at the nozzles, 

vn

′ (or vn), humidity ratio at the nozzles, 

Wn, and either pressure difference or 

velocity pressure for the flow nozzles. 

If the temperature sensors used to 

provide the primary measurement of the 

indoor-side dry bulb temperature 

difference during the steady-state drycoil test and the subsequent cyclic drycoil test are different, include 

measurements of the latter sensors 

among the regularly sampled data 

during the steady-state test. Beginning at 

the start of the 30-minute data collection 

period, measure and compute the 

indoor-side air dry bulb temperature 

difference using both sets of 

instrumentation, DT(Set SS) and 

DT(Set CYC), for each equally spaced 

data sample. If using a consistent data 

sampling rate that is less than 1 minute, 

calculate and record minutely averages 

for the two temperature differences. If 

using a consistent sampling rate of one 

minute or more, calculate and record 

the two temperature differences from 

each data sample. After having recorded 

the seventh (i=7) set of temperature 

differences, calculate the following ratio 

using the first seven sets of values: 

F T(Set SS)

T(Set CYC) CD

i

i

=

−

∑

1

7 6

Δ

Δ

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 drycoil test and the subsequent cyclic drycoil test are the same, set FCD* = 1. 

e. If either or both of the below 

criteria apply, determine the average, 

steady-state, electrical power 

consumption of the indoor fan motor 

(E ̇ fan,1): 

1. The section 3.8 cyclic test will be 

conducted and the heat pump has a 

variable-speed indoor fan that is 

expected to be disabled during the 

cyclic test; or 

2. The heat pump has a (variablespeed) 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 E ̇ fan,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 E ̇ fan,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 

(E ̇ fan,2) and the external static pressure 

(ΔP2) by making measurements over a 5- 

minute interval. 

3. Approximate the average power 

consumption of the indoor fan motor if 

the 30-minute test had been conducted 

at ΔPmin using linear extrapolation: 



E E

fan,

fan

min min = −

− ( ) − + , ,

,

2 1

2 1

1 1

E

P P

P PE fan

fan Δ Δ

Δ Δ

4. Decrease the total space heating 

capacity, Q ̇ h

k(T), by the quantity (E ̇ fan,1

¥ E ̇ fan,min), when expressed on a Btu/ 

h basis. Decrease the total electrical 

power, E ̇ h

k(T) by the same fan power 

difference, now expressed in watts. 

3.8 Test procedures for the optional 

cyclic heating mode tests (the H0C1,

H1C, H1C1, H1C2, and H3C3 Tests). a. 

Except as noted below, conduct the 

cyclic heating mode test as specified in 

section 3.5. As adapted to the heating 

mode, replace section 3.5 references to 

‘‘the steady-state dry coil test’’ with ‘‘the 

heating mode steady-state test 

conducted at the same test conditions as 

the cyclic heating mode test.’’ Use the 

test tolerances in Table 14 rather than 

Table 8. Record the outdoor coil 

entering wet-bulb temperature 

according to the requirements given in 

section 3.5 for the outdoor coil entering 

wet-bulb temperature. 

Drop the subscript ‘‘dry’’ used in 

variables cited in section 3.5 when 

referring to quantities from the cyclic 

heating mode test. Determine the total 

space heating delivered during the 

cyclic heating test, qcyc, as specified in 

section 3.5 except for making the 

following changes: 

(1) When evaluating Eq. 3.5–1, use the 

values of V

Ô, Cp,a, vn′ (or vn), and Wn that 

were recorded during the section 3.7 

steady state test conducted at the same 

test conditions. 

(2) Calculate G using 

Γ= − [ ] ⋅° ∫ F T CD a

* () () , 2 1

1

2

τ τ δτ

τ

τ

Ta hr F,

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 ............................


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TABLE 14—TEST OPERATING AND TEST CONDITION TOLERANCES FOR CYCLIC HEATING MODE TESTS—Continued 

Test operating 

tolerance 1

Test condition 

tolerance 2

Airflow nozzle pressure difference or velocity pressure, 3 % of reading ........................................................ 2.0 4 2.0 

Electrical voltage,5 % of rdg ............................................................................................................................ 8.0 1.5 

1See Definition 1.43. 

2See Definition 1.42. 

3Applies during the interval that air flows through the indoor (outdoor) coil except for the first 30 seconds after flow initiation. For units having a 

variable-speed indoor fan that ramps, the tolerances listed for the external resistance to airflow shall apply from 30 seconds after achieving full 

speed until ramp down begins. 4The test condition shall be the average nozzle pressure difference or velocity pressure measured during the steady-state test conducted at 

the same test conditions. 5Applies 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 

Fdef

def =+ ⋅ − −

−

⎡

⎣

⎢ ⎤

⎦

1 0 03 1 ⎥

1 5

1 5 . .. , ΔΔ

τ

τ max

Where: 

ΔTdef = the time between defrost 

terminations (in hours) or 1.5, 

whichever is greater. A value of 6 must 

be assigned to ΔTdef if this limit is 

reached during a frost accumulation test 

and the heat pump has not completed 

a defrost cycle. 

ΔTmax = maximum time between 

defrosts as allowed by the controls (in 

hours) or 12, whichever is less. The 

value of ΔTmax 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 Q ̇ h

k (17) or Q ̇ hk (2) and E ̇ hk

(17) or E ̇ h

k (2) , conduct a defrost cycle 

that can be initiated manually or 

automatically. The defrost sequence 

must be terminated by the action of the 

heat pump’s defrost controls. Begin the 

30-minute data collection interval 

described in section 3.7 from which Q ̇ h

k

(17) and E ̇ h

k (17) or Q ̇ hk (2) and E ̇ hk (2) 

are determined, no sooner than 10 

minutes after defrost termination. 

Defrosts should be prevented over the 

30-minute data collection interval. 

* * * * * 

3.11.1.1 * * * 

a. The test conditions for the 

preliminary test are the same as 

specified for the official test. Connect 

the indoor air-side apparatus to the 

indoor coil; disconnect the outdoor airside test apparatus. Allow the test room 

reconditioning apparatus and the unit 

being tested to operate for at least 1 

hour. After attaining equilibrium 

conditions, measure the following 

quantities at equal intervals that span 5 

minutes or less: 

1. The section 2.10.1 evaporator and 

condenser temperatures or pressures; 

2. Parameters required according to 

the indoor air enthalpy method. 

Continue these measurements until a 

30-minute period (e.g., seven 

consecutive 5-minute samples) is 

obtained where the Table 7 or Table 13, 

whichever applies, test tolerances are 

satisfied. 

* * * * * 

3.11.1.3 * * * 

a. Continue (preliminary test was 

conducted) or begin (no preliminary 

test) the official test by making 

measurements for both the indoor and 

outdoor air enthalpy methods at equal 

intervals that span 5 minutes or less. 

Discontinue these measurements only 

after obtaining a 30-minute period 

where the specified test condition and 

operating tolerances are satisfied. To 

constitute a valid official test: 

1. Achieve the energy balance 

specified in section 3.1.1; and, 

2. For cases where a preliminary test 

is conducted, the capacities determined 

using the Indoor Air Enthalpy Method 

from the official and preliminary test 

periods must agree within 2 percent. 

* * * * * 

3.11.2 * * * 

a. Conduct separate calibration tests 

using a calorimeter to determine the 

refrigerant flow rate. Or for cases where 

the superheat of the refrigerant leaving 

the evaporator is less than 5 °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). 

* * * * * 

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 


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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 

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 particular test. 

Configure the controls of the heat pump 

to mimic the operating mode if 

connected to a building thermostat that 

is set to the COOL mode but whose 

temperature setpoint is satisfied. 

3.13.3.2 Integrate the power 

consumption of the heat pump over a 5- 

minute interval. Calculate the average 

power consumption rate for the interval. 

Record this value as P1C. 

3.13.3.3 Re-configure the controls of 

the heat pump to mimic the operating 

mode if connected to a building 

thermostat that is set to the HEAT mode 

but whose temperature setpoint is 

satisfied. 

3.13.3.4 Integrate the power 

consumption of the heat pump over a 5- 

minute interval. Calculate the average 

power consumption rate for the interval. 

Record this value as P1H. 

3.13.3.5 Calculate P1 = (P1C + P1H)/ 

2 and round to the nearest even wattage. 

Assign RCC=0 and P2=0. 

3.13.4 For air conditioners having a 

compressor crankcase heater, conduct 

the following off-mode power test. 

3.13.4.1 Conduct the test 

immediately following the final cooling 

mode test. 

3.13.4.2 If the compressor crankcase 

heater is not thermostatically controlled, 

then (1) configure the controls of the air 

conditioner to mimic the operating 

mode if connected to a building 

thermostat set to the OFF mode; (2) 

assign T00 = T100 = 75 °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 (powerhigh) at this temperature, keep 

increasing the outdoor temperature until 

the compressor crankcase heater 

remains off (power-low) for at least 15 

minutes. The compressor must have 

cycled off prior to beginning either 15 

minute count. 

3.13.4.4.4 Re-establish cooling the 

outdoor test room with the 

reconditioning system set to provide 

EOTCR. As the outdoor temperature 

decreases, monitor the test unit’s 

electrical power and record the outdoor 

temperature when the first power-high 

reading is measured. If this measured 

temperature is equal to or less than T00 

+ 2.5 °F, then the manufacturerprovided 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 manufacturerprovided 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 (DtPH) and the elapsed time of 

the power-low interval (DtPL) 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 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 

FCC

PH

NHL

PH PL

NHL =

( ) +

×

∑

∑

Δ

Δ Δ

τ

τ τ

1

1

100%

Using the T00 from section 3.13.4.4.4, 

FCC, and TCC, estimate the outdoor 

temperature at which the crankcase 


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heater would first begin to operate 

continuously: 

T Lab 100

00

0

100 0 00

00 100 00

( ) = ( ) − °

( ) − ×−+

=−× −

T T

F

T

T

F

T

CC

CC

CC

F

% ( )%

( ) TCC

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 

F T

T T

T T

T T

T T CC j j

j

( ) = −

− °

× − ( ) = −

− × ( )%( )

%. 100 0

100 00

00

00

00 100

100

F

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 offmode power test, no requirements are 

placed on the ambient conditions 

within the indoor and outdoor test 

rooms. The room conditions are allowed 

to change for the duration of this 

particular test. Temporarily turn off the 

power to the outdoor unit and safely 

disable the compressor crankcase heater 

to prevent it from consuming any 

electrical power. Re-energize the 

outdoor unit. 

3.13.4.6 Integrate the power 

consumption of the air conditioner over 

a 5-minute interval. Calculate the 

average power consumption rate for the 

interval. Record the value as P0. 

3.13.5 For heat pumps having a 

compressor crankcase heater, conduct 

the following off-mode power test. 

3.13.5.1 The test shall be conducted 

immediately following the final cooling 

mode test. Configure the controls of the 

heat pump to mimic the operating mode 

if connected to a building thermostat set 

to the COOL mode but whose 

temperature setpoint is satisfied. 

3.13.5.2 If the compressor crankcase 

heater is not thermostatically controlled, 

assign FCC(65 °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. 

3.13.5.4.1 Monitor the power 

consumption of the heat pump and 

denote the two operating states: (1) 

Power draw is at a lower level 

corresponding to no current flowing to 

the compressor crankcase heater 

(power-low); and (2) power draw is at 

the higher level corresponding to the 

compressor crankcase heater operating 

(power-high). 

3.13.5.4.2 After the compressor has 

been off for a minimum of 15 minutes 

and while the outdoor temperature is 

between 64 °F and 66 °F, monitor the 

elapsed time of each power-high 

interval (DtPH) and the elapsed time of 

the power low interval (DtPH) 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 powerhigh + 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 interval of complete 

cycles and designate it as TCC. Calculate 

the average percent on-time of the 

crankcase heater, FCC, using 

FCC

PH

NHL

PH PL

NHL ( ) %. Lab =

( ) +

×

∑

∑

Δ

Δ Δ

τ

τ τ

1

1

100

3.13.5.4.4 Using the manufacturerprovided 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: 

F =

T T

T T

T T

T T CC

( ) CC CC −

( ) − × − ( ) + = ( ) −( ) − ×

00

100 00

100

00

00 100

0 0 10 %% 0


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31263 

3.13.5.4.5 If FCC(Lab) ≤ FCC + 5 

percent, then solve the section 

3.13.5.4.4 equation for TCC = 65 °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 offmode power test, no requirements are 

placed on the ambient conditions 

within the indoor and outdoor test 

rooms. The room conditions are allowed 

to change for the duration of this 

particular test. Temporarily turn off the 

power to the outdoor unit and safely 

disable the compressor crankcase heater 

to prevent it from consuming any 

electrical power. Re-energize the 

outdoor unit. 

3.13.5.5.1 Integrate the power 

consumption of the heat pump over a 5- 

minute interval. Calculate the average 

power consumption rate for the interval. 

Record this value as P0C. 

3.13.5.5.2 Configure the controls of 

the heat pump to mimic the operating 

mode if connected to a building 

thermostat set to the HEAT mode but 

whose temperature setpoint is satisfied. 

3.13.5.5.3 Integrate the power 

consumption of the heat pump over a 5- 

minute interval. Calculate the average 

power consumption rate for the interval. 

Record this value as P0H. Assign P0 = 

(P0C + P0H)/2. 

3.13.5.6 Calculate P1 = P0 + 

(FCC(65 °F)/100%) × [(230 V)2/RCC] and 

round to the nearest even wattage. 

Assign P2 = 0. 

3.13.5.7 Re-enable the compressor 

crankcase heater so that it may operate 

in its normal manner. 

4. Calculations of Seasonal Performance 

Descriptors 

* * * * * 

4.1 * * * 

When referenced, evaluate BL(Tj) for 

cooling using * * * 

* * * Where: 

Q ̇ c

k(95) = the space cooling capacity 

determined from the A or A2 Test, 

whichever applies, Btu/h. 

1.1 = sizing factor, dimensionless. 

The temperatures 95 ° and 65 ° in the 

building load equation represent the 

selected outdoor design temperature 

and the zero-load base temperature, 

respectively. 

* * * * * 

4.1.1 SEER calculations for an air 

conditioner or heat pump having a 

single-speed compressor that was tested 

with a fixed-speed indoor fan installed, 

a constant-air-volume-rate indoor fan 

installed, or with no indoor fan 

installed. a. Calculate the seasonal 

energy efficiency ratio, SEER, using Eq. 

4.1–1. Evaluate the quantity qc(Tj)/N in 

Eq. 4.1–1 using 

q T

N =X T Q T nN

c j

j cj

( ) j

( )× ( )× 

Where: 

X(Tj) = the cooling mode load factor for 

temperature bin j, dimensionless, 

Q ̇ c(Tj) = 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 



QT Q Q Q

cj c T c c ( ) = ( ) + j

( ) − ( )

− 82 × − ( ) 95 8295 82

82 .

Determine Q ̇ c(82) from the B Test, 

Q ̇ c(95), from the A Test, and evaluate 

both in accordance with section 3.3. 

Calculate the cooling mode load factor 

using 

X T

BL T Q T

or j

j cj

( ) =

() () ⎧

⎨

⎪

⎩

⎪

⎫

⎬

⎪

⎭

⎪



1

, whichever is less.

Use Eq. 4.1–2 to calculate the building 

load, BL(Tj). 

b. Evaluate the quantity ec(Tj)/N in Eq. 

4.1–1 using 

e T

N

XT E T

PLF

n

N

cj j cj

j

( ) j = ( )⋅ ( ) ×



Where: 

E ̇ c(Tj) = the electrical power consumption of 

the test unit when operating at outdoor 

temperature Tj, Btu/h, and 

PLFf = the part load factor for temperature bin 

j, dimensionless. 

The quantities X(Tj) and 

n

N

j

are the same quantities as used for 

calculating 

q T

N

c j ( ).

Calculate the electrical power 

consumption at outdoor temperature Tj

using 



ET E

E E

cj c T c c ( ) = ( ) + j

( ) − ( )

− 82 × − ( ) 95 82

95 82

82 .


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Determine E ̇ c (82) from the B Test, E ̇ c

(95) from the A Test, and evaluate both 

in accordance with section 3.3. 

Calculate the part load factor using 

PLF C X T j D

c =− ⋅ − ( )j ⎡

⎣ ⎤⎦ 1 1

c. If the optional tests described in 

section 3.2.1 are not conducted, set the 

cooling mode cyclic degradation 

coefficient, CDc, to the default value 

specified in section 3.5.3. 

* * * * * 

4.1.4.2 * * * 

T1 = the outdoor temperature at which the 

unit, when operating at minimum 

compressor speed, provides a space cooling 

capacity that is equal to the building load 

(Q ̇ c

k=1(T1))=BL(T1)), °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 

(Q ̇ c

k=2 (T2) = BL (T2)), °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 qc (Tj)/N and ec (Tj)/N are 

evaluated as specified in applicable 

below subsection. 

4.1.5.1 For multiple blower systems 

that are connected to a lone, singlespeed outdoor unit. 

a. Calculate the space cooling 

capacity, Q ̇ c

k=1 (Tj), and electrical power 

consumption, E ̇ c

k=1 (Tj), of the test unit 

when operating at the cooling minimum 

air volume rate and outdoor temperature 

Tj using the equations given in section 

4.1.2.1. Calculate the space cooling 

capacity, Q ̇ c

k=2 (Tj), and electrical power 

consumption, E ̇ c

k=2 (Tj), of the test unit 

when operating at the cooling full-load 

air volume rate and outdoor temperature 

Tj using the equations given in section 

4.1.2.1. In evaluating the section 4.1.2.1 

equations, determine the quantities 

Q ̇ c

k=1 (82) and E ̇ ck=1 (82) from the B1

Test, Q ̇ c

k=1 (95) and E ̇ ck=1 (95) from the 

Al Test, Q ̇ c

k=2 (82) and E ̇ ck=2 (82) from the 

B2 Test, and Q ̇ c

k=2 (95) and from the A2

Test. Evaluate all eight quantities as 

specified in section 3.3. Refer to section 

3.2.2.1 and Table 4 for additional 

information on the four referenced 

laboratory tests. 

b. Determine the cooling mode cyclic 

degradation coefficient, Cc

D, as per 

sections 3.2.2.1 and 3.5 to 3.5.3. Assign 

this same value to Cc

D(K=2). 

c. Except for using the above values 

of Q ̇ c

k=1 (Tj), E ̇ ck=1 (Tj), Q ̇ ck=2 (Tj), E ̇ ck=2

(Tj), Cc

D, and CcD (k = 2), calculate the 

quantities qc (Tj)/N and ec (Tj)/N as 

specified in section 4.1.3.1 for cases 

where Q ̇ c

k=1 (Tj) ≥ BL (Tj). For all other 

outdoor bin temperatures, Tj, calculate 

qc (Tj)/N and ec (Tj)/N as specified in 

section 4.1.3.3 if Q ̇ c

k=2 (Tj) > BL (Tj) or 

as specified in section 4.1.3.4 if Q ̇ c

k=2

(Tj) ≤ BL (Tj). 

4.1.5.2 For multiple blower systems 

that are connected to either a lone 

outdoor unit having a two-capacity 

compressor or to two separate but 

identical model single-speed outdoor 

units. 

Calculate the quantities qc (Tj)/N and 

ec (Tj)/N as specified in section 4.1.3. 

* * * * * 

4.1.6 Region-specific SEER 

calculations for a hot-dry climatic 

region, SEER–HD. Calculate SEER–HD, 

expressed in units of Btu/W×h, using: 

SEER

q T

e T

q T

N

e T

N

HD j

j

HD j

j

HD j

j

HD j

j

− =

( )

( ) =

( )

( ) =

=

=

∑

∑

∑

HD 1

10

1

10

1

10

=

∑1

10

Eq. . . -1 416

Where: 

q T

N

HD j ( ) =

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. 

e T

N

HD j ( ) =

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 

BL T

T Q

HD j

j HD ( ) = ( ) −

− × ( ) ∗ 6590 65

95 

1.1

Eq. 4.1.6-2

Where: 

Q ̇ *HD (95) = the space cooling capacity 

determined from the AD or AD2 Test, 

whichever applies, Btu/h, and 

1.1 = sizing factor, dimensionless. 

The temperatures 95 °F and 65 °F in 

the building load equation represent the 

outdoor design temperature and the 

zero-load temperature, respectively, for 

the hot-dry climatic region. 

4.1.6.1 SEER–HD calculations for an 

air conditioner or heat pump having a 

single-speed compressor that was tested 

with a fixed-speed indoor fan installed, 

a constant-air-volume-rate fan installed, 

or with no indoor fan installed. 

Calculate SEER–HD using Eq. 4.1.6–1. 

Evaluate the quantities qHD(Tj)/N and 

eHD(Tj)/N in Eq. 4.1.6–1 as specified in 

section 4.1.1 for qc(Tj)/N and ec(Tj)/N, 

respectively, only now replacing the 


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31265 

quantities Q ̇ c(Tj) and E ̇ c(Tj) with Q ̇ HD(Tj) 

and E ̇ HD(Tj). Also, use the fractional bin 

hours, nj)/N, given in Table 16a rather 

than the values listed in Table 16. 

Calculate Q ̇ HD(Tj) using the section 

4.1.1 equation for Q ̇ c(Tj), replacing 

Q ̇ c(95) and Q ̇ c(82) with Q ̇ HD(95) and 

Q ̇ HD(82), respectively. Calculate E ̇ HD(Tj) 

using the section 4.1.1 equation for 

E ̇ c(Tj), replacing E ̇ c(95) and E ̇ c(82) with 

E ̇ HD(95) and E ̇ HD(82), respectively. 

Determine Q ̇ HD(95) and E ̇ HD(95) from the 

AD Test described in section 3.2.1 and 

conducted in accordance with section 

3.3. Determine Q ̇ HD(82) and E ̇ HD(82) 

using the section 3.2.1 default equations 

or from the BD Test described in section 

3.2.1 and conducted in accordance with 

section 3.3. 

Replace section 4.1.1 references to 

BL(Tj) with BLHD(Tj), as evaluated using 

Eq. 4.1.6–2. In evaluating Eq. 4.1.6–2, 

set Q ̇ HD*(90) equal to the value obtained 

from solving the equation for Q ̇ HD(Tj) 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 CDc that was used to calculate 

SEER to also calculate SEER–HD. 

4.1.6.2 SEER–HD calculations for an 

air conditioner or heat pump having a 

single-speed compressor and a variablespeed 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 qHD(Tj)/N and 

eHD(Tj)/N in Eq. 4.1.6–1 as specified in 

section 4.1.2.1 for qc(Tj)/N and ec(Tj)/N, 

respectively, only now replacing the 

quantities Q ̇ c(Tj) and E ̇ c(Tj) with Q ̇ HD(Tj) 

and E ̇ HD(Tj). Also, use the fractional bin 

hours, nj/N, given in Table 16a rather 

than the values listed in Table 16. 

Calculate Q ̇ HD(Tj) using Eq. 4.1.2–2, 

where Q ̇ HD(Tj), Q ̇ HDk=2(Tj), and 

Q ̇ HDk=1(Tj) replace Q ̇ c(Tj), Q ̇ c

k=2(Tj), and 

Q ̇ c

k=1(Tj), respectively. Use the section 

4.1.2.1 equations for Q ̇ c

k=1(Tj) and 

Q ̇ c

k=2(Tj) to calculate Q ̇ HDk=1(Tj) and 

Q ̇ HDk=2(Tj), respectively. In evaluating 

these equations, use Q ̇ HDk=1(82), 

Q ̇ HDk=1(95), Q ̇ HDk=2(82), and Q ̇ HDk=2(95). 

Determine Q ̇ HDk=2(95), and Q ̇ HDk=1(95) 

from the AD2 and AD1 Tests described 

in section 3.2.2.1 and conducted in 

accordance with section 3.3. Determine 

Q ̇ HDk=2(82) and Q ̇ HDk=1(82) using the 

section 3.2.2.1 default equations or from 

the BD2 and BD1 Tests described in 

section 3.2.2.1 and conducted in 

accordance with section 3.3. 

Calculate E ̇ HD(Tj) using Eq. 4.1.2–4, 

where E ̇ HD(Tj), E ̇ HDk=2(Tj), and E ̇ HDk=1(Tj) 

replace E ̇ c(Tj), E ̇ c

k=2(Tj), and E ̇ ck=1(Tj), 

respectively. Use the section 4.1.2.1 

equations for E ̇ c

k=1(Tj) and E ̇ ck=2(Tj) to 

calculate E ̇ HDk=1(Tj) and E ̇ HDk=2(Tj), 

respectively. In evaluating these 

equations, use E ̇ HDk=1(82), E ̇ HDk=1(95), 

E ̇ HDk=2(82), and E ̇ HDk=2(95). Determine 

E ̇ HDk=2(95) and E ̇ HDk=1(95) from the AD2

and AD1 Tests described in section 

3.2.2.1 and conducted in accordance 

with section 3.3. Determine E ̇ HDk=2(82) 

and E ̇ HDk=1(82) using the section 3.2.2.1 

default equations or from the BD2 and 

BD1 Tests described in section 3.2.2.1 

and conducted in accordance with 

section 3.3. 

Replace section 4.1.2.1 references to 

BL(Tj) with BLHD(Tj), as evaluated using 

Eq. 4.1.6–2. In evaluating Eq. 4.1.6–2, 

set Q ̇ HD*(90) equal to the value obtained 

from solving the equation for Q ̇ HDk=2(Tj) 

at Tj = 90 °F. The parameters FPc

k=1, 

FPc

k=2, and FPc(Tj) denote the fan speeds 

described in section 4.1.2.1, only now as 

applied to the dry climate configuration 

and, in the case of the first two 

variables, as used for the AD1 and AD2

Tests. 

If it helps the user, the remaining 

section 4.1.2.1 calculation parameters of 

X(Tj) and PLFj may also be designated 

as their dry climate versions by adding 

a subscript ‘‘HD’’ when calculating 

SEER–HD. Finally, use the section 

4.1.2.1 value of cDc used to calculate 

SEER to also calculate SEER–HD. 

4.1.6.2.2 Units covered by section 

3.2.2 where indoor fan capacity 

modulation is used to adjust the 

sensible to total cooling capacity ratio. 

Calculate SEER–HD as specified in 

section 4.1.6.1. 

4.1.6.3 SEER–HD calculations for an 

air conditioner or heat pump having a 

two-capacity compressor. 

Calculate SEER–HD using Eq. 4.1.6–1. 

Evaluate the quantities qHD(Tj)/N and 

eHD(Tj)/N in Eq. 4.1.6–1 as specified for 

qc(Tj)/N and ec(Tj)/N, respectively, in 

sections 4.1.3.1, 4.1.3.2, 4.1.3.3, and 

4.1.3.4, as appropriate, only now 

replacing the quantities Q ̇ c

k(Tj) and 

E ̇ c

k(Tj) with Q ̇ HDk(Tj) and E ̇ HDk(Tj). Also, 

use the fractional bin hours, nj/N, given 

in Table 16a rather than the values 

listed in Table 16. 

Calculate Q ̇ HDk=1(Tj) using Eq. 4.1.3–1, 

where Q ̇ HDk=1(Tj), Q ̇ HDk=1(82), and 

Q ̇ HDk=1(67), replace Q ̇ c

k=1(Tj), Q ̇ ck=1(82), 

and Q ̇ c

k=1(67), respectively. Calculate 

Q ̇ HDk=2(Tj) using Eq. 4.1.3–3 where 

Q ̇ HDk=2(Tj), Q ̇ HDk=2(95), and Q ̇ HDk=2(82) 

replace Q ̇ c

k=2(Tj), Q ̇ ck=2(95), and 

Q ̇ c

k=2(82), respectively. Determine 

Q ̇ HDk=2(95) and Q ̇ HDk=1(82) from the AD2

and BD1 Tests described in section 3.2.3 

and conducted in accordance with 

section 3.3. Determine Q ̇ HDk=2(82) and 

Q ̇ HDk=1(67) using the section 3.2.3 

default equations or from the BD2 and 

FD1 Tests described in section 3.2.3 and 

conducted in accordance with section 

3.3. 

Calculate E ̇ HDk=1(Tj) using Eq. 4.1.3–2, 

where E ̇ HDk=1(Tj), E ̇ HDk=1(82), and 

E ̇ HDk=1(67), replace E ̇ c

k=1(Tj), E ̇ ck=1(82), 

and E ̇ c

k=1(67), respectively. Calculate 

E ̇ HDk=2(Tj) using Eq. 4.1.3–4, where 

E ̇ HDk=2(Tj), E ̇ HDk=2(95), and E ̇ HDk=2(82), 

replace E ̇ c

k=2(Tj),E ̇ ck=2(95), and E ̇ ck=2(82), 

respectively. Determine E ̇ HDk=2(95) and 

E ̇ HDk=1(82) from the AD2 and BD1 Tests 

described in section 3.2.3 and 

conducted in accordance with section 

3.3. Determine E ̇ HDk=2(82) and E ̇ HDk=1(67) 

using the section 3.2.3 default equations 

or from the BD2 and FD1 Tests described 

in section 3.2.3 and conducted in 

accordance with section 3.3. 

Replace section 4.1.3 to 4.1.3.4 

references to BL(Tj) with BLHD(Tj), as 

evaluated using Eq. 4.1.6–2. In 

evaluating Eq. 4.1.6–2, set Q ̇ *

HD(90) 

equal to the value obtained from solving 

the equation for Q ̇ HDk=2(Tj) 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 

CDc and the section 4.1.3.3 value of 

CDc(k = 2) that were used to calculate 

SEER to also calculate SEER–HD. 

4.1.6.4 SEER–HD calculations for an 

air conditioner or heat pump having a 

variable-speed compressor. 

Calculate SEER–HD using Eq. 4.1.6–1. 

Evaluate the quantities qHD (Tj) / N and 

eHD (Tj) / N in Eq. 4.1.6–1 as specified 

for qc (Tj) / N, and ec (Tj) / N, 

respectively, in sections 4.1.4.1, 4.1.4.2, 

and 4.1.4.3, as appropriate only now 

replacing the quantities Q ̇ k

c (Tj) and E ̇ kc

(Tj) with Q ̇ k

HD (Tj) and E ̇ kHD (Tj). Also, 

use the fractional bin hours, nj/N, given 

in Table 16a rather than the values 

listed in Table 16. 

Calculate Q ̇ HDk=1 (Tj) using Eq. 4.1.3– 

1, where Q ̇ HDk=1 (Tj), Q ̇ HDk=1 (82), and 

Q ̇ HDk=1 (67), replace Q ̇ c

k=1 (Tj), Q ̇ ck=1

(82), and Q ̇ c

k=1 (67), respectively. 

Calculate Q ̇ HDk=2 (Tj) using Eq. 4.1.3–3 

where Q ̇ HDk=2 (Tj), Q ̇ HDk=2 (82) replace 

Q ̇ c

k=2 (Tj), Q ̇ ck=2 (95), and Q ̇ ck=2 (82), 

respectively. Determine Q ̇ HDk=2 (95) and 

Q ̇ HDk=1 (82) from the AD2 and BD1 Tests 

described in section 3.2.4 and 

conducted in accordance with section 

3.3. Determine Q ̇ HDk=2 (82) and Q ̇ HDk=1

(67) using the section 3.2.3 default 

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31266 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

equations or from the BD2 and FD1 Tests 

described in section 3.2.4 and 

conducted in accordance with section 

3.3. 

Calculate E ̇ HDk=1 (Tj) using Eq. 4.1.3– 

2, where E ̇ HDk=1 (Tj), E ̇ HDk=1 (82), and 

E ̇ HDk=1 (67), replace E ̇ c

k=1 (Tj), E ̇ ck=1 (82), 

and E ̇ c

k=1 (67), respectively. Calculate 

E ̇ HDk=2 (Tj), using Eq. 4.1.3–4, where 

E ̇ HDk=2 (Tj), E ̇ HDk=2 (95), and E ̇ HDk=2 (82) 

replace E ̇ c

k=2 (Tj), E ̇ ck=2 (95), and E ̇ ck=2

(82), respectively. Determine E ̇ HDk=2 (95) 

and E ̇ HDk=2 (82) from the AD2 and BD1

Tests described in section 3.2.4 and 

conducted in accordance with section 

3.3. Determine E ̇ HDk=2 (82) and E ̇ HDk=1

(67) using the section 3.2.3 default 

equations or from the BD2 and FD3 Tests 

described in section 3.2.4 and 

conducted in accordance with section 

3.3. 

Approximate the performance of the 

air conditioner and heat pump had it 

been tested for its steady-state, dry 

climate, intermediate speed (k = v) 

performance at an outdoor dry bulb 

temperature of 87 °F using the following 

equations. 





QQ QQ

E

HD

k=v

HD

k=

HD

k=

HD

k=

HD

87 87 1

3 ( ) = ( ) + × ⎡ ( ) 87 87 − ( ) ⎣ ⎤

⎦ 1 21

k=v

HD

k=

HD

k=

HD

k= 87 87 E EE 1

3 ( ) = ( ) + × ⎡ ( ) 87 87 − ( ) ⎣ ⎤

⎦ 1 21

Where: 

Q ̇ HDk=1 (87) and Q ̇ HDk=2 (87) = obtained by 

solving the equations for Q ̇ HDk=1 (Tj) and 

Q ̇ HDk=2 (Tj) for Tj = 87 °F, and E ̇ HDk=1

(87), and 

E ̇ HDk=2 (87) = obtained by solving the 

equations for E ̇ HDk=1 (Tj) and E ̇ HDk=2 (Tj) 

for Tj = 87 °F. 

Calculate Q ̇ HDk=v (Tj) using Eq. 4.1.4– 

1, where Q ̇ HDk=v (Tj) and Q ̇ HDk=v (87) 

replace Q ̇ c

k=v (Tj) and Q ̇ ck=v (87), 

respectively. Calculate E ̇ HDk=v (Tj) using 

Eq. 4.1.4–2, where E ̇ HDk=v (Tj) and 

E ̇ HDk=v (87) replace E ̇ c

k=v (Tj) and E ̇ ck=v

(87), respectively. 

Replace section 4.1.4 to 4.1.4.3 

references to BL(Tj) with BLHD (Tj), as 

evaluated using Eq. 4.1.6–2. In 

evaluating Eq. 4.1.6–2, set Q ̇ HD (90) 

equal to the value obtained from solving 

the equation for Q ̇ HDk=2 (Tj) 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, ERRk=1

(Tj), A, B, C, D, T1, Tv, T2, EERk=1 (T1), 

EERk=v (Tv), EERk=2(T2), Xk=1(Tj), and 

PLFj may also be designated as their dry 

climate versions by adding a subscript 

‘‘HD’’ when calculating SEER–HD. 

Finally, use the section 4.1.4.1 value of 

Cc

D used to calculate SEER to also 

calculate SEER–HD. 

TABLE 16a—DISTRIBUTION OF FRACTIONAL BIN HOURS WITHIN THE HOT-DRY CLIMATIC REGION

Bin No. 

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), Q ̇ h

k (47) = Q ̇ hk=2

(47), the space heating capacity 

determined from the H12 Test. 

For HSPF calculations for all heat 

pumps, see either section 4.2.1, 4.2.2, 

4.2.3, 4.2.4, or 4.2.6, whichever applies. 

* * * * * 

4.2.4.2 * * * 

T4 = the outdoor temperature at which 

the heat pump, when operating at 

maximum compressor speed, provides a 

space heating capacity equal to the 

building load (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 

e T

N

 and 

RH T

N

hj 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 


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31267 

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 

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 Q ̇ h

k=1 (Tj) and 

E ̇ h

k=1 (Tj) In evaluating the section 4.2.3 

equations, determine the inputs Q ̇ h

k=1

(62) and E ̇ h

k=1 (62) from the HO1 Test 

and determine Q ̇ h

k=1 (47) and E ̇ hk=1 (47) 

from the H11 Test. Calculate all four 

quantities as specified in section 3.7. If, 

in accordance with section 3.6.6, the 

H31 Test is conducted, calculate Q ̇ h

k=1

(17) and E ̇ h

k=1 (17) as specified in 

section 3.10 and determine Q ̇ h

k=1 (35) 

and E ̇ h

k=1 (35) as specified in section 

3.6.6. 

b. Evaluate the space heating capacity 

and electrical power consumption of the 

heat pump when operating at high 

compressor capacity and outdoor 

temperature Tj [Q ̇ h

k=2 (Tj) and E ̇ hk=2 (Tj)] 

by solving Eqs. 4.2.2–3 and 4.2.2–4, 

respectively, for k = 2. Determine the 

equation inputs Q ̇ h

k=2 (47) and E ̇ hk=2 (47) 

from the H12 Test, evaluated as 

specified in section 3.7. Determine the 

equation inputs Q ̇ h

k=2 (35) and E ̇ hk=2 (35) 

from the H22 Test, evaluated as 

specified in section 3.9.1. Also, 

determine the equation inputs Q ̇ h

k=2 (17) 

and E ̇ h

k=2 (17) from the H32 Test, 

evaluated as specified in section 3.10. 

c. Evaluate the space heating capacity 

and electrical power consumption of the 

heat pump when operating at booster 

compressor capacity and outdoor 

temperature Tj using 





Q T

Q

QQ T

h

k=

j

h

k= h

k=

h

k=

j

3

3

3 3

( ) =

( ) +

⎡ ( ) − ( ) ⎣ ⎤

⎦ × − ( ) − 17

35 17 17

35 17

17 45

2

17 2 2

, 

3

3 3

if < T F

Q

QQ T

j

h

k= h

k=

h

k=

j

≤ °

( ) +

⎡ ( ) − ( ) ⎣ ⎤

⎦ × − ( ) − ≤ °

⎧

⎨

⎪

⎪

⎩

⎪

⎪ 17 2 , if T F 17 j





E T

E

EE T

h

k=

j

h

k= h

k=

h

k=

j

3

3

3 3

( ) =

( ) +

⎡ ( ) − ( ) ⎣ ⎤

⎦ × − ( ) − 17

35 17 17

35 17

45

2

17 2 2

, 17

3

3 3

if < T F

E

EE T

j

h

k= h

k=

h

k=

j

≤ °

( ) +

⎡ ( ) − ( ) ⎣ ⎤

⎦ × − ( ) − ≤ °

⎧

⎨

⎪

⎪

⎩

⎪

⎪ 17 2 , if T F 17 j

Determine the inputs Q ̇ h

k=3 (17) and 

E ̇ h

k=3 (17) from the H33 Test and 

determine Q ̇ h

k=3 (2) and E ̇ hk=3 (2) from 

the H43 Test. Calculate all four 

quantities as specified in section 3.10. 

Determine the inputs Q ̇ h

k=3 (35) and 

E ̇ h

k=3 (35) as specified in section 3.6.6. 

4.2.6.1 Steady-state space heating 

capacity when operating at low 

compressor capacity is greater than or 

equal to the building heating load at 

temperature Tj, Q ̇ h

k=1 (Tj) ≥ BL(Tj), and 

the heat pump permits low compressor 

capacity operation at Tj. Evaluate the 

quantities 

e T

N RH TN

hj j () () and

using Eqs. 4.2.3–1 and 4.2.3–2, 

respectively. Determine the equation 

inputs Xk=1 (Tj), 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 CDh [or equivalently, CDh(k = 

1)] determined in accordance with 

section 3.6.6. 

4.2.6.2 Heat pump only operates at 

high (k = 2) compressor capacity at 

temperature Tj and its capacity is greater 

than or equal to the building heating 

load, Q ̇ h

k=1 (Tj) ≥ BL(Tj). Evaluate the 

quantities 

e T

N RH TN

hj j () () and

as specified in section 4.2.3.3. 

Determine the equation inputs Xk=2 (Tj), 

PLFj, and δ′(Tj) as specified in section 

4.2.3.3. In calculating the part load 

factor, PLFj, use the high-capacity 

cyclic-degradation coefficient, CDh(k = 

2)] determined in accordance with 

section 3.6.6. 

4.2.6.3 Heat pump only operates at 

booster (k = 3) capacity at temperature 

Tj and its capacity is greater than or 

equal to the building heating load, Q ̇ h

k=3

(Tj) ≥ BL(Tj). 

Calculate using Eq. 4.2.3-2. Evaluate usin

RH T

N

e T

N

() () j hj

g


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31268 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

e T

N

X TET T

PLF

n

N

h j

k

j h

k

j j

j

( ) j = ( )× ( )× ( ) ×

= = 3 3 δ ’

Where: 

X T BL T T PLF C k X T j j j jD

h

j

k

h

k k Q = = = ( ) = () () =− = × − ( ) 3 3 3 / () 1 31 , and ⎡

⎣ ⎤⎦

Determine the low temperature cutout factor, δ′(Tj), using Eq. 4.2.3–3. Use 

the booster-capacity cyclic-degradation 

coefficient, CDh(k = 3), determined in 

accordance with section 3.6.6. 

4.2.6.4 Heat pump alternates 

between low (k = 1) and high (k = 2) 

compressor capacity to satisfy the 

building heating load at temperature Tj, 

Q ̇ h

k=1 (Tj) < BL(Tj) < Q ̇ hk=2 (Tj). 

Evaluate the quantities 

e T

N RH TN

hj j () () and

as specified in section 4.2.3.2. 

Determine the equation inputs Xk=1 (Tj), 

Xk=2 (Tj), 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, 

Q ̇ h

k=2 (Tj) < BL(Tj) < Q ̇ hk=3(Tj). 

Calculate using Eq. 4.2.3-2. Evaluate usin

RH T

N

e T

N

() () j hj

g

e T

N

X TE T X TE T T h j k

j h

k

j

k

j h

k

j j

( ) = ( )⋅ ( ) + ( )⋅ ( ) ⎡

⎣ ⎤⎦⋅ ( ) == == 22 33 δ ’ ⋅

n

N

j

Where: 

Xk

k

k k

=

=

= = ( ) = ( ) − ( )

( ) − ( ) 2

3

3 2 T

Q T BL T

Q TQ T j

h j j

h j h j



, and

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

the heating mode, booster capacity load 

factor for temperature bin j, 

dimensionless. 

Determine the low temperature cutout 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, BL(Tj) > Q ̇ h

k=1 (Tj). 

e T

N

ET T n

N

RH T

N

BL T Q T h j

h

k

j j

j j j h

k

( ) j

= ( )× ( )× ( ) = ( ) − ( =

=

1

1

δ’ and )× ( ) ⎡

⎣ ⎤⎦ ×

δ ’

. /

T n

N

j j

3 413 Btu h

W

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, BL(Tj) > Q ̇ h

k=2(Tj). Evaluate 

the quantities 

e T

N RH TN

hj j () () and

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, BL(Tj) > Q ̇ h

k=3(Tj), 

or the system converts to using only 

resistive heating. 

e T

N

ET T n

N

RH T

N

BL T Q T h j

h

k

j j

j j j h

k

( ) j

= ( )× ( )× ( ) = ( ) − =

=

3

3

δ ’ and ( )× ( ) ⎡

⎣ ⎤⎦ ×

δ ’

. /

’ T n

N

j j

3 413 Btu h

W

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 


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31269 

Eq. 4.2–1 quantities eh(Tj) /N and RH(Tj) 

/N are evaluated as specified in 

applicable below subsection. 

4.2.7.1 For multiple blower heat 

pumps that are connected to a lone, 

single-speed outdoor unit. 

a. Calculate the space heating 

capacity, Q ̇ h

k=1 (Tj), and electrical power 

consumption, E ̇ h

k=1 (Tj), of the heat 

pump when operating at the heating 

minimum air volume rate and outdoor 

temperature Tj using Eqs. 4.2.2–3 and 

4.2.2–4, respectively. Use these same 

equations to calculate the space heating 

capacity, Q ̇ h

k=2 (Tj) and electrical power 

consumption, E ̇ h

k=2 (Tj), of the test unit 

when operating at the heating full-load 

air volume rate and outdoor temperature 

Tj. In evaluating Eqs. 4.2.2–3 and 4.2.2– 

4, determine the quantities Q ̇ h

k=1 (47) 

and E ̇ h

k=1 (47) from the H11 Test; 

determine Q ̇ h

k=2 (47) and E ̇ hk=2 (47) from 

the H12 Test. Evaluate all four quantities 

according to section 3.7. Determine the 

quantities Q ̇ h

k=1 (35) and E ̇ hk=1 (35) as 

specified in section 3.6.2. Determine 

Q ̇ h

k=2 (35) and E ̇ hk=2 (35) from the H22

Frost Accumulation Test as calculated 

according to section 3.9.1. Determine 

the quantities Q ̇ h

k=1 (17) and E ̇ hk=1 (17) 

from the H31 Test, and Q ̇ h

k=2 (17) and 

E ̇ h

k=2 (17) from the H32 Test. Evaluate all 

four quantities according to section 

3.10. Refer to section 3.6.2 and Table 10 

for additional information on the 

referenced laboratory tests. 

b. Determine the heating mode cyclic 

degradation coefficient, CDh, as per 

sections 3.6.2 and 3.8 to 3.8.1. Assign 

this same value to CDh(k = 2). 

c. Except for using the above values 

of Q ̇ h

k=1 (Tj), E ̇ hk=1 (Tj), Q ̇ hk=2 (Tj), E ̇ hk=2

(Tj), CDh, and CDh(k = 2), calculate the 

quantities eh(Tj)/N as specified in 

section 4.2.3.1 for cases where Q ̇ h

k=1 (Tj) 

≥ BL(Tj). For all other outdoor bin 

temperatures, Tj, calculate eh(Tj)/N and 

RHh(Tj)/N as specified in section 4.2.3.3 

if Q ̇ h

k=2 (Tj) > BL(Tj) or as specified in 

section 4.2.3.4 if Q ̇ h

k=2 (Tj) ≤ BL(Tj). 

4.2.7.2 For multiple blower heat 

pumps connected to either a lone 

outdoor unit with a two-capacity 

compressor or to two separate but 

identical model single-speed outdoor 

units. 

Calculate the quantities eh(Tj)/N and 

RH(Tj)/N as specified in section 4.2.3. 

* * * * * 

4.2.8 Off-mode seasonal power and 

energy consumption calculations. 

Evaluate the off-mode seasonal power 

consumption for the collective 

shoulders seasons, P1, which applies to 

air conditioners and heat pumps. For air 

conditioners, determine the off-mode 

seasonal power consumption for the 

heating season, P2. Once P1 and, for air 

conditioners, P2, are evaluated, use the 

SSH and the HSH to calculate the site 

specific seasonal energy consumption 

values. 

4.2.8.1 Off-mode seasonal power 

consumption for the collective shoulder 

seasons, P1. For air conditioners and 

heat pumps, the off-mode power 

consumption for the shoulder seasons is 

a single value that applies for all 

locations. The calculation of P1 varies 

for different types of systems. 

4.2.8.1.1 Air conditioners and heat 

pumps that do not have a compressor 

crankcase heater. For air conditioners 

and heat pumps not having a 

compressor crankcase heater, assign P1 

as specified in sections 3.13.2.2 and 

3.13.3.5, respectively. 

4.2.8.1.2 Air conditioners that have 

a compressor crankcase heater. For air 

conditioners having a compressor 

crankcase heater, evaluate P1 using 

P PPPP 1 1 57 1 62 1 67 1 72

4 = () () () () +++

Where: 

PT P

F

R j

CC

CC

1 0

100

230 ( ) = + ( ) ⋅

( ) ⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

Tj V 2

.

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 

P P

F

R

CC

CC

1 0 65

100

230

=+ ⋅( ) ⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥

( ) , V 2

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. 

4.2.8.2 Off-mode seasonal power 

consumption for air conditioners during 

the heating season, P2. For air 

conditioners, P2 is non-zero and 

evaluated as specified below. For heat 

pumps, P2 equals zero. 

4.2.8.2.1 For air conditioners that do 

not have a compressor crankcase heater. 

The off-mode power consumption for 

the heating season is a single value that 

applies for all locations. Assign P2 = P1, 

as determined in section 3.13.2.2. 

4.2.8.2.2 For air conditioners that 

have compressor crankcase heater. The 

off-mode power consumption for the 

heating season depends on the 

fractional bin hour distribution, for 

which a different distribution is 

specified for each of the six generalized 

climatic regions, Figure 2. Calculate P2 

using 

P2 P n

N

F

R

j CC

j CC

J

=+ ⋅ ( ) ⋅

( ) ⎡

⎣

⎢

⎢

⎤

⎦

⎥

⎥ 0 ∑ 100

Tj 230 V 2

rounded to the nearest even wattage. 

Obtain RCC, the measured resistance of 

crankcase heater element, and P0, the 

average off-mode power consumption of 

all other air conditioner components 

except the crankcase heater, as specified 

in sections 3.13.1 and 3.13.4.6, 

respectively. Calculate FCC(Tj), the 

percent time on of the crankcase heater 

for outdoor bin temperatures Tj as 

specified in section 3.13.4.4.8. Obtain 

nj/N, the heating season fractional bin 

hours, from Table 17. 

4.2.8.3 Off-mode seasonal energy 

consumption. 

4.2.8.3.1 For the shoulder seasons. 

Calculate the off-mode energy 

consumption for the collective shoulder 

seasons, E1, using 

E1 = P1 × SSH 

Where: 

P1 = determined as specified in section 

4.2.7.1 and the SSH are determined from 

Table 19. 


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31270 Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 

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 offmode energy consumption of an air 

conditioner during the heating season, 

E2, using 

E2 = P2 × HSH 

Where: 

P2 = determined as specified in section 

4.2.7.2 and the HSH are determined from 

Table 19. 

* * * * * 

4.3.1 * * * 

APF CLH Q HLH DHR C

CLH Q

SEER

HLH DHR C

H

A

A c

k

A

A c

k

A

= × + ××

×

+

× ×





( )

( )

95

95

SPF

+× + × P SSH P HSH 1 2

* * * 

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 

HSH

HLH = × − ( )

( ) − ×

=

∑

65

65

1

T

T n

N

OD

j

j

j

J

Where: 

TOD and nj/N = listed in Table 19 and depend 

on the location of interest relative to 

Figure 2. For the six generalized climatic 

regions, this equation simplifies to the 

following set of equations: 

Region I HSH = 2.4348 × 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 

from CSH = 2.8045 × CLH 

* * * * * 

4.3.2 Calculation of representative 

regional annual performance factors 

(APFR) for each generalized climatic 

region and for each standardized design 

heating requirement. 

APF CLH Q HLH DHR C

CLH Q

SEER

HLH DHR C

H

R

R c

k

R

R c

k

R

= × + ××

×

+

× ×





( )

( )

95

95

SPF

+× + × P SSH P HSH 1 2

Where: 

CLHR = the representative cooling hours for 

each generalized climatic region, Table 

19, hr, 

HLHR = the representative heating hours for 

each generalized climatic region, Table 

19, hr, and 

HSPF = the heating seasonal performance 

factor calculated as specified in section 

4.2 for each generalized climatic region 

and for each standardized design heating 

requirement within each region, Btu/W × 

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 ................................................................................................................................................................ 2400 750 

II ............................................................................................................................................................... 1800 1250 

III .............................................................................................................................................................. 1200 1750 

IV .............................................................................................................................................................. 800 2250 

V ............................................................................................................................................................... 400 2750 


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Federal Register / Vol. 75, No. 105 / Wednesday, June 2, 2010 / Proposed Rules 31271 

TABLE 19—REPRESENTATIVE COOLING AND HEATING LOAD HOURS FOR EACH GENERALIZED CLIMATIC REGION— 

Continued 

Region CLHR HLHR

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

4.4 Rounding of SEER, HSPF, SHR, 

and APF for reporting purposes. After 

calculating SEER according to section 

4.1, round it off as specified in subpart 

B 430.23(m)(3)(i) of Title 10 of the CFR. 

Round section 4.2 HSPF values and 

section 4.3 APF values as per 

§ 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: 

SHR Sensible Cooling Capacity

Total Cooling Capacity =

= Q

sc

k (T

Q T c

k

)

( ) 

Where both the total and sensible cooling 

capacities are determined from the same 

cooling mode test and calculated from data collected over the same 30-minute 

data collection interval. 

* * * * * 

[FR Doc. 2010–12271 Filed 6–1–10; 8:45 am] 

BILLING CODE 6450–01–P 


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