10 C.F.R. § A1 to Subpart F of Part 431
Note:
Prior to May 15, 2025, representations with respect to the energy use or efficiency of commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), including compliance certifications, must be based on testing conducted in accordance with:
(a) The applicable provisions (appendix A to subpart F of part 431 for air-cooled equipment, and table 1 to § 431.96 for water-cooled and evaporatively-cooled equipment) as it appeared in subpart F of 10 CFR part 431, revised as of January 1, 2024; or
(b) Appendix A to this subpart.
Beginning May 15, 2025, and prior to the compliance date of amended standards for commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h) based on integrated ventilation, economizing, and cooling (IVEC) and integrated ventilation and heating efficiency (IVHE) (see § 431.97 ), representations with respect to energy use or efficiency of commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), including compliance certifications, must be based on testing conducted in accordance with appendix A to this subpart.
Beginning on the compliance date of amended standards for commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h) based on IVEC and IVHE (see § 431.97 ), representations with respect to energy use or efficiency of commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), including compliance certifications, must be based on testing conducted in accordance with this appendix.
Manufacturers may also certify compliance with any amended energy conservation standards for commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h) based on IVEC or IVHE prior to the applicable compliance date for those standards (see § 431.97 ), and those compliance certifications must be based on testing in accordance with this appendix.
1. Incorporation by Reference
DOE incorporated by reference in § 431.95 , the entire standard for AHRI 1340-2023 and ANSI/ASHRAE 37-2009. However, certain enumerated provisions of AHRI 1340-2023 and ANSI/ASHRAE 37-2009, as listed in this section 1 are inapplicable. To the extent there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control.
1.1. AHRI 1340-2023:
(a) Section 1 Purpose is inapplicable,
(b) Section 2 Scope is inapplicable,
(c) The following subsections of section 3 Definitions are inapplicable: 3.2.2 (Barometric Relief Damper), 3.2.3 (Basic Model), 3.2.5 (Commercial and Industrial Unitary Air-conditioner and Heat Pump Equipment), 3.2.5.1 (Commercial and Industrial Unitary Air-Conditioning System), 3.2.5.2 (Commercial and Industrial Unitary Heat Pump System), 3.2.7 (Double-duct System), 3.2.9 (Desiccant Dehumidification Component), 3.2.10 (Drain Pan Heater), 3.2.11.1 (Air Economizer), 3.2.12 (Energy Efficiency Ratio 2), 3.2.13 (Evaporative Cooling), 3.2.13.1 (Direct Evaporative Cooling System), 3.2.13.2 (Indirect Evaporative Cooling System), 3.2.14 (Fresh Air Damper), 3.2.15 (Fire, Smoke, or Isolation Damper), 3.2.17 (Hail Guard), 3.2.19 (Heating Coefficient of Performance 2 (COP2H)), 3.2.20 (High-Effectiveness Indoor Air Filtration), 3.2.22 (Indoor Single Package Air-conditioners), 3.2.23 (Integrated Ventilation, Economizing, and Cooling Efficiency (IVEC)), 3.2.34 (Integrated Ventilation and Heating Efficiency (IVHE)), 3.2.29 (Non-standard Ducted Condenser Fan), 3.2.31.2 (Boost2 Heating Operating Level (B2)), 3.2.34 (Power Correction Capacitor), 3.2.35 (Powered Exhaust Air Fan), 3.2.36 (Powered Return Air Fan), 3.2.37 (Process Heat Recovery, Reclaim, or Thermal Storage Coil), 3.2.38 (Published Rating), 3.2.41 (Refrigerant Reheat Coil), 3.2.42 (Single Package Air-conditioner), 3.2.43 (Single Package Heat Pumps), 3.2.44 (Single Package System), 3.2.45 (Sound Trap), 3.2.46 (Split System), 3.2.51 (Steam or Hydronic Heat Coils), 3.2.53 (UV Lights), 3.2.55 (Ventilation Energy Recovery System (VERS)), 3.2.56 (Year Round Single Package Air-conditioner), 3.2.57 (Year Round Single Package Heat Pump),
(d) Subsection 5.2 (Optional System Features) of section 5 Test Requirements is inapplicable,
(e) The following subsections of section 6 Rating Requirements are inapplicable: 6.4 (Rating Values), 6.5 (Uncertainty), and 6.6 (Verification Testing),
(f) Section 7 Minimum Data Requirements for Published Ratings is inapplicable,
(g) Section 8 Operating Requirements is inapplicable,
(h) Section 9 Marking and Nameplate Data is inapplicable,
(i) Section 10 Conformance Conditions is inapplicable,
(j) Appendix B References-Informative is inapplicable,
(k) Sections D.1 (Purpose) and D.2 (Configuration Requirements) of Appendix D Unit Configuration for Standard Efficiency Determination-Normative are inapplicable,
(l) Appendix F International Rating Conditions-Normative is inapplicable,
(m) Appendix G Example of Determination of Fan and Motor Efficiency for Non-standard Integrated Indoor Fan and Motors-Informative is inapplicable, and
(n) Appendix H Determination of Low-temperature Cut-in and Cut-out Temperatures-Normative is inapplicable.
1.2. ANSI/ASHRAE 37-2009:
(a) Section 1 Purpose is inapplicable
(b) Section 2 Scope is inapplicable, and
(c) Section 4 Classifications is inapplicable.
2. General
For air conditioners and heat pumps, determine IVEC and IVHE (as applicable) in accordance with this appendix and the applicable sections of AHRI 1340-2023 and ANSI/ASHRAE 37-2009. Representations of energy efficiency ratio 2 (EER2) and IVHEC may optionally be made. Representations of coefficient of performance 2 (COP2) at 5 °F, 17 °F, and 47 °F may optionally be made.
Sections 3 and 4 of this appendix provide additional instructions for testing. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 1340-2023, followed by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced document by the standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE.
3. Test Conditions
The following conditions specified in AHRI 1340-2023 apply when testing to certify to the energy conservation standards in § 431.97 . For cooling mode, use the rating conditions in Table 7 of AHRI 1340-2023. For heat pump heating mode tests, use the rating conditions in Table 23 of AHRI 1340-2023 and the IVHE building load profile in Table 22 of AHRI 1340-2023.
Representations of EER2 made using the "Cooling Bin A" conditions in Table 7 of AHRI 1340-2023 are optional. Representations of IVHEC made using the IVHEC Cold Climate building load profile in Table 22 of AHRI 1340-2023 are optional. Representations of COP247, COP217, and COP25 are optional.
4. Tower Fan and Pump Power Rate (TFPPR)
Where equations 8, 10, 11, and 13 to AHRI 1340-2023 call for using the cooling tower fan and condenser water pump power rate (TFPPR) for the cooling bin specified in Table 7 to AHRI 1340-2023, instead use the TFPPR value for the cooling bin specified in table 1 to this appendix. Where equation 22 to AHRI 1340-2023 calls for using a value of 0.0094 W/(Btu/h) for TFPPR, instead use a value of 0.0102 W/(Btu/h).
Table 1-Tower Fan and Pump Power Rate
[TFPPR]
| Cooling bin | Cooling Bin A | Cooling Bin B | Cooling Bin C | Cooling Bin D |
| Tower Fan and Pump Power Rate (TFPPR), W/(Btu/h) | 0.0102 | 0.0099 | 0.0121 | 0.0430 |
5. Additional Heating Operating Level Provisions
5.1. Boost2 Heating Operating Level Definition
In place of the boost2 heating operating level definition in section 3.2.31.2 of AHRI 1340-2023, use the following definition: An operating level allowed by the controls at 5.0 °F outdoor dry-bulb temperature with a capacity at 5.0 °F outdoor dry-bulb temperature that is less than or equal to the maximum capacity allowed by the controls at 5.0 °F outdoor dry-bulb temperature and greater than the capacity of:
(a) The boost heating operating level at 5.0 °F outdoor dry-bulb temperature, if there is an operating level that meets the definition for boost heating operating level specified in section 3.2.31.1 of AHRI 1340-2023; or
(b) The high heating operating level at 5.0 °F outdoor dry-bulb temperature, if there is not an operating level that meets the definition for boost heating operating level specified in section 3.2.31.1 of AHRI 1340-2023.
5.2. Requirements for H5B2 Test in Table 23 to AHRI 1340-2023
In place of the third to last paragraph of section 6.3.6 of AHRI 1340-2023, use the following provisions.
Run the H5B2 test in Table 23 of AHRI 1340-2023 only if there is an operating level allowed by the controls at 5.0 °F that meets the definition of the boost2 heating operating level specified in section 5.1 of this appendix, and the H5B2 test is being used to determine the capacity at 5.0 °F outdoor dry-bulb temperature and/or COP25.
If the unit has a boost heating operating level, run the H5B2 test in Table 23 of AHRI 1340-2023 with an operating level allowed by the controls at 5.0 °F outdoor dry-bulb temperature that has a capacity at 5.0 °F outdoor dry-bulb temperature that is greater than the capacity of the boost heating operating level at 5.0 °F outdoor dry-bulb temperature and less than or equal to the maximum capacity allowed by the controls at 5.0 °F outdoor dry-bulb temperature.
If the unit does not have a boost heating operating level, run the H5B2 test in Table 23 of AHRI 1340-2023 with an operating level allowed by the controls at 5.0 °F outdoor dry-bulb temperature that has a capacity at 5.0 °F outdoor dry-bulb temperature that is greater than the capacity of the high heating operating level at 5.0 °F outdoor dry-bulb temperature and less than or equal to the maximum capacity allowed by the controls at 5.0 °F outdoor dry-bulb temperature. Use the indoor airflow that is used by the controls at 5.0 °F outdoor dry-bulb temperature when operating at the chosen operating level.
The H5B2 test shall not be used in the calculation of IVHE or IVHEC.
5.3. Operating Level Requirements for COP2
Any references to COP2H in AHRI 1340-2023 shall be considered synonymous with COP2 as defined in § 431.92 . In place of section 6.3.14.2 of AHRI 1340-2023, use the following provisions.
To determine COP247, use capacity and power determined for the H47H test.
To determine COP217, the following provisions apply. For units without a boost heating operating level, use capacity and power determined for the H17H test. For units with a boost operating level, use capacity and power determined for the H17B test.
To determine COP25, the following provisions apply. For units without a boost heating operating level and without a boost2 heating operating level, use capacity and power determined for the H5H test. For units with a boost heating operating level and without a boost2 heating operating level, use capacity and power determined for the H5B test. For units with a boost2 heating operating level, use capacity and power determined for the H5B2 test.
6. Set-Up and Test Provisions for Specific Components
When testing equipment that includes any of the features listed in table 2 to this appendix, test in accordance with the set-up and test provisions specified in table 2.
Table 2-Test Provisions for Specific Components
| Component | Description | Test provisions |
| Air Economizers | An automatic system that enables a cooling system to supply outdoor air to reduce or eliminate the need for mechanical cooling during mild or cold weather | For any air economizer that is factory-installed, place the economizer in the 100% return position and close and seal the outside air dampers for testing. For any modular air economizer shipped with the unit but not factory-installed, do not install the economizer for testing. |
| Barometric Relief Dampers | An assembly with dampers and means to automatically set the damper position in a closed position and one or more open positions to allow venting directly to the outside a portion of the building air that is returning to the unit, rather than allowing it to recirculate to the indoor coil and back to the building | For any barometric relief dampers that are factory-installed, close and seal the dampers for testing. For any modular barometric relief dampers shipped with the unit but not factory-installed, do not install the dampers for testing. |
| Desiccant Dehumidification Components | An assembly that reduces the moisture content of the supply air through moisture transfer with solid or liquid desiccants | Disable desiccant dehumidification components for testing. |
| Drain Pan Heaters | A heater that heats the drain pan to make certain that water shed from the outdoor coil during a defrost does not freeze | Disconnect drain pan heaters for testing. |
| Evaporative Pre-cooling of Air-cooled Condenser Intake Air | Water is evaporated into the air entering the air-cooled condenser to lower the dry-bulb temperature and thereby increase efficiency of the refrigeration cycle | Disconnect the unit from a water supply for testing i.e., operate without active evaporative cooling. |
| Fire/Smoke/Isolation Dampers | A damper assembly including means to open and close the damper mounted at the supply or return duct opening of the equipment | For any fire/smoke/isolation dampers that are factory-installed, set the dampers in the fully open position for testing. For any modular fire/smoke/isolation dampers shipped with the unit but not factory-installed, do not install the dampers for testing. |
| Fresh Air Dampers | An assembly with dampers and means to set the damper position in a closed and one open position to allow air to be drawn into the equipment when the indoor fan is operating | For any fresh air dampers that are factory-installed, close and seal the dampers for testing. For any modular fresh air dampers shipped with the unit but not factory-installed, do not install the dampers for testing. |
| Hail Guards | A grille or similar structure mounted to the outside of the unit covering the outdoor coil to protect the coil from hail, flying debris and damage from large objects | Remove hail guards for testing. |
| High-Effectiveness Indoor Air Filtration | Indoor air filters with greater air filtration effectiveness than the filters used for testing | Test with the standard filter. |
| Power Correction Capacitors | A capacitor that increases the power factor measured at the line connection to the equipment | Remove power correction capacitors for testing. |
| Process Heat recovery/Reclaim Coils/Thermal Storage | A heat exchanger located inside the unit that conditions the equipment's supply air using energy transferred from an external source using a vapor, gas, or liquid | Disconnect the heat exchanger from its heat source for testing. |
| Refrigerant Reheat Coils | A heat exchanger located downstream of the indoor coil that heats the supply air during cooling operation using high pressure refrigerant in order to increase the ratio of moisture removal to cooling capacity provided by the equipment | De-activate refrigerant reheat coils for testing so as to provide the minimum (none if possible) reheat achievable by the system controls. |
| Steam/Hydronic Heat Coils | Coils used to provide supplemental heating | Test with steam/hydronic heat coils in place but providing no heat. |
| UV Lights | A lighting fixture and lamp mounted so that it shines light on the indoor coil, that emits ultraviolet light to inhibit growth of organisms on the indoor coil surfaces, the condensate drip pan, and/other locations within the equipment | Turn off UV lights for testing. |
| Ventilation Energy Recovery System (VERS) | An assembly that preconditions outdoor air entering the equipment through direct or indirect thermal and/or moisture exchange with the exhaust air, which is defined as the building air being exhausted to the outside from the equipment | For any VERS that is factory-installed, place the VERS in the 100% return position and close and seal the outside air dampers and exhaust air dampers for testing, and do not energize any VERS subcomponents (e.g., energy recovery wheel motors). For any VERS module shipped with the unit but not factory-installed, do not install the VERS for testing. |
10 C.F.R. §A1 to Subpart F of Part 431