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Subpart F - Commercial Air Conditioners and Heat Pumps
Source:

69 FR 61969, Oct. 21, 2004, unless otherwise noted.

§ 431.91 Purpose and scope.

This subpart specifies test procedures and energy conservation standards for certain commercial air conditioners and heat pumps, pursuant to Part C of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.

[69 FR 61969, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005]

§ 431.92 Definitions concerning commercial air conditioners and heat pumps.

The following definitions apply for purposes of this subpart F, and of subparts J through M of this part. Any words or terms not defined in this section or elsewhere in this part shall be defined as provided in 42 U.S.C. 6311.

Basic model includes:

(1) Packaged terminal air conditioner (PTAC) or packaged terminal heat pump (PTHP) means all units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparable compressors, same or comparable heat exchangers, and same or comparable air moving systems that have a cooling capacity within 300 Btu/h of one another.

(2) Small, large, and very large air-cooled or water-cooled commercial package air conditioning and heating equipment means all units manufactured by one manufacturer within a single equipment class, having the same or comparably performing compressor(s), heat exchangers, and air moving system(s) that have a common “nominal” cooling capacity.

(3) Single package vertical units means all units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparably performing compressor(s), heat exchangers, and air moving system(s) that have a rated cooling capacity within 1500 Btu/h of one another.

(4) Computer room air conditioners means all units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparably performing compressor(s), heat exchangers, and air moving system(s) that have a common “nominal” cooling capacity.

(5) Variable refrigerant flow systems means all units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparably performing compressor(s) that have a common “nominal” cooling capacity and the same heat rejection medium (e.g., air or water) (includes VRF water source heat pumps).

(6) Small, large, and very large water source heat pump means all units manufactured by one manufacturer within a single equipment class, having the same primary energy source (e.g., electric or gas), and which have the same or comparable compressors, same or comparable heat exchangers, and same or comparable “nominal” capacity.

Coefficient of Performance, or COP means the ratio of the produced cooling effect of an air conditioner or heat pump (or its produced heating effect, depending on the mode of operation) to its net work input, when both the cooling (or heating) effect and the net work input are expressed in identical units of measurement.

Commercial package air-conditioning and heating equipment means air-cooled, water-cooled, evaporatively-cooled, or water source (not including ground water source) electrically operated, unitary central air conditioners and central air-conditioning heat pumps for commercial application.

Computer Room Air Conditioner means a basic model of commercial package air-conditioning and heating equipment (packaged or split) that is: Used in computer rooms, data processing rooms, or other information technology cooling applications; rated for sensible coefficient of performance (SCOP) and tested in accordance with 10 CFR 431.96, and is not a covered consumer product under 42 U.S.C. 6291(1)-(2) and 6292. A computer room air conditioner may be provided with, or have as available options, an integrated humidifier, temperature, and/or humidity control of the supplied air, and reheating function.

Double-duct air conditioner or heat pump means air-cooled commercial package air conditioning and heating equipment that -

(1) Is either a horizontal single package or split-system unit; or a vertical unit that consists of two components that may be shipped or installed either connected or split;

(2) Is intended for indoor installation with ducting of outdoor air from the building exterior to and from the unit, as evidenced by the unit and/or all of its components being non-weatherized, including the absence of any marking (or listing) indicating compliance with UL 1995, “Heating and Cooling Equipment,” or any other equivalent requirements for outdoor use;

(3)

(i) If it is a horizontal unit, a complete unit has a maximum height of 35 inches;

(ii) If it is a vertical unit, a complete unit has a maximum depth of 35 inches; and

(4) Has a rated cooling capacity greater than or equal to 65,000 Btu/h and up to 300,000 Btu/h.

Energy Efficiency Ratio, or EER means the ratio of the produced cooling effect of an air conditioner or heat pump to its net work input, expressed in Btu/watt-hour.

Heat Recovery (in the context of variable refrigerant flow multi-split air conditioners or variable refrigerant flow multi-split heat pumps) means that the air conditioner or heat pump is also capable of providing simultaneous heating and cooling operation, where recovered energy from the indoor units operating in one mode can be transferred to one or more other indoor units operating in the other mode. A variable refrigerant flow multi-split heat recovery heat pump is a variable refrigerant flow multi-split heat pump with the addition of heat recovery capability.

Heating seasonal performance factor, or HSPF means the total heating output of a central air-conditioning heat pump during its normal annual usage period for heating, expressed in Btu's and divided by the total electric power input, expressed in watt-hours, during the same period.

Integrated energy efficiency ratio, or IEER, means a weighted average calculation of mechanical cooling EERs determined for four load levels and corresponding rating conditions, as measured in appendix A of this subpart, expressed in Btu/watt-hour.

Large commercial package air-conditioning and heating equipment means commercial package air-conditioning and heating equipment that is rated -

(1) At or above 135,000 Btu per hour; and

(2) Below 240,000 Btu per hour (cooling capacity).

Non-standard size means a packaged terminal air conditioner or packaged terminal heat pump with existing wall sleeve dimensions having an external wall opening of less than 16 inches high or less than 42 inches wide, and a cross-sectional area less than 670 square inches.

Packaged terminal air conditioner means a wall sleeve and a separate un-encased combination of heating and cooling assemblies specified by the builder and intended for mounting through the wall, and that is industrial equipment. It includes a prime source of refrigeration, separable outdoor louvers, forced ventilation, and heating availability by builder's choice of hot water, steam, or electricity.

Packaged terminal heat pump means a packaged terminal air conditioner that utilizes reverse cycle refrigeration as its prime heat source, that has a supplementary heat source available, with the choice of hot water, steam, or electric resistant heat, and that is industrial equipment.

Seasonal energy efficiency ratio or SEER means the total cooling output of a central air conditioner or central air-conditioning heat pump, expressed in Btu's, during its normal annual usage period for cooling and divided by the total electric power input, expressed in watt-hours, during the same period.

Sensible Coefficient of Performance, or SCOP means the net sensible cooling capacity in watts divided by the total power input in watts (excluding reheaters and humidifiers).

Single package unit means any central air conditioner or central air-conditioning heat pump in which all the major assemblies are enclosed in one cabinet.

Single package vertical air conditioner means air-cooled commercial package air conditioning and heating equipment that -

(1) Is factory-assembled as a single package that -

(i) Has major components that are arranged vertically;

(ii) Is an encased combination of cooling and optional heating components; and

(iii) Is intended for exterior mounting on, adjacent interior to, or through an outside wall;

(2) Is powered by a single-or 3-phase current;

(3) May contain 1 or more separate indoor grilles, outdoor louvers, various ventilation options, indoor free air discharges, ductwork, well plenum, or sleeves; and

(4) Has heating components that may include electrical resistance, steam, hot water, or gas, but may not include reverse cycle refrigeration as a heating means.

Single package vertical heat pump means a single package vertical air conditioner that -

(1) Uses reverse cycle refrigeration as its primary heat source; and

(2) May include secondary supplemental heating by means of electrical resistance, steam, hot water, or gas.

Small commercial package air-conditioning and heating equipment means commercial package air-conditioning and heating equipment that is rated below 135,000 Btu per hour (cooling capacity).

Split system means any central air conditioner or central air conditioning heat pump in which one or more of the major assemblies are separate from the others.

Standard size means a packaged terminal air conditioner or packaged terminal heat pump with wall sleeve dimensions having an external wall opening of greater than or equal to 16 inches high or greater than or equal to 42 inches wide, and a cross-sectional area greater than or equal to 670 square inches.

Variable Refrigerant Flow Multi-Split Air Conditioner means a unit of commercial package air-conditioning and heating equipment that is configured as a split system air conditioner incorporating a single refrigerant circuit, with one or more outdoor units, at least one variable-speed compressor or an alternate compressor combination for varying the capacity of the system by three or more steps, and multiple indoor fan coil units, each of which is individually metered and individually controlled by an integral control device and common communications network and which can operate independently in response to multiple indoor thermostats. Variable refrigerant flow implies three or more steps of capacity control on common, inter-connecting piping.

Variable Refrigerant Flow Multi-Split Heat Pump means a unit of commercial package air-conditioning and heating equipment that is configured as a split system heat pump that uses reverse cycle refrigeration as its primary heating source and which may include secondary supplemental heating by means of electrical resistance, steam, hot water, or gas. The equipment incorporates a single refrigerant circuit, with one or more outdoor units, at least one variable-speed compressor or an alternate compressor combination for varying the capacity of the system by three or more steps, and multiple indoor fan coil units, each of which is individually metered and individually controlled by a control device and common communications network and which can operate independently in response to multiple indoor thermostats. Variable refrigerant flow implies three or more steps of capacity control on common, inter-connecting piping.

Very large commercial package air-conditioning and heating equipment means commercial package air-conditioning and heating equipment that is rated -

(1) At or above 240,000 Btu per hour; and

(2) Below 760,000 Btu per hour (cooling capacity).

Water-source heat pump means a single-phase or three-phase reverse-cycle heat pump that uses a circulating water loop as the heat source for heating and as the heat sink for cooling. The main components are a compressor, refrigerant-to-water heat exchanger, refrigerant-to-air heat exchanger, refrigerant expansion devices, refrigerant reversing valve, and indoor fan. Such equipment includes, but is not limited to, water-to-air water-loop heat pumps.

[69 FR 61969, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005; 73 FR 58828, Oct. 7, 2008; 74 FR 12073, Mar. 23, 2009; 76 FR 12503, Mar. 7, 2011; 77 FR 28988, May 16, 2012; 78 FR 79598, Dec. 31, 2013; 80 FR 42664, July 17, 2015; 80 FR 79669, Dec. 23, 2015; 81 FR 2529, Jan. 15, 2016]

Test Procedures
§ 431.95 Materials incorporated by reference.

(a) General. DOE incorporates by reference the following test procedures into subpart F of part 431. The materials listed have been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to the listed materials by the standard-setting organization will not affect the DOE regulations unless and until such regulations are amended by DOE. Materials are incorporated as they exist on the date of the approval, and a notice of any changes in the materials will be published in the Federal Register. All approved materials are available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza SW., Washington, DC 20024, (202) 586-2945, or go to: http://www1.eere.energy.gov/buildings/appliance_standards/. The referenced test procedure standards are listed below by relevant standard-setting organization, along with information on how to obtain copies from those sources.

(b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Blvd., Suite 500, Arlington, VA 22201, (703) 524-8800, or go to: http://www.ahrinet.org.

(1) ARI Standard 210/240-2003, “2003 Standard for Unitary Air-Conditioning & Air-Source Heat Pump Equipment,” published in 2003 (AHRI 210/240-2003), IBR approved for § 431.96.

(2) ANSI/AHRI Standard 210/240-2008, “2008 Standard for Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump Equipment,” approved by ANSI on October 27, 2011 and updated by addendum 1 in June 2011 and addendum 2 in March 2012 (AHRI 210/240-2008), IBR approved for § 431.96.

(3) AHRI Standard 310/380-2014, (“AHRI 310/380-2014”), “Standard for Packaged Terminal Air-Conditioners and Heat Pumps,” February 2014, IBR approved for § 431.96.

(4) ANSI/AHRI Standard 340/360-2007, “2007 Standard for Performance Rating of Commercial and Industrial Unitary Air-Conditioning and Heat Pump Equipment,” approved by ANSI on October 27, 2011 and updated by addendum 1 in December 2010 and addendum 2 in June 2011 (AHRI 340/360-2007), IBR approved for § 431.96 and appendix A of this subpart.

(5) ANSI/AHRI Standard 390-2003, “2003 Standard for Performance Rating of Single Package Vertical Air-Conditioners and Heat Pumps,” dated 2003, (AHRI 390-2003), IBR approved for § 431.96.

(6) ANSI/AHRI Standard 1230-2010, “2010 Standard for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment,” approved August 2, 2010 and updated by addendum 1 in March 2011 (AHRI 1230-2010), IBR approved for § 431.96.

(7) [Reserved]

(c) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers, 1791 Tullie Circle, NE., Atlanta, Georgia 30329, (404) 636-8400, or go to: http://www.ashrae.org.

(1) ANSI/ASHRAE Standard 16-1983 (RA 2014), (“ANSI/ASHRAE 16”), “Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners,” ASHRAE reaffirmed July 3, 2014, IBR approved for § 431.96.

(2) ANSI/ASHRAE Standard 37-2009, (“ANSI/ASHRAE 37”), “Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment,” ASHRAE approved June 24, 2009, IBR approved for § 431.96 and appendix A of this subpart.

(3) ANSI/ASHRAE Standard 58-1986 (RA 2014), (“ANSI/ASHRAE 58”), “Method of Testing for Rating Room Air-Conditioner and Packaged Terminal Air-Conditioner Heating Capacity,” ASHRAE reaffirmed July 3, 2014, IBR approved for § 431.96.

(4) ASHRAE Standard 127-2007, “Method of Testing for Rating Computer and Data Processing Room Unitary Air Conditioners,” approved on June 28, 2007, (ASHRAE 127-2007), IBR approved for § 431.96.

(d) ISO. International Organization for Standardization, 1, ch. De la Voie-Creuse, Case Postale 56, CH-1211 Geneva 20, Switzerland, + 41 22 749 01 11 or go to: http://www.iso.ch/.

(1) ISO Standard 13256-1, “Water-source heat pumps - Testing and rating for performance - Part 1: Water-to-air and brine-to-air heat pumps,” approved 1998, IBR approved for § 431.96.

(2) [Reserved]

[77 FR 28989, May 16, 2012, as amended at 80 FR 37148, June 30, 2015; 80 FR 79669, Dec. 23, 2015]

§ 431.96 Uniform test method for the measurement of energy efficiency of commercial air conditioners and heat pumps.

(a) Scope. This section contains test procedures for measuring, pursuant to EPCA, the energy efficiency of any small, large, or very large commercial package air-conditioning and heating equipment, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, variable refrigerant flow systems, and single package vertical air conditioners and single package vertical heat pumps.

(b) Testing and calculations.

(1) Determine the energy efficiency of each type of covered equipment by conducting the test procedure(s) listed in Table 1 of this section along with any additional testing provisions set forth in paragraphs (c) through (g) of this section and appendix A to this subpart, that apply to the energy efficiency descriptor for that equipment, category, and cooling capacity. The omitted sections of the test procedures listed in Table 1 of this section must not be used.

(2) After June 24, 2016, any representations made with respect to the energy use or efficiency of packaged terminal air conditioners and heat pumps (PTACs and PTHPs) must be made in accordance with the results of testing pursuant to this section. Manufacturers conducting tests of PTACs and PTHPs after July 30, 2015 and prior to June 24, 2016, must conduct such test in accordance with either table 1 to this section or § 431.96 as it appeared at 10 CFR part 431, subpart F, in the 10 CFR parts 200 to 499 edition revised as of January 1, 2014. Any representations made with respect to the energy use or efficiency of such packaged terminal air conditioners and heat pumps must be in accordance with whichever version is selected.

Table 1 to § 431.96 - Test Procedures for Commercial Air Conditioners and Heat Pumps

Equipment type Category Cooling capacity Energy efficiency descriptor Use tests, conditions, and
procedures1 in
Additional test procedure provisions as indicated in the listed paragraphs of this section
Small Commercial Package Air-Conditioning and Heating Equipment Air-Cooled, 3-Phase, AC and HP <65,000 Btu/h SEER and HSPF AHRI 210/240-2008 (omit section 6.5) Paragraphs (c) and (e).
Air-Cooled AC and HP ≥65,000 Btu/h and <135,000 Btu/h EER, IEER, and COP Appendix A to this subpart None.
Water-Cooled and Evaporatively-Cooled AC <65,000 Btu/h EER AHRI 210/240-2008 (omit section 6.5) Paragraphs (c) and (e).
≥65,000 Btu/h and <135,000 Btu/h EER AHRI 340/360-2007 (omit section 6.3) Paragraphs (c) and (e).
Water-Source HP <135,000 Btu/h EER and COP ISO Standard 13256-1 (1998) Paragraph (e).
Large Commercial Package Air-Conditioning and Heating Equipment Air-Cooled AC and HP ≥135,000 Btu/h and <240,000 Btu/h EER, IEER and COP Appendix A to this subpart None.
Water-Cooled and Evaporatively-Cooled AC ≥135,000 Btu/h and <240,000 Btu/h EER AHRI 340/360-2007 (omit section 6.3) Paragraphs (c) and (e).
Very Large Commercial Package Air-Conditioning and Heating Equipment Air-Cooled AC and HP ≥240,000 Btu/h and <760,000 Btu/h EER, IEER and COP Appendix A to this subpart None.
Water-Cooled and Evaporatively-Cooled AC ≥240,000 Btu/h and <760,000 Btu/h EER AHRI 340/360-2007 (omit section 6.3) Paragraphs (c) and (e).
Packaged Terminal Air Conditioners and Heat Pumps AC and HP <760,000 Btu/h EER and COP Paragraph (g) of this section Paragraphs (c), (e), and (g).
Computer Room Air Conditioners AC <65,000 Btu/h SCOP ASHRAE 127-2007 (omit section 5.11) Paragraphs (c) and (e).
≥65,000 Btu/h and <760,000 Btu/h SCOP ASHRAE 127-2007 (omit section 5.11) Paragraphs (c) and (e).
Variable Refrigerant Flow Multi-split Systems AC <65,000 Btu/h (3-phase) SEER AHRI 1230-2010 (omit sections 5.1.2 and 6.6) Paragraphs (c), (d), (e), and (f).
≥65,000 Btu/h and <760,000 Btu/h EER AHRI 1230-2010 (omit sections 5.1.2 and 6.6) Paragraphs (c), (d), (e), and (f).
Variable Refrigerant Flow Multi-split Systems, Air-cooled HP <65,000 Btu/h (3-phase) SEER and HSPF AHRI 1230-2010 (omit sections 5.1.2 and 6.6) Paragraphs (c), (d), (e), and (f).
≥65,000 Btu/h and <760,000 Btu/h EER and COP AHRI 1230-2010 (omit sections 5.1.2 and 6.6) Paragraphs (c), (d), (e), and (f).
Variable Refrigerant Flow Multi-split Systems, Water-source HP <760,000 Btu/h EER and COP AHRI 1230-2010 (omit sections 5.1.2 and 6.6) Paragraphs (c), (d), (e), and (f).
Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps AC and HP <760,000 Btu/h EER and COP AHRI 390-2003 (omit section 6.4) Paragraphs (c) and (e).

(c) Optional break-in period for tests conducted using AHRI 210/240-2008, AHRI 390-2003, AHRI 1230-2010, and ASHRAE 127-2007. Manufacturers may optionally specify a “break-in” period, not to exceed 20 hours, to operate the equipment under test prior to conducting the test method specified by AHRI 210/240-2008, AHRI 390-2003, AHRI 1230-2010, or ASHRAE 127-2007 (incorporated by reference; see § 431.95). A manufacturer who elects to use an optional compressor break-in period in its certification testing should record this information (including the duration) in the test data underlying the certified ratings that is required to be maintained under 10 CFR 429.71.

(d) Refrigerant line length corrections for tests conducted using AHRI 1230-2010. For test setups where it is physically impossible for the laboratory to use the required line length listed in Table 3 of the AHRI 1230-2010 (incorporated by reference, see § 431.95), then the actual refrigerant line length used by the laboratory may exceed the required length and the following correction factors are applied:

Piping length beyond minimum, X
(ft)
Piping length beyond minimum, Y
(m)
Cooling capacity correction
%
0>X ≤20 0>Y ≤6.1 1
20>X ≤40 6.1>Y ≤12.2 2
40>X ≤60 12.2>Y ≤18.3 3
60>X ≤80 18.3>Y ≤24.4 4
80>X ≤100 24.4>Y ≤30.5 5
100 >X ≤120 30.5>Y ≤36.6 6

(e) Additional provisions for equipment set-up. The only additional specifications that may be used in setting up the basic model for test are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Paragraphs (e)(1) through (3) of this section provide specifications for addressing key information typically found in the installation and operation manuals.

(1) If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value shall be used.

(2) The air flow rate used for testing must be that set forth in the installation and operation manuals being shipped to the commercial customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a rated air flow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton shall be used.

(3) For VRF systems, the test set-up and the fixed compressor speeds (i.e., the maximum, minimum, and any intermediate speeds used for testing) should be recorded and maintained as part of the test data underlying the certified ratings that is required to be maintained under 10 CFR 429.71.

(f) Manufacturer involvement in assessment or enforcement testing for variable refrigerant flow systems. A manufacturer's representative will be allowed to witness assessment and/or enforcement testing for VRF systems. The manufacturer's representative will be allowed to inspect and discuss set-up only with a DOE representative and adjust only the modulating components during testing in the presence of a DOE representative that are necessary to achieve steady-state operation. Only previously documented specifications for set-up as specified under paragraphs (d) and (e) of this section will be used.

(g) Test Procedures for Packaged Terminal Air Conditioners and Packaged Terminal Heat Pumps -

(1) Cooling mode testing. The test method for testing packaged terminal air conditioners and packaged terminal heat pumps in cooling mode shall consist of application of the methods and conditions in AHRI 310/380-2014 sections 3, 4.1, 4.2, 4.3, and 4.4 (incorporated by reference; see § 431.95), and in ANSI/ASHRAE 16 (incorporated by reference; see § 431.95) or ANSI/ASHRAE 37 (incorporated by reference; see § 431.95), except that instruments used for measuring electricity input shall be accurate to within ±0.5 percent of the quantity measured. Where definitions provided in AHRI 310/380-2014, ANSI/ASHRAE 16, and/or ANSI/ASHRAE 37 conflict with the definitions provided in 10 CFR 431.92, the 10 CFR 431.92 definitions shall be used. Where AHRI 310/380-2014 makes reference to ANSI/ASHRAE 16, it is interpreted as reference to ANSI/ASHRAE 16-1983 (RA 2014).

(2) Heating mode testing. The test method for testing packaged terminal heat pumps in heating mode shall consist of application of the methods and conditions in AHRI 310/380-2014 sections 3, 4.1, 4.2 (except the section 4.2.1.2(b) reference to ANSI/ASHRAE 37), 4.3, and 4.4 (incorporated by reference; see § 431.95), and in ANSI/ASHRAE 58 (incorporated by reference; see § 431.95). Where definitions provided in AHRI 310/380-2014 or ANSI/ASHRAE 58 conflict with the definitions provided in 10 CFR 431.92, the 10 CFR 431.92 definitions shall be used. Where AHRI 310/380-2014 makes reference to ANSI/ASHRAE 58, it is interpreted as reference to ANSI/ASHRAE 58-1986 (RA 2014).

(3) Wall sleeves. For packaged terminal air conditioners and packaged terminal heat pumps, the unit must be installed in a wall sleeve with a 14 inch depth if available. If a 14 inch deep wall sleeve is not available, use the available wall sleeve option closest to 14 inches in depth. The area(s) between the wall sleeve and the insulated partition between the indoor and outdoor rooms must be sealed to eliminate all air leakage through this area.

(4) Optional pre-filling of the condensate drain pan. For packaged terminal air conditioners and packaged terminal heat pumps, test facilities may add water to the condensate drain pan of the equipment under test (until the water drains out due to overflow devices or until the pan is full) prior to conducting the test method specified by AHRI 310/380-2014 (incorporated by reference, see § 431.95). No specific level of water mineral content or water temperature is required for the water added to the condensate drain pan.

(5) Filter selection. For packaged terminal air conditioners and packaged terminal heat pumps, the indoor filter used during testing shall be the standard or default filter option shipped with the model. If a particular model is shipped without a filter, the unit must be tested with a MERV-1 filter sized appropriately for the filter slot.

[77 FR 28989, May 16, 2012; 80 FR 11857, Mar. 5, 2015, as amended at 80 FR 37148, June 30, 2015; 80 FR 79669, Dec. 23, 2015]

Energy Efficiency Standards
§ 431.97 Energy efficiency standards and their compliance dates.

(a) All basic models of commercial package air-conditioning and heating equipment must be tested for performance using the applicable DOE test procedure in § 431.96, be compliant with the applicable standards set forth in paragraphs (b) through (f) of this section, and be certified to the Department under 10 CFR part 429.

(b) Each commercial air conditioner or heat pump (not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, and variable refrigerant flow systems) manufactured starting on the compliance date listed in the corresponding table must meet the applicable minimum energy efficiency standard level(s) set forth in Tables 1 through 6 of this section.

Table 1 to § 431.97 - Minimum Cooling Efficiency Standards for Air Conditioning and Heating Equipment

[Not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, variable refrigerant flow multi-split air conditioners and heat pumps, and double-duct air-cooled commercial package air conditioning and heating equipment]

Equipment type Cooling capacity Subcategory Heating type Efficiency level Compliance date: Equipment manufactured starting on . . .
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Split-System) <65,000 Btu/h AC All SEER = 13 June 16, 2008.
HP All SEER = 13 June 16, 2008.1
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Single-Package) <65,000 Btu/h AC All SEER = 13 June 16, 2008.1
HP All SEER = 13 June 16, 2008.1
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled) ≥65,000 Btu/h and <135,000 Btu/h AC No Heating or Electric Resistance Heating EER = 11.2 January 1, 2010.2
All Other Types of Heating EER = 11.0 January 1, 2010.2
HP No Heating or Electric Resistance Heating EER = 11.0 January 1, 2010.2
All Other Types of Heating EER = 10.8 January 1, 2010.2
Large Commercial Package Air Conditioning and Heating Equipment (Air-Cooled) ≥135,000 Btu/h and <240,000 Btu/h AC No Heating or Electric Resistance Heating EER = 11.0 January 1, 2010.2
All Other Types of Heating EER = 10.8 January 1, 2010.2
HP No Heating or Electric Resistance Heating EER = 10.6 January 1, 2010.2
All Other Types of Heating EER = 10.4 January 1, 2010.2
Very Large Commercial Package Air Conditioning and Heating Equipment (Air-Cooled) ≥240,000 Btu/h and <760,000 Btu/h AC No Heating or Electric Resistance Heating EER = 10.0 January 1, 2010.2
All Other Types of Heating EER = 9.8 January 1, 2010.2
HP No Heating or Electric Resistance Heating EER = 9.5 January 1, 2010.2
All Other Types of Heating EER = 9.3 January 1, 2010.2
Small Commercial Package Air Conditioning and Heating Equipment (Water-Cooled) <65,000 Btu/h AC All EER = 12.1 October 29, 2003.
≥65,000 Btu/h and <135,000 Btu/h AC No Heating or Electric Resistance Heating EER = 12.1 June 1, 2013.
All Other Types of Heating EER = 11.9 June 1, 2013.
Large Commercial Package Air-Conditioning and Heating Equipment (Water-Cooled) ≥135,000 Btu/h and <240,000 Btu/h AC No Heating or Electric Resistance Heating EER = 12.5 June 1, 2014.
All Other Types of Heating EER = 12.3 June 1, 2014.
Very Large Commercial Package Air-Conditioning and Heating Equipment (Water-Cooled) ≥240,000 Btu/h and <760,000 Btu/h AC No Heating or Electric Resistance Heating EER = 12.4 June 1, 2014.
All Other Types of Heating EER = 12.2 June 1, 2014.
Small Commercial Package Air-Conditioning and Heating Equipment (Evaporatively-Cooled) <65,000 Btu/h AC All EER = 12.1 October 29, 2003.
≥65,000 Btu/h and <135,000 Btu/h AC No Heating or Electric Resistance Heating EER = 12.1 June 1, 2013.
All Other Types of Heating EER = 11.9 June 1, 2013.
Large Commercial Package Air-Conditioning and Heating Equipment (Evaporatively-Cooled) ≥135,000 Btu/h and <240,000 Btu/h AC No Heating or Electric Resistance Heating EER = 12.0 June 1, 2014.
All Other Types of Heating EER = 11.8 June 1, 2014.
Very Large Commercial Package Air Conditioning and Heating Equipment (Evaporatively-Cooled) ≥240,000 Btu/h and <760,000 Btu/h AC No Heating or Electric Resistance Heating EER = 11.9 June 1, 2014.
All Other Types of Heating EER = 11.7 June 1, 2014.
Small Commercial Package Air-Conditioning and Heating Equipment (Water-Source: Water-to-Air, Water-Loop) <17,000 Btu/h HP All EER = 11.2 October 29, 2003.3
≥17,000 Btu/h and <65,000 Btu/h HP All EER = 12.0 October 29, 2003.3
≥65,000 Btu/h and <135,000 Btu/h HP All EER = 12.0 October 29, 2003.3

Table 2 to § 431.97 - Minimum Heating Efficiency Standards for Air Conditioning and Heating Equipment [Heat Pumps]

[Not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, variable refrigerant flow multi-split air conditioners and heat pumps, and double-duct air-cooled commercial package air conditioning and heating equipment]

Equipment type Cooling capacity Efficiency level Compliance date: Equipment manufactured starting on . . .
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Split-System) <65,000 Btu/h HSPF = 7.7 June 16, 2008.1
Small Commercial Pacakage Air-Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Single-Package) <65,000 Btu/h HSPF = 7.7 June 16, 2008.1
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled) ≥65,000 Btu/h and <135,000 Btu/h COP = 3.3 January 1, 2010.2
Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥135,000 Btu/h and <240,000 Btu/h COP = 3.2 January 1, 2010.2
Very Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥240,000 Btu/h and <760,000 Btu/h COP = 3.2 January 1, 2010.2
Small Commercial Packaged Air Conditioning and Heating Equipment (Water-Source: Water-to-Air, Water-Loop) <135,000 Btu/h COP = 4.2 October 29, 2003.3

Table 3 to § 431.97 - Updates to the Minimum Cooling Efficiency Standards for Air Conditioning and Heating Equipment

[Not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, variable refrigerant flow multi-split air conditioners and heat pumps, and double-duct air-cooled commercial package air conditioning and heating equipment]

Equipment type Cooling capacity Subcategory Heating type Efficiency level Compliance date: Equipment manufactured starting on . . .
Small Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥65,000 Btu/h and <135,000 Btu/h AC Electric Resistance Heating or No Heating IEER = 12.9
IEER = 14.8
January 1, 2018.1
January 1, 2023.
All Other Types of Heating IEER = 12.7
IEER = 14.6
January 1, 2018.1
January 1, 2023.
HP Electric Resistance Heating or No Heating IEER = 12.2
IEER = 14.1
January 1, 2018.1
January 1, 2023.
All Other Types of Heating IEER = 12.0
IEER = 13.9
January 1, 2018.1
January 1, 2023.
Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥135,000 Btu/h and <240,000 Btu/h AC Electric Resistance Heating or No Heating IEER = 12.4
IEER = 14.2
January 1, 2018.1
January 1, 2023.
All Other Types of Heating IEER = 12.2
IEER = 14.0
January 1, 2018.1
January 1, 2023.
HP Electric Resistance Heating or No Heating IEER = 11.6
IEER = 13.5
January 1, 2018.1
January 1, 2023.
All Other Types of Heating IEER = 11.4
IEER = 13.3
January 1, 2018.1
January 1, 2023.
Very Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥240,000 Btu/h and <760,000 Btu/h AC Electric Resistance Heating or No Heating IEER = 11.6
IEER = 13.2
January 1, 2018.1
January 1, 2023.
All Other Types of Heating IEER = 11.4
IEER = 13.0
January 1, 2018.1
January 1, 2023.
HP Electric Resistance Heating or No Heating IEER = 10.6
IEER = 12.5
January 1, 2018.1
January 1, 2023.
All Other Types of Heating IEER = 10.4
IEER = 12.3
January 1, 2018.1
January 1, 2023.
Small Commercial Package Air-Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Split-System) <65,000 Btu/h AC All SEER = 13.0 June 16, 2008.
HP All SEER = 14.0 January 1, 2017.
Small Commercial Package Air-Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Single-Package) <65,000Btu/h AC All SEER = 14.0 January 1, 2017.
HP All SEER = 14.0 January 1, 2017.
Small Commercial Packaged Air-Conditioning and Heating Equipment (Water Source: Water-to-Air, Water-Loop) <17,000 Btu/h HP All EER = 12.2 October 9, 2015.
≥17,000 Btu/h and <65,000 Btu/h HP All EER = 13.0 October 9, 2015.
≥65,000 Btu/h and <135,000Btu/h HP All EER = 13.0 October 9, 2015.

Table 4 to § 431.97 - Updates to the Minimum Heating Efficiency Standards for Air-Cooled Air Conditioning and Heating Equipment [Heat Pumps]

[Not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, variable refrigerant flow multi-split air conditioners and heat pumps, and double-duct air-cooled commercial package air conditioning and heating equipment]

Equipment type Cooling capacity Efficiency level.1 Compliance date: Equipment manufactured starting on . . .
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Split-Sytem) <65,000 Btu/h HSPF = 8.2 January 1, 2017.
Small Commercial Package Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Single Package) <65,000 Btu/h HSPF = 8.0 January 1, 2017.
Small Commercial Package Air Conditioning and Heating Equipment (Water-Source: Water-to-Air, Water-Loop) <135,000 Btu/h COP = 4.3 October 9, 2015.
Small Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥65,000 Btu/h and
<135,000 Btu/h
COP = 3.3
COP = 3.4
January 1, 2018.2
January 1, 2023.
Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥135,000 Btu/h and
<240,000 Btu/h
COP = 3.2
COP = 3.3
January 1, 2018.2
January 1, 2023.
Very Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥240,000 Btu/h and
<760,000 Btu/h
COP = 3.2 January 1, 2018.

Table 5 to § 431.97 - Minimum Cooling Efficiency Standards for Double-Duct Air-Conditioning and Heating Equipment

Equipment type Cooling capacity Subcategory Heating type Efficiency level Compliance date: Equipment manufactured starting on . . .
Small Double-Duct Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥65,000 Btu/h and <135,000 Btu/h AC Electric Resistance Heating or No Heating EER = 11.2 January 1, 2010.
All Other Types of Heating EER = 11.0 January 1, 2010.
HP Electric Resistance Heating or No Heating EER = 11.0 January 1, 2010.
All Other Types of Heating EER = 10.8 January 1, 2010.
Large Commercial Double-Duct Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥135,000 Btu/h and <240,000 Btu/h AC Electric Resistance Heating or No Heating EER = 11.0 January 1, 2010.
All Other Types of Heating EER = 10.8 January 1, 2010.
HP Electric Resistance Heating or No Heating EER = 10.6 January 1, 2010.
All Other Types of Heating EER = 10.4 January 1, 2010.
Very Large Double-Duct Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled) ≥240,000 Btu/h and <300,000 Btu/h AC Electric Resistance Heating or No Heating EER = 10.0 January 1, 2010.
All Other Types of Heating EER = 9.8 January 1, 2010.
HP Electric Resistance Heating or No Heating EER = 9.5 January 1, 2010.
All Other Types of Heating EER = 9.3 January 1, 2010.

Table 6 to § 431.97 - Minimum Heating Efficiency Standards for Double-Duct Air-Cooled Air Conditioning and Heating Equipment

[Heat pumps]

Equipment type Cooling capacity Heating type Efficiency level1 Compliance date: Equipment manufactured starting on . . .
Small Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled, Double-Duct) ≥65,000 Btu/h and <135,000 Btu/h Electric Resistance Heating or No Heating COP = 3.3 January 1, 2010.
All Other Types of Heating COP = 3.3 January 1, 2010.
Large Commercial Packaged Air-Conditioning and Heating Equipment (Air-Cooled, Double-Duct) ≥135,000 Btu/h and <240,000 Btu/h Electric Resistance Heating or No Heating COP = 3.2 January 1, 2010.
All Other Types of Heating COP = 3.2 January 1, 2010.
Very Large Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled, Double-Duct) ≥240,000 Btu/h and <300,000 Btu/h Electric Resistance Heating or No Heating COP = 3.2 January 1, 2010.
All Other Types of Heating COP = 3.2 January 1, 2010.

(c) Each non-standard size packaged terminal air conditioner (PTAC) and packaged terminal heat pump (PTHP) manufactured on or after October 7, 2010 must meet the applicable minimum energy efficiency standard level(s) set forth in Table 7 of this section. Each standard size PTAC manufactured on or after October 8, 2012, and before January 1, 2017 must meet the applicable minimum energy efficiency standard level(s) set forth in Table 7 of this section. Each standard size PTHP manufactured on or after October 8, 2012 must meet the applicable minimum energy efficiency standard level(s) set forth in Table 7 of this section. Each standard size PTAC manufactured on or after January 1, 2017 must meet the applicable minimum energy efficiency standard level(s) set forth in Table 8 of this section.

Table 7 to § 431.97 - Minimum Efficiency Standards for PTAC and PTHP

Equipment type Category Cooling capacity Efficiency level Compliance date: products
manufactured on
and after . . .
PTAC Standard Size <7,000 Btu/h EER = 11.7 October 8, 2012.2
≥7,000 Btu/h and ≤15,000 Btu/h EER = 13.8−(0.3 × Cap1) October 8, 2012.2
>15,000 Btu/h EER = 9.3 October 8, 2012.2
Non-Standard Size <7,000 Btu/h EER = 9.4 October 7, 2010.
≥7,000 Btu/h and ≤15,000 Btu/h EER = 10.9−(0.213 × Cap1) October 7, 2010.
>15,000 Btu/h EER = 7.7 October 7, 2010.
PTHP Standard Size <7,000 Btu/h EER = 11.9
COP = 3.3
October 8, 2012.
≥7,000 Btu/h and ≤15,000 Btu/h EER = 14.0−(0.3 × Cap1)
COP = 3.7−(0.052 × Cap1)
October 8, 2012.
>15,000 Btu/h EER = 9.5
COP = 2.9
October 8, 2012.
Non-Standard Size <7,000 Btu/h EER = 9.3
COP = 2.7
October 7, 2010.
≥7,000 Btu/h and ≤15,000 Btu/h EER = 10.8−(0.213 × Cap1)
COP = 2.9−(0.026 × Cap1)
October 7, 2010.
>15,000 Btu/h EER = 7.6
COP = 2.5
October 7, 2010.

Table 8 to § 431.97 - Updated Minimum Efficiency Standards for PTAC

Equipment type Category Cooling capacity Efficiency level Compliance date: products
manufactured on
and after . . .
PTAC Standard Size <7,000 Btu/h EER = 11.9 January 1, 2017.
≥7,000 Btu/h and ≤15,000 Btu/h EER = 14.0−(0.3 × Cap1) January 1, 2017.
>15,000 Btu/h EER = 9.5 January 1, 2017.

(d)

(1) Each single package vertical air conditioner and single package vertical heat pump manufactured on or after January 1, 2010, but before October 9, 2015 (for models ≥65,000 Btu/h and <135,000 Btu/h) or October 9, 2016 (for models ≥135,000 Btu/h and <240,000 Btu/h), must meet the applicable minimum energy conservation standard level(s) set forth in this section.

Table 9 to § 431.97 - Minimum Efficiency Standards for Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps

Equipment type Cooling capacity Sub-category Efficiency level Compliance date: products manufactured on and
after . . .
Single package vertical air conditioners and single package vertical heat pumps, single-phase and three-phase <65,000 Btu/h AC
HP
EER = 9.0
EER = 9.0
COP = 3.0
January 1, 2010
January 1, 2010
Single package vertical air conditioners and single package vertical heat pumps ≥65,000 Btu/h and <135,000 Btu/h AC
HP
EER = 8.9
EER = 8.9
COP = 3.0
January 1, 2010
January 1, 2010
Single package vertical air conditioners and single package vertical heat pumps ≥135,000 Btu/h and <240,000 Btu/h AC
HP
EER = 8.6
EER = 8.6
COP = 2.9
January 1, 2010
January 1, 2010

(2) Each single package vertical air conditioner and single package vertical heat pump manufactured on and after October 9, 2015 (for models ≥65,000 Btu/h and <135,000 Btu/h) or October 9, 2016 (for models ≥135,000 Btu/h and <240,000 Btu/h), but before September 23, 2019 must meet the applicable minimum energy conservation standard level(s) set forth in this section.

Table 10 to § 431.97 - Minimum Efficiency Standards for Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps

Equipment type Cooling capacity Sub-category Efficiency level Compliance date: Products manufactured on and
after . . .
Single package vertical air conditioners and single package vertical heat pumps, single-phase and three-phase <65,000 Btu/h AC
HP
EER = 9.0
EER = 9.0
COP = 3.0
January 1, 2010
January 1, 2010
Single package vertical air conditioners and single package vertical heat pumps ≥65,000 Btu/h and <135,000 Btu/h AC
HP
EER = 10.0
EER = 10.0
COP = 3.0
October 9, 2015
October 9, 2015
Single package vertical air conditioners and single package vertical heat pumps ≥135,000 Btu/h and <240,000 Btu/h AC
HP
EER = 10.0
EER = 10.0
COP = 3.0
October 9, 2016
October 9, 2016

(3) Each single package vertical air conditioner and single package vertical heat pump manufactured on and after September 23, 2019 must meet the applicable minimum energy conservation standard level(s) set forth in this section.

Table 11 to § 431.97 - Updated Minimum Efficiency Standards for Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps

Equipment type Cooling capacity Sub-category Efficiency level Compliance date: products manufactured on and
after . . .
Single package vertical air conditioners and single package vertical heat pumps, single-phase and three-phase <65,000 Btu/h AC
HP
EER = 11.0
EER = 11.0
COP = 3.3
September 23, 2019.
September 23, 2019.
Single package vertical air conditioners and single package vertical heat pumps ≥65,000 Btu/h and <135,000 Btu/h AC
HP
EER = 10.0
EER = 10.0
COP = 3.0
October 9, 2015.
October 9, 2015.
Single package vertical air conditioners and single package vertical heat pumps ≥135,000 Btu/h and <240,000 Btu/h AC
HP
EER = 10.0
EER = 10.0
COP = 3.0
October 9, 2016.
October 9, 2016.

(e) Each computer room air conditioner with a net sensible cooling capacity less than 65,000 Btu/h manufactured on or after October 29, 2012, and each computer room air conditioner with a net sensible cooling capacity greater than or equal to 65,000 Btu/h manufactured on or after October 29, 2013, must meet the applicable minimum energy efficiency standard level(s) set forth in this section.

Table 12 to § 431.97 - Minimum Efficiency Standards for Computer Room Air Conditioners

Equipment type Net sensible cooling capacity Minimum SCOP efficiency Compliance date: Products manufactured on and after . . .
Downflow unit Upflow unit
Computer Room Air Conditioners, Air-Cooled <65,000 Btu/h
≥65,000 Btu/h and <240,000 Btu/h
2.20
2.10
2.09
1.99
October 29, 2012.
October 29, 2013.
≥240,000 Btu/h and <760,000 Btu/h 1.90 1.79 October 29, 2013.
Computer Room Air Conditioners, Water-Cooled <65,000 Btu/h
≥65,000 Btu/h and <240,000 Btu/h
2.60
2.50
2.49
2.39
October 29, 2012.
October 29, 2013.
≥240,000 Btu/h and <760,000 Btu/h 2.40 2.29 October 29, 2013.
Computer Room Air Conditioners, Water-Cooled with a Fluid Economizer <65,000 Btu/h
≥65,000 Btu/h and <240,000 Btu/h
≥240,000 Btu/h and <760,000 Btu/h
2.55
2.45
2.35
2.44
2.34
2.24
October 29, 2012.
October 29, 2013.
October 29, 2013.
Computer Room Air Conditioners, Glycol-Cooled <65,000 Btu/h
≥65,000 Btu/h and <240,000 Btu/h
2.50
2.15
2.39
2.04
October 29, 2012.
October 29, 2013.
≥240,000 Btu/h and <760,000 Btu/h 2.10 1.99 October 29, 2013.
Computer Room Air Conditioner, Glycol-Cooled with a Fluid Economizer <65,000 Btu/h
≥65,000 Btu/h and <240,000 Btu/h
≥240,000 Btu/h and <760,000 Btu/h
2.45
2.10
2.05
2.34
1.99
1.94
October 29, 2012.
October 29, 2013.
October 29, 2013.

(f) Each variable refrigerant flow air conditioner or heat pump manufactured on or after the compliance date listed in this table must meet the applicable minimum energy efficiency standard level(s) set forth in this section.

Table 13 to § 431.97 - Minimum Efficiency Standards for Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps

Equipment type Cooling capacity Heating type1 Efficiency level Compliance date: Products manufactured on and after . . .
VRF Multi-Split Air Conditioners (Air-Cooled) <65,000 Btu/h
≥65,000 Btu/h and <135,000 Btu/h
All
No Heating or Electric Resistance Heating
13.0 SEER
11.2 EER
June 16, 2008.
January 1, 2010.
All Other Types of Heating 11.0 EER January 1, 2010.
≥135,000 Btu/h and <240,000 Btu/h No Heating or Electric Resistance Heating 11.0 EER January 1, 2010.
All Other Types of Heating 10.8 EER January 1, 2010.
≥240,000 Btu/h and <760,000 Btu/h No Heating or Electric Resistance Heating 10.0 EER January 1, 2010.
All Other Types of Heating 9.8 EER January 1, 2010.
VRF Multi-Split Heat Pumps
(Air-Cooled)
<65,000 Btu/h All 13.0 SEER
7.7 HSPF
June 16, 2008.
≥65,000 Btu/h and <135,000 Btu/h No Heating or Electric Resistance Heating 11.0 EER
3.3 COP
January 1, 2010.
All Other Types of Heating 10.8 EER
3.3 COP
January 1, 2010.
≥135,000 Btu/h and <240,000 Btu/h No Heating or Electric Resistance Heating 10.6 EER
3.2 COP
January 1, 2010.
All Other Types of Heating 10.4 EER
3.2 COP
January 1, 2010.
≥240,000 Btu/h and <760,000 Btu/h No Heating or Electric Resistance Heating 9.5 EER
3.2 COP
January 1, 2010.
All Other Types of Heating 9.3 EER
3.2 COP
January 1, 2010.
VRF Multi-Split Heat Pumps
(Water-Source)* * *
<17,000 Btu/h Without heat recovery 12.0 EER
4.2 COP
October 29, 2012.
October 29, 2003.
With heat recovery 11.8 EER
4.2 COP
October 29, 2012.
October 29, 2003.
≥17,000 Btu/h and <65,000 Btu/h All 12.0 EER
4.2 COP
October 29, 2003.
≥65,000 Btu/h and <135,000 Btu/h All 12.0 EER
4.2 COP
October 29, 2003.
≥135,000 Btu/h and <760,000 Btu/h Without heat recovery 10.0 EER
3.9 COP
October 29, 2013.
With heat recovery 9.8 EER
3.9 COP
October 29, 2013

[77 FR 28991, May 16, 2012, as amended at 77 FR 76830, Dec. 31, 2012; 80 FR 42664, July 17, 2015; 80 FR 43212, July 21, 2015; 80 FR 56895, Sept. 21, 2015; 80 FR 57500, Sept. 23, 2015; 81 FR 2529, Jan. 15, 2016; 81 FR 53907, Aug. 15, 2016]

Appendix A to Subpart F of Part 431 - Uniform Test Method for the Measurement of Energy Consumption of Air-Cooled Small (≥65,000 Btu/h), Large, and Very Large Commercial Package Air Conditioning and Heating Equipment

Note: Prior to December 19, 2016, representations with respect to the energy use or efficiency of air-cooled small, large, and very large commercial package air conditioning and heating equipment, including compliance certifications, must be based on testing conducted in accordance with either Table 1 to § 431.96 as it now appears or Table 1 to § 431.96 as it appeared in subpart F of this part, in the 10 CFR parts 200 through 499 edition revised as of January 1, 2015. After December 19, 2016, representations with respect to energy use or efficiency of air-cooled small, large, and very large commercial package air conditioning and heating equipment, including compliance certifications, must be based on testing conducted in accordance with Table 1 to § 431.96 as it now appears.

(1) Cooling mode test method. The test method for cooling mode consists of the methods and conditions in AHRI 340/360-2007 sections 3, 4, and 6 (omitting section 6.3) (incorporated by reference; see § 431.95), and in ANSI/ASHRAE 37-2009 (incorporated by reference; see § 431.95). In case of a conflict between AHRI 340/360-2007 or ANSI/ASHRAE 37-2009 and the CFR, the CFR provisions control.

(2) Heating mode test method. The test method for heating mode consists of the methods and conditions in AHRI 340/360-2007 sections 3, 4, and 6 (omitting section 6.3) (incorporated by reference; see § 431.95), and in ANSI/ASHRAE 37-2009 (incorporated by reference; see § 431.95). In case of a conflict between AHRI 340/360-2007 or ANSI/ASHRAE 37-2009 and the CFR, the CFR provisions control.

(3) Minimum external static pressure. Use the certified cooling capacity for the basic model to choose the minimum external static pressure found in table 5 of section 6 of AHRI 340/360-2007 (incorporated by reference; see § 431.95) for testing.

(4) Optional break-in period. Manufacturers may optionally specify a “break-in” period, not to exceed 20 hours, to operate the equipment under test prior to conducting the test method in appendix A of this part. A manufacturer who elects to use an optional compressor break-in period in its certification testing must record this information (including the duration) as part of the information in the supplemental testing instructions under 10 CFR 429.43.

(5) Additional provisions for equipment set-up. The only additional specifications that may be used in setting up a unit for test are those set forth in the installation and operation manual shipped with the unit. Each unit should be set up for test in accordance with the manufacturer installation and operation manuals. Paragraphs (5)(i) through (ii) of this section provide specifications for addressing key information typically found in the installation and operation manuals.

(i) If a manufacturer specifies a range of superheat, sub-cooling, and/or refrigerant pressure in its installation and operation manual for a given basic model, any value(s) within that range may be used to determine refrigerant charge or mass of refrigerant, unless the manufacturer clearly specifies a rating value in its installation and operation manual, in which case the specified rating value shall be used.

(ii) The airflow rate used for testing must be that set forth in the installation and operation manuals being shipped to the customer with the basic model and clearly identified as that used to generate the DOE performance ratings. If a certified airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton shall be used.

(6) Indoor airflow testing and adjustment.

(i) When testing full-capacity cooling operation at the required external static pressure condition, the full-load indoor airflow rate must be within ± 3 percent of the certified-rated airflow at full-capacity cooling operation. If the indoor airflow rate at the required minimum external pressure is outside the ± 3-percent tolerance, the unit and/or test setup must be adjusted such that both the airflow and ESP are within the required tolerances. This process may include, but is not limited to, adjusting any adjustable motor sheaves, adjusting variable drive settings, or adjusting the code tester fan.

(ii) When testing other than full-capacity cooling operation using the full-load indoor airflow rate (e.g., full-load heating), the full-load indoor airflow rate must be within ± 3 percent of the certified-rated full-load cooling airflow (without regard to the resulting external static pressure), unless the unit is designed to operate at a different airflow for cooling and heating mode. If necessary, a test facility setup may be made in order to maintain airflow within the required tolerance; however, no adjustments to the unit under test may be made.

(7) Condenser head pressure controls. Condenser head pressure controls, if typically shipped with units of the basic model by the manufacturer or available as an option to the basic model, must be active during testing.

(8) Standard CFM. In the referenced sections of AHRI 340/360-2007 (incorporated by reference; see § 431.95), all instances of CFM refer to standard CFM (SCFM). Likewise, all references to airflow or air quantity refer to standard airflow and standard air quantity.

(9) Capacity rating at part-load. When testing to determine EER for the part-load rating points (i.e. 75-percent load, 50-percent load, and 25-percent load), if the measured capacity expressed as a percent of full-load capacity for a given part-load test is within three percent above or below the target part-load percentage, the EER calculated for the test may be used without any interpolation to determine IEER.

(10) Condenser air inlet temperature for part-load testing. When testing to determine EER for the part-load rating points (i.e. 75-percent load, 50-percent load, and 25-percent load), the condenser air inlet temperature shall be calculated (using the equation in Table 6 of AHRI 340/360-2007; incorporated by reference; see § 431.95) for the target percent load rather than for the percent load measured in the test. Table 1 of this appendix shows the condenser air inlet temperature corresponding with each target percent load, as calculated using the equation in Table 6 of AHRI 340/360-2007.

Table 1 to Appendix A to Subpart F of Part 431 - Condenser Air Inlet Temperatures for Part-Load Tests

Target percent load
(%)
Condenser air inlet temperature
( °F)
25 65
50 68
75 81.5

[80 FR 79670, Dec. 23, 2015]