10 CFR Part 431 — Energy Efficiency Program for Certain Commercial and Industrial Equipment

PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT

Subpart A—General Provisions

§ 431.1 Purpose and scope.

This part establishes the regulations for the implementation of provisions relating to commercial and industrial equipment in Part B of Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291-6309) and in Part C of Title III of the Energy Policy and Conservation Act (42 U.S.C. 6311-6317), which establishes an energy conservation program for certain commercial and industrial equipment.

§ 431.2 Definitions.

The following definitions apply for purposes of this part. Any words or terms not defined in this Section or elsewhere in this part shall be defined as provided in Section 340 of the Act.

Act means the Energy Policy and Conservation Act of 1975, as amended, 42 U.S.C. 6291-6316.

Alternate efficiency determination method or AEDM means a method of calculating the efficiency of a commercial HVAC and WH product, in terms of the descriptor used in or under section 342(a) of the Act to state the energy conservation standard for that product.

Btu means British thermal unit, which is the quantity of heat required to raise the temperature of one pound of water by one degree Fahrenheit.

Commercial HVAC & WH product means any small, large, or very large commercial package air-conditioning and heating equipment (as defined in § 431.92), packaged terminal air conditioner (as defined in § 431.92), packaged terminal heat pump (as defined in § 431.92), single package vertical air conditioner (as defined in § 431.92), single package vertical heat pump (as defined in § 431.92), computer room air conditioner (as defined in § 431.92), variable refrigerant flow multi-split air conditioner (as defined in § 431.92), variable refrigerant flow multi-split heat pump (as defined in § 431.92), unitary dedicated outdoor air system (as defined in § 431.92), commercial packaged boiler (as defined in § 431.82), hot water supply boiler (as defined in § 431.102), commercial warm air furnace (as defined in § 431.72), instantaneous water heater (as defined in § 431.102), storage water heater (as defined in § 431.102), or unfired hot water storage tank (as defined in § 431.102).

Covered equipment means any electric motor, as defined in § 431.12; commercial heating, ventilating, and air conditioning, and water heating product (HVAC & WH product), as defined in § 431.172; commercial refrigerator, freezer, or refrigerator-freezer, as defined in § 431.62; automatic commercial ice maker, as defined in § 431.132; commercial clothes washer, as defined in § 431.152; distribution transformer, as defined in § 431.192; illuminated exit sign, as defined in § 431.202; traffic signal module or pedestrian module, as defined in § 431.222; unit heater, as defined in § 431.242; commercial prerinse spray valve, as defined in § 431.262; mercury vapor lamp ballast, as defined in § 431.282; refrigerated bottled or canned beverage vending machine, as defined in § 431.292; walk-in cooler and walk-in freezer, as defined in § 431.302; metal halide ballast and metal halide lamp fixture, as defined in § 431.322.

DOE or the Department means the U.S. Department of Energy.

Energy conservation standard means any standards meeting the definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as well as any other water conservation standards and design requirements found in this part or parts 430 or 431.

EPCA means the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6316.

Flue loss means the sum of the sensible heat and latent heat above room temperature of the flue gases leaving the appliance.

Gas means propane or natural gas as defined by the Federal Power Commission.

Import means to import into the customs territory of the United States.

Independent laboratory means a laboratory or test facility not controlled by, affiliated with, having financial ties with, or under common control with the manufacturer or distributor of the covered equipment being evaluated.

Industrial equipment means an article of equipment, regardless of whether it is in fact distributed in commerce for industrial or commercial use, of a type which:

(1) In operation consumes, or is designed to consume energy;

(2) To any significant extent, is distributed in commerce for industrial or commercial use; and

(3) Is not a “covered product” as defined in Section 321(2) of EPCA, 42 U.S.C. 6291(2), other than a component of a covered product with respect to which there is in effect a determination under Section 341(c) of EPCA, 42 U.S.C. 6312(c).

ISO means International Organization for Standardization.

Manufacture means to manufacture, produce, assemble, or import.

Manufacturer means any person who manufactures industrial equipment, including any manufacturer of a commercial packaged boiler.

Manufacturer's model number means the identifier used by a manufacturer to uniquely identify the group of identical or essentially identical commercial equipment to which a particular unit belongs. The manufacturer's model number typically appears on equipment nameplates, in equipment catalogs and in other product advertising literature.

Private labeler means, with respect to any product covered under this part, an owner of a brand or trademark on the label of a covered product which bears a private label. A covered product bears a private label if:

(1) Such product (or its container) is labeled with the brand or trademark of a person other than a manufacturer of such product;

(2) The person with whose brand or trademark such product (or container) is labeled has authorized or caused such product to be so labeled; and

(3) The brand or trademark of a manufacturer of such product does not appear on such label.

Secretary means the Secretary of Energy.

State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.

State regulation means a law or regulation of a State or political subdivision thereof.

§ 431.3 Error Correction procedure for energy conservation standards rules.

Requests for error corrections pertaining to an energy conservation standard rule for commercial or industrial equipment shall follow those procedures and provisions detailed in 10 CFR 430.5 of this chapter.

§ 431.4 Procedures, interpretations, and policies for consideration of new or revised energy conservation standards and test procedures for commercial/industrial equipment.

The procedures, interpretations, and policies for consideration of new or revised energy conservation standards and test procedures set forth in appendix A to subpart C of part 430 of this chapter shall apply to the consideration of new or revised energy conservation standards and test procedures considered for adoption under this part.

Subpart B—Electric Motors

§ 431.11 Purpose and scope.

This subpart contains energy conservation requirements for electric motors. It contains test procedures that EPCA requires DOE to prescribe, related requirements, energy conservation standards prescribed by EPCA, labeling rules, and compliance procedures. It also identifies materials incorporated by reference in this part. This subpart does not cover “small electric motors,” which are addressed in subpart X of this part. This subpart does not cover electric motors that are “dedicated-purpose pool pump motors,” which are addressed in subpart Z of this part.

§ 431.12 Definitions.

The following definitions apply for purposes of this subpart, and of subparts U and V of this part. Any words or terms not defined in this Section or elsewhere in this part shall be defined as provided in Section 340 of the Act.

Accreditation means recognition by an accreditation body that a laboratory is competent to test the efficiency of electric motors according to the scope and procedures given in IEEE 112-2017 Test Method B, CSA C390-10, or IEC 60034-2-1:2014 Method 2-1-1B (incorporated by reference, see § 431.15).

Accreditation body means an organization or entity that conducts and administers an accreditation system and grants accreditation.

Accreditation system means a set of requirements to be fulfilled by a testing laboratory, as well as rules of procedure and management, that are used to accredit laboratories.

Accredited laboratory means a testing laboratory to which accreditation has been granted.

Air-over electric motor means an electric motor that does not reach thermal equilibrium ( i.e., thermal stability), during a rated load temperature test according to section 2 of appendix B, without the application of forced cooling by a free flow of air from an external device not mechanically connected to the motor within the motor enclosure.

Alternative efficiency determination method or AEDM means, with respect to an electric motor, a method of calculating the total power loss and average full load efficiency.

Average full load efficiency means the arithmetic mean of the full load efficiencies of a population of electric motors of duplicate design, where the full load efficiency of each motor in the population is the ratio (expressed as a percentage) of the motor's useful power output to its total power input when the motor is operated at its full rated load, rated voltage, and rated frequency.

Basic model means all units of electric motors manufactured by a single manufacturer, that are within the same equipment class, have electrical characteristics that are essentially identical, and do not have any differing physical or functional characteristics that affect energy consumption or efficiency.

Brake electric motor means a motor that contains a dedicated mechanism for speed reduction, such as a brake, either within or external to the motor enclosure

Certificate of conformity means a document that is issued by a certification program, and that gives written assurance that an electric motor complies with the energy efficiency standard applicable to that motor, as specified in § 431.25.

Certification program means a certification system that determines conformity by electric motors with the energy efficiency standards prescribed by and pursuant to the Act.

Certification system means a system, that has its own rules of procedure and management, for giving written assurance that a product, process, or service conforms to a specific standard or other specified requirements, and that is operated by an entity independent of both the party seeking the written assurance and the party providing the product, process or service.

Component set means a combination of motor parts that require the addition of more than two endshields (and their associated bearings) to create an operable motor. These parts may consist of any combination of a stator frame, wound stator, rotor, shaft, or endshields. For the purpose of this definition, the term “operable motor” means an electric motor engineered for performing in accordance with nameplate ratings.

CSA means Canadian Standards Association.

Definite purpose electric motor means any electric motor that cannot be used in most general purpose applications and is designed either:

(1) To standard ratings with standard operating characteristics or standard mechanical construction for use under service conditions other than usual, such as those specified in NEMA MG 1-2016, Paragraph 14.3, “Unusual Service Conditions,” (incorporated by reference, see § 431.15); or

(2) For use on a particular type of application.

Definite purpose motor means any electric motor that cannot be used in most general purpose applications and is designed either:

(2) For use on a particular type of application.

Electric motor means a machine that converts electrical power into rotational mechanical power.

Electric motor with encapsulated windings means an electric motor capable of passing the conformance test for water resistance described in NEMA MG 1-2016, Paragraph 12.62 (incorporated by reference, see § 431.15).

Electric motor with moisture resistant windings means an electric motor that is capable of passing the conformance test for moisture resistance generally described in NEMA MG 1-2016, paragraph 12.63 (incorporated by reference, see § 431.15).

Electric motor with sealed windings means an electric motor capable of passing the conformance test for water resistance described in NEMA MG 1-2016, paragraph 12.62 (incorporated by reference, see § 431.15).

Enclosed motor means an electric motor so constructed as to prevent the free exchange of air between the inside and outside of the case but not sufficiently enclosed to be termed airtight.

Equipment class means one of the combinations of an electric motor's horsepower (or standard kilowatt equivalent), number of poles, and open or enclosed construction, with respect to a category of electric motor for which § 431.25 prescribes nominal full-load efficiency standards.

Fire pump electric motor means an electric motor, including any IEC-equivalent, that meets the requirements of section 9.5 of NFPA 20 (incorporated by reference, see § 431.15).

General purpose electric motor means any electric motor that is designed in standard ratings with either:

(1) Standard operating characteristics and mechanical construction for use under usual service conditions, such as those specified in NEMA MG 1-2016, paragraph 14.2, “Usual Service Conditions,” (incorporated by reference, see § 431.15) and without restriction to a particular application or type of application; or

(2) Standard operating characteristics or standard mechanical construction for use under unusual service conditions, such as those specified in NEMA MG 1-2016, paragraph 14.3, “Unusual Service Conditions,” (incorporated by reference, see § 431.15) or for a particular type of application, and which can be used in most general purpose applications.

General purpose electric motor (subtype I) means a general purpose electric motor that:

(1) Is a single-speed, induction motor;

(2) Is rated for continuous duty (MG1) operation or for duty type S1 (IEC);

(3) Contains a squirrel-cage (MG1) or cage (IEC) rotor;

(4) Has foot-mounting that may include foot-mounting with flanges or detachable feet;

(5) Is built in accordance with NEMA T-frame dimensions or their IEC metric equivalents, including a frame size that is between two consecutive NEMA frame sizes or their IEC metric equivalents;

(6) Has performance in accordance with NEMA Design A (MG1) or B (MG1) characteristics or equivalent designs such as IEC Design N (IEC);

(7) Operates on polyphase alternating current 60-hertz sinusoidal power, and:

(i) Is rated at 230 or 460 volts (or both) including motors rated at multiple voltages that include 230 or 460 volts (or both), or

(ii) Can be operated on 230 or 460 volts (or both); and

(8) Includes, but is not limited to, explosion-proof construction.

References to “MG1” above refer to NEMA Standards Publication MG 1-2016 (incorporated by reference in § 431.15). References to “IEC” above refer to IEC 60034-1, 60034-12:2016, 60050-411, and 60072-1 (incorporated by reference in § 431.15), as applicable.

General purpose electric motor (subtype II) means any general purpose electric motor that incorporates design elements of a general purpose electric motor (subtype I) but, unlike a general purpose electric motor (subtype I), is configured in one or more of the following ways:

(1) Is built in accordance with NEMA U-frame dimensions as described in NEMA MG 1-1967 (incorporated by reference, see § 431.15) or in accordance with the IEC metric equivalents, including a frame size that is between two consecutive NEMA frame sizes or their IEC metric equivalents;

(2) Has performance in accordance with NEMA Design C characteristics as described in MG1 or an equivalent IEC design(s) such as IEC Design H;

(3) Is a close-coupled pump motor;

(4) Is a footless motor;

(5) Is a vertical solid shaft normal thrust motor (as tested in a horizontal configuration) built and designed in a manner consistent with MG1;

(6) Is an eight-pole motor (900 rpm); or

(7) Is a polyphase motor with a voltage rating of not more than 600 volts, is not rated at 230 or 460 volts (or both), and cannot be operated on 230 or 460 volts (or both).

With the exception of the NEMA Motor Standards MG1-1967 (incorporated by reference in § 431.15), references to “MG1” above refer to NEMA MG 1-2016 (incorporated by reference in § 431.15). References to “IEC” above refer to IEC 60034-1, 60034-12, 60050-411, and 60072-1 (incorporated by reference in § 431.15), as applicable.

IEC means the International Electrotechnical Commission.

IEC Design H motor means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of direct-on-line starting

(4) Has 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and

(6) Conforms to Sections 9.1, 9.2, and 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEC Design HE means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of direct-on-line starting;

(4) Has 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and

(6) Conforms to section 9.1, Table 3, and Section 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEC Design HEY means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of star-delta starting;

(4) Has 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and

(6) Conforms to section 5.7, Table 3 and Section 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEC Design HY means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of star-delta starting;

(4) Has 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and

(6) Conforms to Section 5.7, Section 9.2 and Section 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEC Design N motor means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of direct-on-line starting;

(4) Has 2, 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and

(6) Conforms to Sections 6.1, 6.2, and 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for torque characteristics, locked rotor apparent power, and starting requirements, respectively. If a motor has an increased safety designation of type “e,”, the locked rotor apparent power shall be in accordance with the appropriate values specified in IEC 60079-7:2015 (incorporated by reference, see § 431.15).

IEC Design NE means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of direct-on-line starting;

(4) Has 2, 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and

(6) Conforms to section 6.1, Table 3 and Section 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEC Design NEY means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of star-delta starting;

(4) Has 2, 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and

(6) Conforms to section 5.4, Table 3 and Section 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEC Design NY means an electric motor that:

(1) Is an induction motor designed for use with three-phase power;

(2) Contains a cage rotor;

(3) Is capable of star-delta starting;

(4) Has 2, 4, 6, or 8 poles;

(5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and

(6) Conforms to Section 5.4, Section 6.2 and Section 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively.

IEEE means the Institute of Electrical and Electronics Engineers, Inc.

Immersible electric motor means an electric motor primarily designed to operate continuously in free-air, but is also capable of temporarily withstanding complete immersion in liquid for a continuous period of no less than 30 minutes.

Inverter means an electronic device that converts an input AC or DC power into a controlled output AC or DC voltage or current. An inverter may also be called a converter.

Inverter-capable electric motor means an electric motor designed for direct online starting and is suitable for operation on an inverter without special filtering.

Inverter-only electric motor means an electric motor designed specifically for operation fed by an inverter with a temperature rise within the specified insulation thermal class or thermal limits.

Liquid-cooled electric motor means a motor that is cooled by liquid circulated using a designated cooling apparatus such that the liquid or liquid-filled conductors come into direct contact with the parts of the motor but is not submerged in a liquid during operation.

NEMA means the National Electrical Manufacturers Association.

NEMA Design A motor means a squirrel-cage motor that:

(1) Is designed to withstand full-voltage starting and developing locked-rotor torque as shown in NEMA MG 1-2016, paragraph 12.38.1 (incorporated by reference, see § 431.15);

(2) Has pull-up torque not less than the values shown in NEMA MG 1-2016, paragraph 12.40.1;

(3) Has breakdown torque not less than the values shown in NEMA MG 1-2016, paragraph 12.39.1;

(4) Has a locked-rotor current higher than the values shown in NEMA MG 1-2016, Paragraph 12.35.2 for 60 hertz and NEMA MG 1-2016, Paragraph 12.35.4 for 50 hertz; and

(5) Has a slip at rated load of less than 5 percent for motors with fewer than 10 poles.

NEMA Design B motor means a squirrel-cage motor that is:

(1) Designed to withstand full-voltage starting;

(2) Develops locked-rotor, breakdown, and pull-up torques adequate for general application as specified in Sections 12.38, 12.39 and 12.40 of NEMA MG 1-2016 (incorporated by reference, see § 431.15);

(3) Draws locked-rotor current not to exceed the values shown in Section 12.35.2 for 60 hertz and 12.35.4 for 50 hertz of NEMA MG 1-2016; and

(4) Has a slip at rated load of less than 5 percent for motors with fewer than 10 poles.

NEMA Design C motor means a squirrel-cage motor that:

(1) Is designed to withstand full-voltage starting and developing locked-rotor torque for high-torque applications up to the values shown in NEMA MG 1-2016, paragraph 12.38.2 (incorporated by reference, see § 431.15);

(2) Has pull-up torque not less than the values shown in NEMA MG 1-2016, paragraph 12.40.2;

(3) Has breakdown torque not less than the values shown in NEMA MG 1-2016, paragraph 12.39.2;

(4) Has a locked-rotor current not to exceed the values shown in NEMA MG 1-2016, paragraphs 12.35.2 for 60 hertz and 12.35.4 for 50 hertz; and

(5) Has a slip at rated load of less than 5 percent.

Nominal full-load efficiency means, with respect to an electric motor, a representative value of efficiency selected from the “nominal efficiency” column of Table 12-10, NEMA MG 1-2016, (incorporated by reference, see § 431.15), that is not greater than the average full-load efficiency of a population of motors of the same design.

Open motor means an electric motor having ventilating openings which permit passage of external cooling air over and around the windings of the machine.

Partial electric motor means an assembly of motor components necessitating the addition of no more than two endshields, including bearings, to create an electric motor capable of operation in accordance with the applicable nameplate ratings.

Rated frequency means 60 Hz and corresponds to the frequency of the electricity supplied either:

(1) Directly to the motor, in the case of electric motors capable of operating without an inverter; or

(2) To the inverter in the case on inverter-only electric motors.

Rated load (or full-load, full rated load, or rated full-load ) means the rated output power of an electric motor.

Rated voltage means the input voltage of a motor or inverter used when making representations of the performance characteristics of a given electric motor and selected by the motor's manufacturer to be used for testing the motor's efficiency.

Special purpose motor means any motor, other than a general purpose motor or definite purpose motor, which has special operating characteristics or special mechanical construction, or both, designed for a particular application.

Special purpose electric motor means any electric motor, other than a general purpose motor or definite electric purpose motor, which has special operating characteristics or special mechanical construction, or both, designed for a particular application.

Specialized frame size means an electric motor frame size for which the rated output power of the motor exceeds the motor frame size limits specified for standard frame size. Specialized frame sizes have maximum diameters corresponding to the following NEMA Frame Sizes:

Standard frame size means a motor frame size that aligns with the specifications in NEMA MG 1-2016, section 13.2 for open motors, and NEMA MG 1-2016, section 13.3 for enclosed motors (incorporated by reference, see § 431.15).

Submersible electric motor means an electric motor that:

(1) Is intended to operate continuously only while submerged in liquid;

(2) Is capable of operation while submerged in liquid for an indefinite period of time; and

(3) Has been sealed to prevent ingress of liquid from contacting the motor's internal parts.

Total power loss means that portion of the energy used by an electric motor not converted to rotational mechanical power, expressed in percent.

Totally enclosed non-ventilated (TENV) electric motor means an electric motor that is built in a frame-surface cooled, totally enclosed configuration that is designed and equipped to be cooled only by free convection.

Test Procedures, Materials Incorporated and Methods of Determining Efficiency

§ 431.14 [Reserved]

§ 431.15 Materials incorporated by reference.

(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the U.S. Department of Energy (DOE) must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, Buildings@ee.doe.gov, https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the sources in the following paragraphs:

(b) CSA. Canadian Standards Association, Sales Department, 5060 Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada; (800) 463-6727; www.shopcsa.ca/onlinestore/welcome.asp.

(1) CSA C390-10 (reaffirmed 2019), (“CSA C390-10”), Test methods, marking requirements, and energy efficiency levels for three-phase induction motors, including Updates No. 1 through 3, Revised January 2020; IBR approved for § 431.12 and appendix B to this subpart.

(2) CSA C747-09 (reaffirmed 2019) (“CSA C747-09”), Energy efficiency test methods for small motors, including Update No. 1 (August 2016), October 2009; IBR approved for appendix B to this subpart.

(c) IEC. International Electrotechnical Commission Central Office, 3, rue de Varembé, P.O. Box 131, CH-1211 GENEVA 20, Switzerland; + 41 22 919 02 11; webstore.iec.ch.

(1) IEC 60034-1 Edition 12.0 2010-02, (“IEC 60034-1”), Rotating Electrical Machines, Part 1: Rating and Performance, February 2010, IBR approved as follows: section 4: Duty, clause 4.2.1 and Figure 1, IBR approved for § 431.12.

(2) IEC 60034-1, Edition 12.0 2010-02, (“IEC 60034-1:2010”), Rotating Electrical Machines—Part 1: Rating and Performance, IBR approved for appendix B to this subpart.

(3) IEC 60034-2-1:2014, Rotating electrical machines—Part 2-1: Standard methods for determining losses and efficiency from tests (excluding machines for traction vehicles), Edition 2.0, 2014-06; IBR approved for § 431.12 and appendix B to this subpart.

(4) IEC 60034-12:2016, Rotating electrical machines, Part 12: Starting performance of single-speed three-phase cage induction motors, Edition 3.0, 2016-11; IBR approved for § 431.12.

(5) IEC 60050-411, International Electrotechnical Vocabulary Chapter 411: Rotating machines, 1996, IBR approved as follows: sections 411-33-07 and 411-37-26, IBR approved for § 431.12.

(6) IEC 60051-1:2016, Edition 6.0 2016-02, (“IEC 60051-1:2016”), Direct acting indicating analogue electrical measuring instruments and their accessories—Part 1: Definitions and general requirements common to all parts, IBR approved for appendix B to this subpart.

(7) IEC 60072-1, Dimensions and Output Series for Rotating Electrical Machines—Part 1: Frame numbers 56 to 400 and flange numbers 55 to 1080, Sixth edition, 1991-02; IBR approved as follows: clauses 2, 3, 4.1, 6.1, 7, and 10, and Tables 1, 2 and 4; IBR approved for § 431.12 and appendix B to this subpart.

(8) IEC 60079-7:2015, Explosive atmospheres—Part 7: Equipment protection by increased safety “e”, Edition 5.0, 2015-06; IBR approved for § 431.12.

(9) IEC 61800-9-2:2017, Adjustable speed electrical power drive systems—Part 9-2: Ecodesign for power drive systems, motor starters, power electronics and their driven applications—Energy efficiency indicators for power drive systems and motor starters, Edition 1.0, 2017-03; IBR approved for appendix B to this subpart.

(d) IEEE. Institute of Electrical and Electronics Engineers, Inc., 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331; (800) 678-IEEE (4333); www.ieee.org/web/publications/home/index.html.

(1) IEEE Std 112-2017 (“IEEE 112-2017”), IEEE Standard Test Procedure for Polyphase Induction Motors and Generators, approved December 6, 2017; IBR approved for § 431.12 and appendix B to this subpart.

(2) IEEE Std 114-2010 (“IEEE 114-2010”), Test Procedure for Single-Phase Induction Motors, December 23, 2010; IBR approved for appendix B to this subpart.

(e) NEMA. National Electrical Manufacturers Association, 1300 North 17th Street, Suite 1752, Rosslyn, Virginia 22209; (703) 841-3200; www.nema.org/.

(1) ANSI/NEMA MG 1-2016 (Revision 1, 2018) (“NEMA MG 1-2016”), Motors and Generators, ANSI-approved June 15, 2021; IBR approved for § 431.12 and appendix B to this subpart.

(2) NEMA Standards Publication MG1-1967 (“NEMA MG1-1967”), Motors and Generators, January 1968; as follows:

(i) Part 11, Dimension; IBR approved for § 431.12.

(ii) Part 13, Frame Assignments—A-C Integral-Horsepower Motors; IBR approved for § 431.12.

(f) NFPA. National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02169-7471; (617) 770-3000; www.nfpa.org/.

(1) NFPA 20, Standard for the Installation of Stationary Pumps for Fire Protection, 2022 Edition, ANSI-approved April 8, 2021. IBR approved for § 431.12.

(2) [Reserved]

§ 431.16 Test procedures for the measurement of energy efficiency.

For purposes of 10 CFR part 431 and EPCA, the test procedures for measuring the energy efficiency of an electric motor shall be the test procedures specified in appendix B to this subpart B.

§ 431.17 [Reserved]

§ 431.18 Testing laboratories.

(a) Testing pursuant to § 431.17(a)(5)(ii) must be conducted in an accredited laboratory for which the accreditation body was:

(1) The National Institute of Standards and Technology/National Voluntary Laboratory Accreditation Program (NIST/NVLAP); or

(2) A laboratory accreditation body having a mutual recognition arrangement with NIST/NVLAP; or

(3) An organization classified by the Department, pursuant to § 431.19, as an accreditation body.

(b) NIST/NVLAP is under the auspices of the National Institute of Standards and Technology (NIST)/National Voluntary Laboratory Accreditation Program (NVLAP), which is part of the U.S. Department of Commerce. NIST/NVLAP accreditation is granted on the basis of conformance with criteria published in 15 CFR part 285. The National Voluntary Laboratory Accreditation Program, “Procedures and General Requirements,” NIST Handbook 150-10, April 2020, (referenced for guidance only, see § 429.3 of this subchapter) present the technical requirements of NVLAP for the Efficiency of Electric Motors field of accreditation. This handbook supplements NIST Handbook 150, National Voluntary Laboratory Accreditation Program “Procedures and General Requirements,” which contains 15 CFR part 285 plus all general NIST/NVLAP procedures, criteria, and policies. Information regarding NIST/NVLAP and its Efficiency of Electric Motors Program (EEM) can be obtained from NIST/NVLAP, 100 Bureau Drive, Mail Stop 2140, Gaithersburg, MD 20899-2140, (301) 975-4016 (telephone), or (301) 926-2884 (fax).

Energy Conservation Standards

§ 431.25 Energy conservation standards and effective dates.

(a) Except as provided for fire pump electric motors in paragraph (b) of this section, each general purpose electric motor (subtype I) with a power rating of 1 horsepower or greater, but not greater than 200 horsepower, including a NEMA Design B or an equivalent IEC Design N motor that is a general purpose electric motor (subtype I), manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016, shall have a nominal full-load efficiency that is not less than the following:

Table 1—Nominal Full-Load Efficiencies of General Purpose Electric Motors (Subtype I), Except Fire Pump Electric Motors

(b) Each fire pump electric motor that is a general purpose electric motor (subtype I) or general purpose electric motor (subtype II) manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016, shall have a nominal full-load efficiency that is not less than the following:

Table 2—Nominal Full-Load Efficiencies of Fire Pump Electric Motors

(c) Except as provided for fire pump electric motors in paragraph (b) of this section, each general purpose electric motor (subtype II) with a power rating of 1 horsepower or greater, but not greater than 200 horsepower, including a NEMA Design B or an equivalent IEC Design N motor that is a general purpose electric motor (subtype II), manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016, shall have a nominal full-load efficiency that is not less than the following:

Table 3—Nominal Full-Load Efficiencies of General Purpose Electric Motors (Subtype II), Except Fire Pump Electric Motors

(d) Each NEMA Design B or an equivalent IEC Design N motor that is a general purpose electric motor (subtype I) or general purpose electric motor (subtype II), excluding fire pump electric motors, with a power rating of more than 200 horsepower, but not greater than 500 horsepower, manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016 shall have a nominal full-load efficiency that is not less than the following:

Table 4—Nominal Full-Load Efficiencies of NEMA Design B General Purpose Electric Motors (Subtype I and II), Except Fire Pump Electric Motors

(e) For purposes of determining the required minimum nominal full-load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of energy conservation standards in paragraphs (a) through (d) of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows:

(1) A horsepower at or above the midpoint between the two consecutive horsepowers shall be rounded up to the higher of the two horsepowers;

(2) A horsepower below the midpoint between the two consecutive horsepowers shall be rounded down to the lower of the two horsepowers; or

(3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = ( 1 / 0.746 ) horsepower. The conversion should be calculated to three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraph (e)(1) or (e)(2) of this section, whichever applies.

(f) The standards in Table 1 through Table 4 of this section do not apply to definite purpose electric motors, special purpose electric motors, or those motors exempted by the Secretary.

(g) The standards in Table 5 through Table 7 of this section apply only to electric motors, including partial electric motors, that satisfy the following criteria:

(1) Are single-speed, induction motors;

(2) Are rated for continuous duty (MG 1) operation or for duty type S1 (IEC);

(3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor;

(4) Operate on polyphase alternating current 60-hertz sinusoidal line power;

(5) Are rated 600 volts or less;

(6) Have a 2-, 4-, 6-, or 8-pole configuration,

(7) Are built in a three-digit or four-digit NEMA frame size (or IEC metric equivalent), including those designs between two consecutive NEMA frame sizes (or IEC metric equivalent), or an enclosed 56 NEMA frame size (or IEC metric equivalent),

(8) Produce at least one horsepower (0.746 kW) but not greater than 500 horsepower (373 kW), and

(9) Meet all of the performance requirements of one of the following motor types: A NEMA Design A, B, or C motor or an IEC Design N, NE, NEY, NY or H, HE, HEY, HY motor.

(h) Each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an electric motor meeting the criteria in paragraph (g) of this section and with a power rating from 1 horsepower through 500 horsepower, but excluding fire pump electric motors, manufactured (alone or as a component of another piece of equipment) on or after June 1, 2016, but before June 1, 2027, shall have a nominal full-load efficiency of not less than the following:

Table 5 to Paragraph ( h )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump Electric Motors) at 60 Hz

(i) Starting on June 1, 2016, each NEMA Design C motor and IEC Design H (including HE, HEY, or HY variants) motor that is an electric motor meeting the criteria in paragraph (g) of this section and with a power rating from 1 horsepower through 200 horsepower manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency that is not less than the following:

Table 6 to Paragraph ( i )—Nominal Full-Load Efficiencies of NEMA Design C and IEC Design H, HE, HEY or HY Motors at 60 Hz

(j) Starting on June 1, 2016, each fire pump electric motor meeting the criteria in paragraph (g) of this section and with a power rating of 1 horsepower through 500 horsepower, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency that is not less than the following:

Table 7—Nominal Full-Load Efficiencies of Fire Pump Electric Motors at 60 Hz

(k) For purposes of determining the required minimum nominal full-load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of energy conservation standards in paragraphs (h) through (l) of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows:

(1) A horsepower at or above the midpoint between the two consecutive horsepowers shall be rounded up to the higher of the two horsepowers;

(2) A horsepower below the midpoint between the two consecutive horsepowers shall be rounded down to the lower of the two horsepowers; or

(3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = ( 1 / 0.746 ) horsepower. The conversion should be calculated to three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraph (k)(1) or (k)(2) of this section, whichever applies.

(l) The standards in Table 5 through Table 7 of this section do not apply to the following electric motors exempted by the Secretary, or any additional electric motors that the Secretary may exempt:

(1) Air-over electric motors;

(2) Component sets of an electric motor;

(3) Liquid-cooled electric motors;

(4) Submersible electric motors; and

(5) Inverter-only electric motors.

(m) The standards in tables 8 through 10 of this section apply only to electric motors, including partial electric motors, that satisfy the following criteria:

(1) Are single-speed, induction motors;

(2) Are rated for continuous duty (MG 1) operation or for duty type S1 (IEC);

(3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor;

(4) Operate on polyphase alternating current 60-hertz sinusoidal line power;

(5) Are rated 600 volts or less;

(6) Have a 2-, 4-, 6-, or 8-pole configuration,

(8) Produce at least one horsepower (0.746 kW) but not greater than 750 horsepower (559 kW), and

(9) Meet all of the performance requirements of one of the following motor types: A NEMA Design A, B, or C motor or an IEC Design N, NE, NEY, NY or H, HE, HEY, HY motor.

(n) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an electric motor meeting the criteria in paragraph (m) of this section and with a power rating from 1 horsepower through 750 horsepower, but excluding fire pump electric motors and air-over electric motors, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency of not less than the following:

Table 8 to Paragraph ( n )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump Electric Motors and Air-Over Electric Motors) at 60 H z

(o) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an air-over electric motor meeting the criteria in paragraph (m) of this section and with a power rating from 1 horsepower through 250 horsepower, built in a standard frame size, but excluding fire pump electric motors, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency of not less than the following:

Table 9 to Paragraph ( o )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Standard Frame Size Air-Over Electric Motors (Excluding Fire Pump Electric Motors) at 60 H z

(p) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an air-over electric motor meeting the criteria in paragraph (m) of this section and with a power rating from 1 horsepower through 20 horsepower, built in a specialized frame size, but excluding fire pump electric motors, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency of not less than the following:

Table 10 to Paragraph ( p )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Specialized Frame Size Air-Over Electric Motors (Excluding Fire Pump Electric Motors) at 60 H z

(q) For purposes of determining the required minimum nominal full-load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of energy conservation standards in paragraphs (n) through (p) through of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows:

(1) A horsepower at or above the midpoint between the two consecutive horsepowers shall be rounded up to the higher of the two horsepowers;

(2) A horsepower below the midpoint between the two consecutive horsepowers shall be rounded down to the lower of the two horsepowers; or

(3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = ( 1/0.746 ) horsepower. The conversion should be calculated to three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraphs (q)(1) or (2) of this section, whichever applies.

(r) The standards in tables 8 through 10 of this section do not apply to the following electric motors exempted by the Secretary, or any additional electric motors that the Secretary may exempt:

(1) Component sets of an electric motor;

(2) Liquid-cooled electric motors;

(3) Submersible electric motors; and

(4) Inverter-only electric motors.

§ 431.26 Preemption of State regulations.

Any State regulation providing for any energy conservation standard, or other requirement with respect to the energy efficiency or energy use, of an electric motor that is not identical to a Federal standard in effect under this subpart is preempted by that standard, except as provided for in Section 345(a) and 327(b) and (c) of the Act.

Labeling

§ 431.31 Labeling requirements.

(a) Electric motor nameplate —(1) Required information. The permanent nameplate of an electric motor for which standards are prescribed in § 431.25 must be marked clearly with the following information:

(i) The motor's nominal full load efficiency (as of the date of manufacture), derived from the motor's average full load efficiency as determined pursuant to this subpart; and

(ii) A Compliance Certification number (“CC number”) supplied by DOE to the manufacturer or private labeler, pursuant to § 431.36(f), and applicable to that motor. Such CC number must be on the nameplate of a motor beginning 90 days after either:

(A) The manufacturer or private labeler has received the number upon submitting a Compliance Certification covering that motor, or

(B) The expiration of 21 days from DOE's receipt of a Compliance Certification covering that motor, if the manufacturer or private labeler has not been advised by DOE that the Compliance Certification fails to satisfy § 431.36.

(2) Display of required information. All orientation, spacing, type sizes, type faces, and line widths to display this required information shall be the same as or similar to the display of the other performance data on the motor's permanent nameplate. The nominal full-load efficiency shall be identified either by the term “Nominal Efficiency” or “Nom. Eff.” or by the terms specified in paragraph 12.58.2 of NEMA MG1-2009, (incorporated by reference, see § 431.15) as for example “NEMA Nom. Eff. ____.” The Compliance Certification number issued pursuant to § 431.36 shall be in the form “CC ____.”

(3) Optional display. The permanent nameplate of an electric motor, a separate plate, or decalcomania, may be marked with the encircled lower case letters “ee”, for example,

or with some comparable designation or logo, if the motor meets the applicable standard prescribed in § 431.25, as determined pursuant to this subpart, and is covered by a Compliance Certification that satisfies § 431.36.

(b) Disclosure of efficiency information in marketing materials. (1) The same information that must appear on an electric motor's permanent nameplate pursuant to paragraph (a)(1) of this section, shall be prominently displayed:

(i) On each page of a catalog that lists the motor; and

(ii) In other materials used to market the motor.

(2) The “ee” logo, or other similar logo or designations, may also be used in catalogs and other materials to the same extent they may be used on labels under paragraph (a)(3) of this section.

§ 431.32 Preemption of State regulations.

The provisions of § 431.31 supersede any State regulation to the extent required by Section 327 of the Act. Pursuant to the Act, all State regulations that require the disclosure for any electric motor of information with respect to energy consumption, other than the information required to be disclosed in accordance with this part, are superseded.

Certification

§ 431.35 Applicability of certification requirements.

Section 431.36 sets forth the procedures for manufacturers to certify that electric motors comply with the applicable energy efficiency standards set forth in this subpart.

§ 431.36 Compliance Certification.

(a) General. A manufacturer or private labeler shall not distribute in commerce any basic model of an electric motor which is subject to an energy efficiency standard set forth in this subpart unless it has submitted to the Department a Compliance Certification certifying, in accordance with the provisions of this section, that the basic model meets the requirements of the applicable standard. The representations in the Compliance Certification must be based upon the basic model's energy efficiency as determined in accordance with the applicable requirements of this subpart. This means, in part, that either:

(1) The representations as to the basic model must be based on use of a certification organization; or

(2) Any testing of the basic model on which the representations are based must be conducted at an accredited laboratory.

(b) Required contents —(1) General representations. Each Compliance Certification must certify that:

(i) The nominal full load efficiency for each basic model of electric motor distributed is not less than the minimum nominal full load efficiency required for that motor by § 431.25;

(ii) All required determinations on which the Compliance Certification is based were made in compliance with the applicable requirements prescribed in this subpart;

(iii) All information reported in the Compliance Certification is true, accurate, and complete; and

(iv) The manufacturer or private labeler is aware of the penalties associated with violations of the Act and the regulations thereunder, and of 18 U.S.C. 1001 which prohibits knowingly making false statements to the Federal Government.

(2) Specific data. (i) For each rating of electric motor (as the term “rating” is defined in the definition of basic model) which a manufacturer or private labeler distributes, the Compliance Certification must report the nominal full load efficiency, determined pursuant to §§ 431.16 and 431.17, of the least efficient basic model within that rating.

(ii) The Compliance Certification must identify the basic models on which actual testing has been performed to meet the requirements of § 431.17.

(iii) The format for a Compliance Certification is set forth in appendix C of this subpart.

(c) Optional contents. In any Compliance Certification, a manufacturer or private labeler may at its option request that DOE provide it with a unique Compliance Certification number (“CC number”) for any brand name, trademark or other label name under which the manufacturer or private labeler distributes electric motors covered by the Certification. Such a Compliance Certification must also identify all other names, if any, under which the manufacturer or private labeler distributes electric motors, and to which the request does not apply.

(d) Signature and submission. A manufacturer or private labeler must submit the Compliance Certification either on its own behalf, signed by a corporate official of the company, or through a third party (for example, a trade association or other authorized representative) acting on its behalf. Where a third party is used, the Compliance Certification must identify the official of the manufacturer or private labeler who authorized the third party to make representations on the company's behalf, and must be signed by a corporate official of the third party. The Compliance Certification must be submitted to the Department electronically at https://www.regulations.doe.gov/ccms. Alternatively, the Compliance Certification may be submitted by certified mail to: Certification and Compliance Reports, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585-0121.

(e) New basic models. For electric motors, a Compliance Certification must be submitted for a new basic model only if the manufacturer or private labeler has not previously submitted to DOE a Compliance Certification, that meets the requirements of this section, for a basic model that has the same rating as the new basic model, and that has a lower nominal full load efficiency than the new basic model.

(f) Response to Compliance Certification; Compliance Certification Number (CC number) —(1) DOE processing of Certification. Promptly upon receipt of a Compliance Certification, the Department will determine whether the document contains all of the elements required by this section, and may, in its discretion, determine whether all or part of the information provided in the document is accurate. The Department will then advise the submitting party in writing either that the Compliance Certification does not satisfy the requirements of this section, in which case the document will be returned, or that the Compliance Certification satisfies this section. The Department will also advise the submitting party of the basis for its determination.

(2) Issuance of CC number(s). (i) Initial Compliance Certification. When DOE advises that the initial Compliance Certification submitted by or on behalf of a manufacturer or private labeler is acceptable, either:

(A) DOE will provide a single unique CC number, “CC________,” to the manufacturer or private labeler, and such CC number shall be applicable to all electric motors distributed by the manufacturer or private labeler, or

(B) When required by paragraph (f)(3) of this section, DOE will provide more than one CC number to the manufacturer or private labeler.

(ii) Subsequent Compliance Certification. When DOE advises that any other Compliance Certification is acceptable, it will provide a unique CC number for any brand name, trademark or other name when required by paragraph (f)(3) of this section.

(iii) When DOE declines to provide a CC number as requested by a manufacturer or private labeler in accordance with § 431.36(c), DOE will advise the requester of the reasons for such refusal.

(3) Issuance of two or more CC numbers. (i) DOE will provide a unique CC number for each brand name, trademark or other label name for which a manufacturer or private labeler requests such a number in accordance with § 431.36(c), except as follows. DOE will not provide a CC number for any brand name, trademark or other label name

(A) For which DOE has previously provided a CC number, or

(B) That duplicates or overlaps with other names under which the manufacturer or private labeler sells electric motors.

(ii) Once DOE has provided a CC number for a particular name, that shall be the only CC number applicable to all electric motors distributed by the manufacturer or private labeler under that name.

(iii) If the Compliance Certification in which a manufacturer or private labeler requests a CC number is the initial Compliance Certification submitted by it or on its behalf, and it distributes electric motors not covered by the CC number(s) DOE provides in response to the request(s), DOE will also provide a unique CC number that shall be applicable to all of these other motors.

Appendix A to Subpart B of Part 431 [Reserved]

Appendix B to Subpart B of Part 431—Uniform Test Method for Measuring the Efficiency of Electric Motors

Manufacturers of electric motors subject to energy conservation standards in § 431.25 must test in accordance with this appendix.

For any other electric motor that is not currently covered by the energy conservation standards at § 431.25, manufacturers of this equipment must test in accordance with this appendix 180 days after the effective date of the final rule adopting energy conservation standards for such motor. For any other electric motor that is not currently covered by the energy conservation standards at § 431.25, manufacturers choosing to make any representations respecting of energy efficiency for such motors must test in accordance with this appendix.

0. Incorporation by Reference

In § 431.15, DOE incorporated by reference the entire standard for CSA C390-10, CSA C747-09, IEC 60034-1:2010, IEC 60034-2-1:2014, IEC 60051-1:2016, IEC 61800-9-2:2017, IEEE 112-2017, IEEE 114-2010, and NEMA MG 1-2016; however, only enumerated provisions of those documents are applicable as follows. In cases where there is a conflict, the language of this appendix takes precedence over those documents. 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.

0.1. CSA C390-10

(a) Section 1.3 “Scope,” as specified in sections 2.1.1 and 2.3.3.2 of this appendix;

(b) Section 3.1 “Definitions,” as specified in sections 2.1.1 and 2.3.3.2 of this appendix;

(d) Section 7 “Test method,” as specified in sections 2.1.1 and 2.3.3.2 of this appendix;

(e) Table 1 “Resistance measurement time delay,” as specified in sections 2.1.1 and 2.3.3.2 of this appendix;

(f) Annex B “Linear regression analysis,” as specified in sections 2.1.1 and 2.3.3.2 of this appendix; and

(g) Annex C “Procedure for correction of dynamometer torque readings” as specified in sections 2.1.1 and 2.3.3.2 of this appendix.

0.2. CSA C747-09

(a) Section 1.6 “Scope” as specified in sections 2.3.1.2 and 2.3.2.2 of this appendix;

(b) Section 3 “Definitions” as specified in sections 2.3.1.2 and 2.3.2.2 of this appendix;

(d) Section 6 “Test method” as specified in sections 2.3.1.2 and 2.3.2.2 of this appendix.

0.3. IEC 60034-1:2010

(a) Section 4.2.1 as specified in section 1.2 of this appendix;

(b) Section 7.2 as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, and 2.3.3.3 of this appendix;

(d) Table 5 as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, and 2.3.3.3 of this appendix.

0.4. IEC 60034-2-1:2014

(a) Method 2-1-1A (which also includes paragraphs (b) through (f) of this section) as specified in sections 2.3.1.3 and 2.3.2.3 of this appendix;

(b) Method 2-1-1B (which also includes paragraphs (b) through (e), (g), and (i) of this section) as specified in sections 2.1.2 and 2.3.3.3 of this appendix;

(c) Section 3 “Terms and definitions” as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, 2.3.3.3, and 2.4.1 of this appendix;

(d) Section 4 “Symbols and abbreviations” as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, 2.3.3.3 and 2.4.1 of this appendix;

(e) Section 5 “Basic requirements” as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, 2.3.3.3, and 2.4.1 of this appendix;

(f) Section 6.1.2 “Method 2-1-1A—Direct measurement of input and output” (except Section 6.1.2.2, “Test Procedure”) as specified in sections 2.3.1.3 and 2.3.2.3 of this appendix;

(g) Section 6.1.3 “Method 2-1-1B—Summations of losses, additional load losses according to the method of residual losses” as specified in sections 2.1.2 and 2.3.3.3 of this appendix; and

(h) Section 7.1. “Preferred Testing Methods” as specified in section 2.4.1 of this appendix;

(i) Annex D, “Test report template for 2-1-1B” as specified in sections 2.1.2 and 2.3.3.3 of this appendix.

0.5. IEC 60051-1:2016

(a) Section 5.2 as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, and 2.3.3.3 of this appendix; and

(b) [Reserved].

0.6. IEC 61800-9-2:2017

(a) Section 3 “Terms, definitions, symbols, and abbreviated terms” as specified in sections 2.4.2 and 2.4.3 of this appendix;

(b) Section 7.7.2, “Input-output measurement of PDS losses” as specified in sections 2.4.2 and 2.4.3 of this appendix;

(d) Section 7.7.3.2. “Power analyser and transducers” as specified in sections 2.4.2 and 2.4.3 of this appendix;

(e) Section 7.7.3.3, “Mechanical Output of the motor” as specified in sections 2.4.2 and 2.4.3 of this appendix;

(f) Section 7.7.3.5, “PDS loss determination according to input-output method” as specified in sections 2.4.2 and 2.4.3 of this appendix;

(g) Section 7.10 “Testing Conditions for PDS testing” as specified in sections 2.4.2 and 2.4.3 of this appendix.

0.7. IEEE 112-2017

(a) Test Method A (which also includes paragraphs (c) through (g), (i), and (j) of this section) as specified in section 2.3.2.1 of this appendix;

(b) Test Method B (which also includes paragraphs (c) through (f), (h), (k) and (l) of this section) as specified in sections 2.1.3 and 2.3.3.1 of this appendix;

(d) Section 4, “Measurements” as specified in sections 2.1.3, 2.3.2.1, and 2.3.3.1 of this appendix;

(e) Section 5, “Machine losses and tests for losses” as specified in sections 2.1.3, 2.3.2.1, and 2.3.3.1 of this appendix;

(f) Section 6.1, “General” as specified in sections 2.1.3, 2.3.2.1, and 2.3.3.1 of this appendix;

(g) Section 6.3, “Efficiency test method A—Input-output” as specified in section 2.3.2.1 of this appendix;

(h) Section 6.4, “Efficiency test method B—Input-output” as specified in sections 2.1.3 and 2.3.3.1 of this appendix;

(i) Section 9.2, “Form A—Method A” as specified in section 2.3.2.1 of this appendix;

(j) Section 9.3, “Form A2—Method A calculations” as specified in section 2.3.2.1 of this appendix;

(k) Section 9.4, “Form B—Method B” as specified in sections 2.1.3, and 2.3.3.1 of this appendix; and

(l) Section 9.5, “Form B2—Method B calculations” as specified in sections 2.1.3 and 2.3.3.1 of this appendix.

0.8. IEEE 114-2010

(a) Section 3.2, “Test with load” as specified in section 2.3.1.1 of this appendix;

(b) Section 4, “Testing Facilities as specified in section 2.3.1.1 of this appendix;

(d) Section 6, “General” as specified in section 2.3.1.1 of this appendix;

(e) Section 7, “Type of loss” as specified in section 2.3.1.1 of this appendix;

(f) Section 8, “Efficiency and Power Factor” as specified in section 2.3.1.1 of this appendix;

(g) Section 10 “Temperature Tests” as specified in section 2.4.1.1 of this appendix;

(h) Annex A, Section A.3 “Determination of Motor Efficiency” as specified in section 2.4.1.1 of this appendix; and

(i) Annex A, Section A.4 “Explanatory notes for form 3, test data” as specified in section 2.4.1.1 of this appendix.

0.9. NEMA MG 1-2016

(a) Paragraph 1.40.1, “Continuous Rating” as specified in section 1.2 of this appendix;

(b) Paragraph 12.58.1, “Determination of Motor Efficiency and Losses” as specified in the introductory paragraph to section 2.1 of this appendix, and

(d) Paragraph 34.2.2 “AO Temperature Test Procedure 2—Target Temperature with Airflow” as specified in section 2.2 of this appendix;

(e) Paragraph 34.4, “AO Temperature Test Procedure 2—Target Temperature with Airflow” as specified in section 2.2 of this appendix.

1. Scope and Definitions

1.1 Scope. The test procedure applies to the following categories of electric motors: Electric motors that meet the criteria listed at § 431.25(g); Electric motors above 500 horsepower; Small, non-small-electric-motor electric motor; and Electric motors that are synchronous motors; and excludes the following categories of motors: inverter-only electric motors that are air-over electric motors, component sets of an electric motor, liquid-cooled electric motors, and submersible electric motors.

1.2 Definitions. Definitions contained in §§ 431.2 and 431.12 are applicable to this appendix, in addition to the following terms (“MG1” refers to NEMA MG 1-2016 and IEC refers to IEC 60034-1:2010 and IEC 60072-1):

Electric motors above 500 horsepower is defined as an electric motor having a rated horsepower above 500 and up to 750 hp that meets the criteria listed at § 431.25(g), with the exception of criteria § 431.25(g)(8).

Small, non-small-electric-motor electric motor (“SNEM”) means an electric motor that:

(a) Is not a small electric motor, as defined § 431.442 and is not a dedicated-purpose pool pump motor as defined at § 431.483;

(b) Is rated for continuous duty (MG 1) operation or for duty type S1 (IEC);

(c) Operates on polyphase or single-phase alternating current 60-hertz (Hz) sinusoidal line power; or is used with an inverter that operates on polyphase or single-phase alternating current 60-hertz (Hz) sinusoidal line power;

(d) Is rated for 600 volts or less;

(e) Is a single-speed induction motor capable of operating without an inverter or is an inverter-only electric motor;

(f) Produces a rated motor horsepower greater than or equal to 0.25 horsepower (0.18 kW); and

(g) Is built in the following frame sizes: any two-, or three-digit NEMA frame size (or IEC metric equivalent) if the motor operates on single-phase power; any two-, or three-digit NEMA frame size (or IEC metric equivalent) if the motor operates on polyphase power, and has a rated motor horsepower less than 1 horsepower (0.75 kW); or a two-digit NEMA frame size (or IEC metric equivalent), if the motor operates on polyphase power, has a rated motor horsepower equal to or greater than 1 horsepower (0.75 kW), and is not an enclosed 56 NEMA frame size (or IEC metric equivalent).

Synchronous Electric Motor means an electric motor that:

(a) Is not a dedicated-purpose pool pump motor as defined at § 431.483 or is not an air-over electric motor;

(b) Is a synchronous electric motor;

(d) Operates on polyphase or single-phase alternating current 60-hertz (Hz) sinusoidal line power; or is used with an inverter that operates on polyphase or single-phase alternating current 60-hertz (Hz) sinusoidal line power;

(e) Is rated 600 volts or less;

(f) Produces at least 0.25 hp (0.18 kW) but not greater than 750 hp (559 kW).

2. Test Procedures

2.1. Test Procedures for Electric Motors that meet the criteria listed at § 431.25(g), and electric motors above 500 horsepower that are capable of operating without an inverter. Air-over electric motors must be tested in accordance with Section 2.2. Inverter-only electric motors must be tested in accordance with 2.4.

Efficiency and losses must be determined in accordance with NEMA MG 1-2016, Paragraph 12.58.1, “Determination of Motor Efficiency and Losses,” or one of the following testing methods:

2.1.1. CSA C390-10 (see section 0.1 of this appendix)

2.1.2. IEC 60034-2-1:2014, Method 2-1-1B (see section 0.4(b) of this appendix). The supply voltage shall be in accordance with Section 7.2 of IEC 60034-1:2010. The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010, using the shortest possible time instead of the time interval specified in Table 5 to IEC 60034-1:2010, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with Section 5.2 of IEC 60051-1:2016, or

2.1.3. IEEE 112-2017, Test Method B (see section 0.7(b) of this appendix).

2.2. Test Procedures for Air-Over Electric Motors

Except noted otherwise in section 2.2.1 and 2.2.2 of this appendix, efficiency and losses of air-over electric motors must be determined in accordance with NEMA MG 1-2016 (excluding Paragraph 12.58.1).

2.2.1. The provisions in Paragraph 34.4.1.a.1 of NEMA MG 1-2016 related to the determination of the target temperature for polyphase motors must be replaced by a single target temperature of 75 °C for all insulation classes.

2.2.2. The industry standards listed in Paragraph 34.1 of NEMA MG 1-2016, “Applicable Motor Efficiency Test Methods” must correspond to the versions identified in section 0 of this appendix, specifically IEEE 112-2017, IEEE 114-2010, CSA C390-10, CSA C747-09, and IEC 60034-2-1:2014. In addition, when testing in accordance with IEC 60034-2-1:2014, the additional testing instructions in section 2.1.2 of this appendix apply.

2.3. Test Procedures for SNEMs capable of operating without an inverter. Air-over SNEMs must be tested in accordance with section 2.2. of this appendix. Inverter-only SNEMs must be tested in accordance with section 2.4. of this appendix.

2.3.1. The efficiencies and losses of single-phase SNEMs that are not air-over electric motors and are capable of operating without an inverter, are determined using one of the following methods:

2.3.1.1. IEEE 114-2010 (see section 0.8 of this appendix);

2.3.1.2. CSA C747-09 (see section 0.2 of this appendix), or

2.3.1.3. IEC 60034-2-1:2014 Method 2-1-1A (see section 0.4(a) of this appendix),. The supply voltage shall be in accordance with Section 7.2 of IEC 60034-1:2010. The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010, using the shortest possible time instead of the time interval specified in Table 5 of IEC 60034-1:2010, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with Section 5.2 of IEC 60051-1:2016.

2.3.1.3.1. Additional IEC 60034-2-1:2014 Method 2-1-1A Torque Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to measure motor performance, follow the instructions in section 2.3.1.3.2. of this appendix, instead of Section 6.1.2.2 of IEC 60034-2-1:2014;

2.3.1.3.2. Couple the machine under test to a load machine. Measure torque using an in-line, shaft-coupled, rotating torque transducer or stationary, stator reaction torque transducer. Operate the machine under test at the rated load until thermal equilibrium is achieved (rate of change 1 K or less per half hour). Record U, I, Pel, n, T, θc.

2.3.2. The efficiencies and losses of polyphase electric motors considered with rated horsepower less than 1 that are not air-over electric motors, and are capable of operating without an inverter, are determined using one of the following methods:

2.3.2.1. IEEE 112-2017 Test Method A (see section 0.7(a) of this appendix);

2.3.2.2. CSA C747-09 (see section 0.2 of this appendix); or

2.3.2.3. IEC 60034-2-1:2014 Method 2-1-1A (see section 0.4(a) of this appendix). The supply voltage shall be in accordance with Section 7.2 of IEC 60034-1:2010. The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010 using the shortest possible time instead of the time interval specified in Table 5 of IEC 60034-1:2010, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with Section 5.2 of IEC 60051-1:2016.

2.3.2.3.1. Additional IEC 60034-2-1:2014 Method 2-1-1A Torque Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to measure motor performance, follow the instructions in section 2.3.2.3.2. of this appendix, instead of Section 6.1.2.2 of IEC 60034-2-1:2014;

2.3.2.3.2. Couple the machine under test to load machine. Measure torque using an in-line shaft-coupled, rotating torque transducer or stationary, stator reaction torque transducer. Operate the machine under test at the rated load until thermal equilibrium is achieved (rate of change 1 K or less per half hour). Record U, I, Pel, n, T, θc.

2.3.3. The efficiencies and losses of polyphase SNEMs with rated horsepower equal to or greater than 1 that are not air-over electric motors, and are capable of operating without an inverter, are determined using one of the following methods:

2.3.3.1. IEEE 112-2017 Test Method B (see section 0.7(b) of this appendix);

2.3.3.2. CSA C390-10 (see section 0.1 of this appendix); or

2.3.3.3. IEC 60034-2-1:2014 Method 2-1-1B (see section 0.4(b) of this appendix). The supply voltage shall be in accordance with Section 7.2 of IEC 60034-1:2010. The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010 using the shortest possible time instead of the time interval specified in Table 5 of IEC 60034-1:2010, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with Section 5.2 of IEC 60051-1:2016.

2.4. Test Procedures for Electric Motors that are Synchronous Motors and Inverter-only Electric Motors

Section 2.4.1 of this appendix applies to electric motors that are synchronous motors that do not require an inverter to operate. Sections 2.4.2. and 2.4.3. of this appendix apply to electric motors that are synchronous motors and are inverter-only; and to induction electric motors that are inverter-only electric motors.

2.4.1. The efficiencies and losses of electric motors that are synchronous motors that do not require an inverter to operate, are determined in accordance with IEC 60034-2-1:2014, Section 3 “Terms and definitions,” Section 4 “Symbols and abbreviations,” Section 5 “Basic requirements,” and Section 7.1. “Preferred Testing Methods.”

2.4.2. The efficiencies and losses of electric motors (inclusive of the inverter) that are that are inverter-only and do not include an inverter, are determined in accordance with IEC 61800-9-2:2017. Test must be conducted using an inverter that is listed as recommended in the manufacturer's catalog or that is offered for sale with the electric motor. If more than one inverter is available in manufacturer's catalogs or if more than one inverter is offered for sale with the electric motor, test using the least efficient inverter. Record the manufacturer, brand and model number of the inverter used for the test. If there are no inverters specified in the manufacturer catalogs or offered for sale with the electric motor, testing must be conducted using an inverter that meets the criteria described in section 2.4.2.2. of this appendix.

2.4.2.1. The inverter shall be set up according to the manufacturer's instructional and operational manual included with the product. Manufacturers shall also record switching frequency in Hz, max frequency in Hz, Max output voltage in V, motor control method ( i.e., V/f ratio, sensor less vector, etc.), load profile setting (constant torque, variable torque, etc.), and saving energy mode (if used). Deviation from the resulting settings, such as switching frequency or load torque curves for the purpose of optimizing test results shall not be permitted.

2.4.2.2. If there are no inverters specified in the manufacturer catalogs or offered for sale with the electric motor, test with a two-level voltage source inverter. No additional components influencing output voltage or output current shall be installed between the inverter and the motor, except those required for the measuring instruments. For motors with a rated speed up to 3 600 min-1, the switching frequency shall not be higher than 5 kHz. For motors with a rated speed above 3 600 min-1, the switching frequency shall not be higher than 10 kHz. Record the manufacturer, brand and model number of the inverter used for the test.

2.4.3. The efficiencies and losses of electric motors (inclusive of the inverter) that are inverter-only and include an inverter are determined in accordance with IEC 61800-9-2:2017.

2.4.3.1. The inverter shall be set up according to the manufacturer's instructional and operational manual included with the product. Manufacturers shall also record switching frequency in Hz, max frequency in Hz, Max output voltage in V, motor control method ( i.e., V/f ratio, sensor less vector, etc.), load profile setting (constant torque, variable torque, etc.), and saving energy mode (if used). Deviation from the resulting settings, such as switching frequency or load torque curves for the purpose of optimizing test results shall not be permitted.

3. Procedures for the Testing of Certain Electric Motor Categories

Prior to testing according to section 2 of this appendix, each basic model of the electric motor categories listed below must be set up in accordance with the instructions of this section to ensure consistent test results. These steps are designed to enable a motor to be attached to a dynamometer and run continuously for testing purposes. For the purposes of this appendix, a “standard bearing” is a 600- or 6000-series, either open or grease-lubricated double-shielded, single-row, deep groove, radial ball bearing.

3.1. Brake Electric Motors:

Brake electric motors shall be tested with the brake component powered separately from the motor such that it does not activate during testing. Additionally, for any 10-minute period during the test and while the brake is being powered such that it remains disengaged from the motor shaft, record the power consumed ( i.e., watts). Only power used to drive the motor is to be included in the efficiency calculation; power supplied to prevent the brake from engaging is not included in this calculation. In lieu of powering the brake separately, the brake may be disengaged mechanically, if such a mechanism exists and if the use of this mechanism does not yield a different efficiency value than separately powering the brake electrically.

3.2. Close-Coupled Pump Electric Motors and Electric Motors with Single or Double Shaft Extensions of Non-Standard Dimensions or Design:

To attach the unit under test to a dynamometer, close-coupled pump electric motors and electric motors with single or double shaft extensions of non-standard dimensions or design must be tested using a special coupling adapter.

3.3. Electric Motors with Non-Standard Endshields or Flanges:

If it is not possible to connect the electric motor to a dynamometer with the non-standard endshield or flange in place, the testing laboratory shall replace the non-standard endshield or flange with an endshield or flange meeting NEMA or IEC specifications. The replacement component should be obtained from the manufacturer or, if the manufacturer chooses, machined by the testing laboratory after consulting with the manufacturer regarding the critical characteristics of the endshield.

3.4. Electric Motors with Non-Standard Bases, Feet or Mounting Configurations:

An electric motor with a non-standard base, feet, or mounting configuration may be mounted on the test equipment using adaptive fixtures for testing as long as the mounting or use of adaptive mounting fixtures does not have an adverse impact on the performance of the electric motor, particularly on the cooling of the motor.

3.5. Electric Motors with a Separately-Powered Blower:

For electric motors furnished with a separately-powered blower, the losses from the blower's motor should not be included in any efficiency calculation. This can be done either by powering the blower's motor by a source separate from the source powering the electric motor under test or by connecting leads such that they only measure the power of the motor under test.

3.6. Immersible Electric Motors:

Immersible electric motors shall be tested with all contact seals removed but be otherwise unmodified.

3.7. Partial Electric Motors:

Partial electric motors shall be disconnected from their mated piece of equipment. After disconnection from the equipment, standard bearings and/or endshields shall be added to the motor, such that it is capable of operation. If an endshield is necessary, an endshield meeting NEMA or IEC specifications should be obtained from the manufacturer or, if the manufacturer chooses, machined by the testing laboratory after consulting with the manufacturer regarding the critical characteristics of the endshield.

3.8. Vertical Electric Motors and Electric Motors with Bearings Incapable of Horizontal Operation:

Vertical electric motors and electric motors with thrust bearings shall be tested in a horizontal or vertical configuration in accordance with the applicable test procedure under section 2 through section 2.4.3. of this appendix, depending on the testing facility's capabilities and construction of the motor, except if the motor is a vertical solid shaft normal thrust general purpose electric motor (subtype II), in which case it shall be tested in a horizontal configuration in accordance with the applicable test procedure under section 2 through section 2.4.3. of this appendix. Preference shall be given to testing a motor in its native orientation. If the unit under test cannot be reoriented horizontally due to its bearing construction, the electric motor's bearing(s) shall be removed and replaced with standard bearings. If the unit under test contains oil-lubricated bearings, its bearings shall be removed and replaced with standard bearings. If necessary, the unit under test may be connected to the dynamometer using a coupling of torsional rigidity greater than or equal to that of the motor shaft.

Appendix C to Subpart B of Part 431—Compliance Certification

Certification of Compliance With Energy Efficiency Standards for Electric Motors (Office of Management and Budget Control Number: 1910-1400. Expires February 13, 2014)

An electronic form is available at https://www.regulations.doe.gov/ccms/.

1. Name and Address of Company (the “company”):

2. Name(s) to be Marked on Electric Motors to Which this Compliance Certification Applies: 3. If manufacturer or private labeler wishes to receive a unique Compliance Certification number for use with any particular brand name, trademark, or other label name, fill out the following two items: A. List each brand name, trademark, or other label name for which the company requests a Compliance Certification number: B. List other name(s), if any, under which the company sells electric motors (if not listed in item 2 above): Submit electronically at https://www.regulations.doe.gov/ccms. Submit paper form by Certified Mail to: U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies (EE-2J), Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585-0121. This Compliance Certification reports on and certifies compliance with requirements contained in 10 CFR Part 431 (Energy Conservation Program for Certain Commercial and Industrial Equipment) and Part C of the Energy Policy and Conservation Act (Pub. L. 94-163), and amendments thereto. It is signed by a responsible official of the above named company. Attached and incorporated as part of this Compliance Certification is a Listing of Electric Motor Efficiencies. For each rating of electric motor* for which the Listing specifies the nominal full load efficiency of a basic model, the company distributes no less efficient basic model with that rating and all basic models with that rating comply with the applicable energy efficiency standard. * For this purpose, the term “rating” means one of the combinations of an electric motor's horsepower (or standard kilowatt equivalent), number of poles, motor type, and open or enclosed construction, with respect to which § 431.25 of 10 CFR Part 431 prescribes nominal full load efficiency standards. Person to Contact for Further Information: Name: Address: Telephone Number: Facsimile Number: If any part of this Compliance Certification, including the Attachment, was prepared by a third party organization under the provisions of 10 CFR 431.36, the company official authorizing third party representations: Name: Address: Telephone Number: Facsimile Number: Third Party Organization Officially Acting as Representative: Third Party Organization: Responsible Person at the Organization: Address: Telephone Number: Facsimile Number: All required determinations on which this Compliance Certification is based were made in conformance with the applicable requirements in 10 CFR Part 431, subpart B. All information reported in this Compliance Certification is true, accurate, and complete. The company is aware of the penalties associated with violations of the Act and the regulations thereunder, and is also aware of the provisions contained in 18 U.S.C. 1001, which prohibits knowingly making false statements to the Federal Government. Signature: Date: Name: Title: Firm or Organization: Attachment of Certification of Compliance With Energy Efficiency Standards for Electric Motor Efficiencies Date: Name of Company: Motor Type (i.e., general purpose electric motor (subtype I), fire pump electric motor, general purpose electric motor (subtype II), NEMA Design B general purpose electric motor) Motor horsepower/standard kilowatt equivalent Least efficient basic model—(model numbers(s)) Nominal full-load efficiency Open motors (number of poles) Enclosed motors (number of poles) 8 6 4 2 8 6 4 2 1/.75 ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ 1.5/1.1 ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ 2/1.5 ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ 3/2.2 ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ 5/3.7 ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ Etc ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ Note: Place an asterisk beside each reported nominal full load efficiency that is determined by actual testing rather than by application of an alternative efficiency determination method. Also list below additional basic models that were subjected to actual testing. Basic Model means all units of a given type of electric motor (or class thereof) manufactured by a single manufacturer, and which (i) have the same rating, (ii) have electrical design characteristics that are essentially identical, and (iii) do not have any differing physical or functional characteristics that affect energy consumption or efficiency. Rating means one of the combinations of an electric motor's horsepower (or standard kilowatt equivalent), number of poles, motor type, and open or enclosed construction, with respect to which § 431.25 of 10 CFR Part 431 prescribes nominal full load efficiency standards. Models Actually Tested and Not Previously Identified Motor horsepower/standard kilowatt equivalent Least efficient basic model—(model numbers(s)) Nominal full-load efficiency Open motors (number of poles) Enclosed motors (number of poles) 8 6 4 2 8 6 4 2 ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ Etc ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ ______ Subpart C—Commercial Refrigerators, Freezers and Refrigerator-Freezers § 431.61 Purpose and scope. This subpart contains energy conservation requirements for commercial refrigerators, freezers and refrigerator-freezers, pursuant to Part C of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317. § 431.62 Definitions concerning commercial refrigerators, freezers and refrigerator-freezers. Air-curtain angle means: (1) For equipment without doors and without a discharge air grille or discharge air honeycomb, the angle between a vertical line extended down from the highest point on the manufacturer's recommended load limit line and the load limit line itself, when the equipment is viewed in cross-section; and (2) For all other equipment without doors, the angle formed between a vertical line and the straight line drawn by connecting the point at the inside edge of the discharge air opening with the point at the inside edge of the return air opening, when the equipment is viewed in cross-section. Basic model means all commercial refrigeration equipment manufactured by one manufacturer within a single equipment class, having the same primary energy source, and that have essentially identical electrical, physical, and functional characteristics that affect energy consumption. Blast chiller means commercial refrigeration equipment, other than a blast freezer, that is capable of the rapid temperature pull-down of hot food products from 135 °F to 40 °F within a period of four hours, when measured according to the test procedure at appendix D to subpart C of part 431. Blast freezer means commercial refrigeration equipment that is capable of the rapid temperature pull-down of hot food products from 135 °F to 40 °F within a period of four hours and capable of achieving a final product temperature of less than 32 °F, when measured according to the test procedure at appendix D to subpart C of this part. Buffet table or preparation table means a commercial refrigerator with an open-top refrigerated area, that may or may not include a lid, for displaying or storing merchandise and other perishable materials in pans or other removable containers for customer self-service or food production and assembly. The unit may or may not be equipped with a refrigerated storage compartment underneath the pans or other removable containers that is not thermally separated from the open-top refrigerated area. Chef base or griddle stand means commercial refrigeration equipment that has a maximum height of 32 in., including any legs or casters, and that is designed and marketed for the express purpose of having a griddle or other cooking appliance placed on top of it that is capable of reaching temperatures hot enough to cook food. Closed solid means equipment with doors, and in which more than 75 percent of the outer surface area of all doors on a unit are not transparent. Closed transparent means equipment with doors, and in which 25 percent or more of the outer surface area of all doors on the unit are transparent. Commercial freezer means a unit of commercial refrigeration equipment in which all refrigerated compartments in the unit are capable of operating below 32 °F (±2 °F). Commercial hybrid means a unit of commercial refrigeration equipment: (1) That consists of two or more thermally separated refrigerated compartments that are in two or more different equipment families, and (2) That is sold as a single unit. Commercial refrigerator means a unit of commercial refrigeration equipment in which all refrigerated compartments in the unit are capable of operating at or above 32 °F (±2 °F). Commercial refrigerator-freezer means a unit of commercial refrigeration equipment consisting of two or more refrigerated compartments where at least one refrigerated compartment is capable of operating at or above 32 °F (±2 °F) and at least one refrigerated compartment is capable of operating below 32 °F (±2 °F). Commercial refrigerator, freezer, and refrigerator-freezer means refrigeration equipment that— (1) Is not a consumer product (as defined in § 430.2 of this chapter); (2) Is not designed and marketed exclusively for medical, scientific, or research purposes; (3) Operates at a chilled, frozen, combination chilled and frozen, or variable temperature; (4) Displays or stores merchandise and other perishable materials horizontally, semi-vertically, or vertically; (5) Has transparent or solid doors, sliding or hinged doors, a combination of hinged, sliding, transparent, or solid doors, or no doors; (6) Is designed for pull-down temperature applications or holding temperature applications; and (7) Is connected to a self-contained condensing unit or to a remote condensing unit. Customer order storage cabinet means a commercial refrigerator, freezer, or refrigerator-freezer that stores customer orders and includes individual, secured compartments with doors that are accessible to customers for order retrieval. Door means a movable panel that separates the interior volume of a unit of commercial refrigeration equipment from the ambient environment and is designed to facilitate access to the refrigerated space for the purpose of loading and unloading product. This includes hinged doors, sliding doors, and drawers. This does not include night curtains. Door angle means: (1) For equipment with flat doors, the angle between a vertical line and the line formed by the plane of the door, when the equipment is viewed in cross-section; and (2) For equipment with curved doors, the angle formed between a vertical line and the straight line drawn by connecting the top and bottom points where the display area glass joins the cabinet, when the equipment is viewed in cross-section. Fully open (for drawers) means opened not less than 80% of their full travel. High-temperature refrigerator means a commercial refrigerator that is not capable of an operating temperature at or below 40.0 °F. Holding temperature application means a use of commercial refrigeration equipment other than a pull-down temperature application, except a blast chiller or freezer. Horizontal Closed means equipment with hinged or sliding doors and a door angle greater than or equal to 45°. Horizontal Open means equipment without doors and an air-curtain angle greater than or equal to 80° from the vertical. Ice-cream freezer means: (1) Prior to the compliance date(s) of any amended energy conservation standard(s) issued after January 1, 2023 for ice-cream freezers (see § 431.66), a commercial freezer that is capable of an operating temperature at or below −5.0 °F and that the manufacturer designs, markets, or intends specifically for the storing, displaying, or dispensing of ice cream or other frozen desserts; or (2) Upon the compliance date(s) of any amended energy conservation standard(s) issued after January 1, 2023 for ice-cream freezers (see § 431.66), a commercial freezer that is capable of an operating temperature at or below −13.0 °F and that the manufacturer designs, markets, or intends specifically for the storing, displaying, or dispensing of ice cream or other frozen desserts. Integrated average temperature means the average temperature of all test package measurements taken during the test. Lighting occupancy sensor means a device which uses passive infrared, ultrasonic, or other motion-sensing technology to automatically turn off or dim lights within the equipment when no motion is detected in the sensor's coverage area for a certain preset period of time. Lowest application product temperature means the integrated average temperature (or for buffet tables or preparation tables, the average pan temperature of all measurements taken during the test) at which a given basic model is capable of consistently operating that is closest to the integrated average temperature (or for buffet tables or preparation tables, the average pan temperature of all measurements taken during the test) specified for testing under the DOE test procedure (see § 431.64). Low-temperature freezer means a commercial freezer that is not an ice-cream freezer. Medium-temperature refrigerator means a commercial refrigerator that is capable of an operating temperature at or below 40.0 °F. Mobile refrigerated cabinet means commercial refrigeration equipment that is designed and marketed to operate only without a continuous power supply. Night curtain means a device which is temporarily deployed to decrease air exchange and heat transfer between the refrigerated case and the surrounding environment. Operating temperature means the range of integrated average temperatures at which a self-contained commercial refrigeration unit or remote-condensing commercial refrigeration unit with a thermostat is capable of operating or, in the case of a remote-condensing commercial refrigeration unit without a thermostat, the range of integrated average temperatures at which the unit is marketed, designed, or intended to operate. Pull-down temperature application means a commercial refrigerator with doors that, when fully loaded with 12-ounce beverage cans at 90 degrees F, can cool those beverages to an average stable temperature of 38 degrees F in 12 hours or less. Rating temperature means the integrated average temperature a unit must maintain during testing ( i.e., either as listed in the table at § 431.66(d)(1) or the lowest application product temperature). Remote condensing unit means a factory-made assembly of refrigerating components designed to compress and liquefy a specific refrigerant that is remotely located from the refrigerated equipment and consists of one or more refrigerant compressors, refrigerant condensers, condenser fans and motors, and factory supplied accessories. Scheduled lighting control means a device which automatically shuts off or dims the lighting in a display case at scheduled times throughout the day. Self-contained condensing unit means a factory-made assembly of refrigerating components designed to compress and liquefy a specific refrigerant that is an integral part of the refrigerated equipment and consists of one or more refrigerant compressors, refrigerant condensers, condenser fans and motors, and factory-supplied accessories. Semivertical Open means equipment without doors and an air-curtain angle greater than or equal to 10° and less than 80° from the vertical. Service over counter means equipment that has sliding or hinged doors in the back intended for use by sales personnel, with glass or other transparent material in the front for displaying merchandise, and that has a height not greater than 66 in. and is intended to serve as a counter for transactions between sales personnel and customers. Test package means a packaged material that is used as a standard product temperature-measuring device. Transparent means greater than or equal to 45 percent light transmittance, as determined in accordance with ASTM E1084-86 (Reapproved 2009) (incorporated by reference, see § 431.63) at normal incidence and in the intended direction of viewing. Vertical Closed means equipment with hinged or sliding doors and a door angle less than 45°. Vertical Open means equipment without doors and an air-curtain angle greater than or equal to 0° and less than 10° from the vertical. Wedge case means a commercial refrigerator, freezer, or refrigerator-freezer that forms the transition between two regularly shaped display cases. Test Procedures § 431.63 Materials incorporated by reference. (a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 1000 Independence Avenue SW, EE-5B, Washington, DC 20024, (202)-586-9127, Buildings@ee.doe.gov, www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email : fr.inspection@nara.gov. The material may be obtained from the sources in the following paragraphs of this section: (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, 212-642-4900, or go to http://www.ansi.org: (1) ANSI /AHAM HRF-1-2004, Energy, Performance and Capacity of Household Refrigerators, Refrigerator-Freezers and Freezers , approved July 7, 2004, IBR approved for § 431.64 and appendices A and B to subpart C to part 431. (2) AHAM HRF-1-2008 (“HRF-1-2008”), Association of Home Appliance Manufacturers, Energy and Internal Volume of Refrigerating Appliances (2008) including Errata to Energy and Internal Volume of Refrigerating Appliances, Correction Sheet issued November 17, 2009, IBR approved for § 431.64 and appendices A and B to subpart C to part 431. (c) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Blvd., Suite 500, Arlington, VA 22201; (703) 524-8800; ahri@ahrinet.org; www.ahrinet.org/. (1) ARI Standard 1200-2006, Performance Rating of Commercial Refrigerated Display Merchandisers and Storage Cabinets, 2006; IBR approved for § 431.66. (2) AHRI Standard 1200 (I-P)-2010 (“AHRI Standard 1200 (I-P)-2010”), 2010 Standard for Performance Rating of Commercial Refrigerated Display Merchandisers and Storage Cabinets, 2010; IBR approved for § 431.66. (3) AHRI Standard 1200-2023 (I-P) (“AHRI 1200-2023”), 2023 Standard for Performance Rating of Commercial Refrigerated Display Merchandisers and Storage Cabinets, copyright 2023; IBR approved for appendices B, C, and D to this subpart. (4) AHRI Standard 1320-2011 (I-P), (“AHRI 1320-2011”) 2011 Standard for Performance Rating of Commercial Refrigerated Display Merchandisers and Storage Cabinets for Use With Secondary Refrigerants, copyright 2011; IBR approved for appendix B to this subpart. (d) ASHRAE. The American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc., 1971 Tullie Circle NE, Atlanta, GA 30329; (404) 636-8400; ashrae@ashrae.org; www.ashrae.org/. (1) ANSI/ASHRAE Standard 72-2022 (ASHRAE 72-2022), Method of Testing Open and Closed Commercial Refrigerators and Freezers, approved June 30, 2022; IBR approved for appendices B, C, and D to this subpart. (2) Errata sheet for ANSI/ASHRAE Standard 72-2022 (ASHRAE 72-2022 Errata), Method of Testing Open and Closed Commercial Refrigerators and Freezers, November 11, 2022; IBR approved for appendices B, C, and D to this subpart. (e) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428; (877) 909-2786; www.astm.org/. (1) ASTM E1084-86 (Reapproved 2009), Standard Test Method for Solar Transmittance (Terrestrial) of Sheet Materials Using Sunlight, approved April 1, 2009; IBR approved for § 431.62. (2) ASTM F2143-16, Standard Test Method for Performance of Refrigerated Buffet and Preparation Tables, approved May 1, 2016; IBR approved for appendix C to this subpart. § 431.64 Uniform test method for the measurement of energy consumption of commercial refrigerators, freezers, and refrigerator-freezers. (a) Scope. This section provides the test procedures for measuring, pursuant to EPCA, the energy consumption or energy efficiency for a given equipment category of commercial refrigerators, freezers, and refrigerator-freezers. (b) Testing and calculations. (1) Determine the daily energy consumption and volume or total display area of each covered commercial refrigerator, freezer, or refrigerator-freezer by conducting the appropriate test procedure set forth below in appendix B, to this subpart. The daily energy consumption of commercial refrigeration equipment shall be calculated using raw measured values and the final test results shall be reported in increments of 0.01 kWh/day. (2) Determine the daily energy consumption and pan storage volume, pan display area, and refrigerated volume of each buffet table or preparation table by conducting the appropriate test procedure set forth below in appendix C to this subpart. The daily energy consumption shall be calculated using raw measured values and the final test results shall be recorded in increments of 0.01 kWh/day. (3) Determine the energy consumption per weight of product and product capacity of each blast chiller and blast freezer by conducting the appropriate test procedure set forth below in appendix D to this subpart. The energy consumption per weight of product shall be calculated using raw measured values and the final test results shall be recorded in increments of 0.01 kWh/lb. Energy Conservation Standards § 431.66 Energy conservation standards and their effective dates. (a) In this section— (1) The term “AV” means the adjusted volume (ft 3 ) (defined as 1.63 × frozen temperature compartment volume (ft 3 ) + chilled temperature compartment volume (ft 3 )) with compartment volumes measured in accordance with the Association of Home Appliance Manufacturers Standard HRF1-1979. (2) The term “V” means the chilled or frozen compartment volume (ft 3 ) (as defined in the Association of Home Appliance Manufacturers Standard HRF1-1979). (3) For the purpose of paragraph (d) of this section, the term “TDA” means the total display area (ft 2 ) of the case, as defined in ARI Standard 1200-2006, appendix D (incorporated by reference, see § 431.63). For the purpose of paragraph (e) of this section, the term “TDA” means the total display area (ft 2 ) of the case, as defined in AHRI Standard 1200 (I-P)-2010, appendix D (incorporated by reference, see § 431.63). (b)(1) Each commercial refrigerator, freezer, and refrigerator-freezer with a self-contained condensing unit designed for holding temperature applications manufactured on or after January 1, 2010 and before March 27, 2017 shall have a daily energy consumption (in kilowatt-hours per day) that does not exceed the following: Category Maximum daily energy consumption (kilowatt hours per day) Refrigerators with solid doors 0.10V + 2.04. Refrigerators with transparent doors 0.12V + 3.34. Freezers with solid doors 0.40V + 1.38. Freezers with transparent doors 0.75V + 4.10. Refrigerator/freezers with solid doors the greater of 0.27AV-0.71 or 0.70. (2) Each service over the counter, self-contained, medium temperature commercial refrigerator (SOC-SC-M) manufactured on or after January 1, 2012, shall have a total daily energy consumption (in kilowatt hours per day) of not more than 0.6 × TDA + 1.0. As used in the preceding sentence, “TDA” means the total display area (ft 2 ) of the case, as defined in the AHRI Standard 1200 (I-P)-2010, appendix D (incorporated by reference, see § 431.63). (c) Each commercial refrigerator with a self-contained condensing unit designed for pull-down temperature applications and transparent doors manufactured on or after January 1, 2010 and before March 27, 2017 shall have a daily energy consumption (in kilowatt-hours per day) of not more than 0.126V + 3.51. (d) Each commercial refrigerator, freezer, and refrigerator-freezer with a self-contained condensing unit and without doors; commercial refrigerator, freezer, and refrigerator-freezer with a remote condensing unit; and commercial ice-cream freezer manufactured on or after January 1, 2012 and before March 27, 2017 shall have a daily energy consumption (in kilowatt-hours per day) that does not exceed the levels specified: (1) For equipment other than hybrid equipment, refrigerator-freezers or wedge cases: Equipment category Condensing unit configuration Equipment family Rating temp. (°F) Operating temp. (°F) Equipment class designation * Maximum daily energy consumption (kWh/day) Remote Condensing Commercial Refrigerators and Commercial Freezers Remote (RC) Vertical Open (VOP) 38 (M) 0 (L) ≥32±2 <32±2 VOP.RC.M VOP.RC.L 0.82 × TDA + 4.07 2.27 × TDA + 6.85 Semivertical Open (SVO) 38 (M) 0 (L) ≥32±2 <32±2 SVO.RC.M SVO.RC.L 0.83 × TDA + 3.18 2.27 × TDA + 6.85 Horizontal Open (HZO) 38 (M) 0 (L) ≥32±2 <32±2 HZO.RC.M HZO.RC.L 0.35 × TDA + 2.88 0.57 × TDA + 6.88 Vertical Closed Transparent (VCT) 38 (M) 0 (L) ≥32±2 <32±2 VCT.RC.M VCT.RC.L 0.22 × TDA + 1.95 0.56 × TDA + 2.61 Horizontal Closed Transparent (HCT) 38 (M) 0 (L) ≥32±2 <32±2 HCT.RC.M HCT.RC.L 0.16 × TDA + 0.13 0.34 × TDA + 0.26 Vertical Closed Solid (VCS) 38 (M) 0 (L) ≥32±2 <32±2 VCS.RC.M VCS.RC.L 0.11 × V + 0.26 0.23 × V + 0.54 Horizontal Closed Solid (HCS) 38 (M) 0 (L) ≥32±2 <32±2 HCS.RC.M HCS.RC.L 0.11 × V + 0.26 0.23 × V + 0.54 Service Over Counter (SOC) 38 (M) 0 (L) ≥32±2 <32±2 SOC.RC.M SOC.RC.L 0.51 × TDA + 0.11 1.08 × TDA + 0.22 Self-Contained Commercial Refrigerators and Commercial Freezers without Doors Self-Contained (SC) Vertical Open (VOP) 38 (M) 0 (L) ≥32±2 <32±2 VOP.SC.M VOP.SC.L 1.74 × TDA + 4.71 4.37 × TDA + 11.82 Semivertical Open (SVO) 38 (M) 0 (L) ≥32±2 <32±2 SVO.SC.M SVO.SC.L 1.73 × TDA + 4.59 4.34 × TDA + 11.51 Horizontal Open 38 (M) 0 (L) ≥32±2 <32±2 HZO.SC.M HZO.SC.L 0.77 × TDA + 5.55 1.92 × TDA + 7.08 Commercial Ice-Cream Freezers Remote (RC) Vertical Open (VOP) −15 (I) ≤−5±2** ** VOP.RC.I 2.89 × TDA + 8.7 Semivertical Open (SVO) SVO.RC.I 2.89 × TDA + 8.7 Horizontal Open (HZO) HZO.RC.I 0.72 × TDA + 8.74 Vertical Closed Transparent (VCT) VCT.RC.I 0.66 × TDA + 3.05 Horizontal Closed Transparent (HCT) HCT.RC.I 0.4 × TDA + 0.31 Vertical Closed Solid (VCS) VCS.RC.I 0.27 × V + 0.63 Horizontal Closed Solid (HCS) HCS.RC.I 0.27 × V + 0.63 Service Over Counter (SVO) SOC.RC.I 1.26 × TDA + 0.26 Self-Contained (SC) Vertical Open (VOP) VOP.SC.I 5.55 × TDA + 15.02 Semivertical Open (SVO) SVO.SC.I 5.52 × TDA + 14.63 Horizontal Open (HZO) HZO.SC.I 2.44 × TDA + 9 Vertical Closed Transparent (VCT) VCT.SC.I 0.67 × TDA + 3.29 Horizontal Closed Transparent (HCT) HCT.SC.I 0.56 × TDA + 0.43 Vertical Closed Solid (VCS) VCS.SC.I 0.38 × V + 0.88 Horizontal Closed Solid (HCS) HCS.SC.I 0.38 × V + 0.88 Service Over Counter (SVO) SOC.SC.I 1.76 × TDA + 0.36 * The meaning of the letters in this column is indicated in the three columns to the left. ** Ice-cream freezer is defined in 10 CFR 431.62 as a commercial freezer that is designed to operate at or below −5 °F (−21 °C) and that the manufacturer designs, markets, or intends for the storing, displaying, or dispensing of ice cream. (2) For commercial refrigeration equipment with two or more compartments ( i.e. , hybrid refrigerators, hybrid freezers, hybrid refrigerator-freezers, and non-hybrid refrigerator-freezers), the maximum daily energy consumption (MDEC) for each model shall be the sum of the MDEC values for all of its compartments. For each compartment, measure the TDA or volume of that compartment, and determine the appropriate equipment class based on that compartment's equipment family, condensing unit configuration, and designed operating temperature. The MDEC limit for each compartment shall be the calculated value obtained by entering that compartment's TDA or volume into the standard equation in paragraph (d)(1) of this section for that compartment's equipment class. Measure the calculated daily energy consumption (CDEC) or total daily energy consumption (TDEC) for the entire case: (i) For remote condensing commercial hybrid refrigerators, hybrid freezers, hybrid refrigerator-freezers, and non-hybrid refrigerator-freezers, where two or more independent condensing units each separately cool only one compartment, measure the total refrigeration load of each compartment separately according to the ARI Standard 1200-2006 test procedure (incorporated by reference, see § 431.63). Calculate compressor energy consumption (CEC) for each compartment using Table 1 in ARI Standard 1200-2006 using the saturated evaporator temperature for that compartment. The CDEC for the entire case shall be the sum of the CEC for each compartment, fan energy consumption (FEC), lighting energy consumption (LEC), anti-condensate energy consumption (AEC), defrost energy consumption (DEC), and condensate evaporator pan energy consumption (PEC) (as measured in ARI Standard 1200-2006). (ii) For remote condensing commercial hybrid refrigerators, hybrid freezers, hybrid refrigerator-freezers, and non-hybrid refrigerator-freezers, where two or more compartments are cooled collectively by one condensing unit, measure the total refrigeration load of the entire case according to the ARI Standard 1200-2006 test procedure (incorporated by reference, see § 431.63). Calculate a weighted saturated evaporator temperature for the entire case by: (A) Multiplying the saturated evaporator temperature of each compartment by the volume of that compartment (as measured in ARI Standard 1200-2006), (B) Summing the resulting values for all compartments, and (C) Dividing the resulting total by the total volume of all compartments. Calculate the CEC for the entire case using Table 1 in ARI Standard 1200-2006 (incorporated by reference, see § 431.63), using the total refrigeration load and the weighted average saturated evaporator temperature. The CDEC for the entire case shall be the sum of the CEC, FEC, LEC, AEC, DEC, and PEC. (iii) For self-contained commercial hybrid refrigerators, hybrid freezers, hybrid refrigerator-freezers, and non-hybrid refrigerator-freezers, measure the TDEC for the entire case according to the ARI Standard 1200-2006 test procedure (incorporated by reference, see § 431.63). (3) For remote-condensing and self-contained wedge cases, measure the CDEC or TDEC according to the ARI Standard 1200-2006 test procedure (incorporated by reference, see § 431.63). The MDEC for each model shall be the amount derived by incorporating into the standards equation in paragraph (d)(1) of this section for the appropriate equipment class a value for the TDA that is the product of: (i) The vertical height of the air-curtain (or glass in a transparent door) and (ii) The largest overall width of the case, when viewed from the front. (e) Each commercial refrigerator, freezer, and refrigerator-freezer with a self-contained condensing unit designed for holding temperature applications and with solid or transparent doors; commercial refrigerator with a self-contained condensing unit designed for pull-down temperature applications and with transparent doors; commercial refrigerator, freezer, and refrigerator-freezer with a self-contained condensing unit and without doors; commercial refrigerator, freezer, and refrigerator-freezer with a remote condensing unit; and commercial ice-cream freezer manufactured on or after March 27, 2017, shall have a daily energy consumption (in kilowatt-hours per day) that does not exceed the levels specified: (1) For equipment other than hybrid equipment, refrigerator/freezers, or wedge cases: Equipment category Condensing unit configuration Equipment family Rating temp. °F Operating temp. °F Equipment class designation * Maximum daily energy consumption kWh/day Remote Condensing Commercial Refrigerators and Commercial Freezers Remote (RC) Vertical Open (VOP) 38 (M) ≥32 VOP.RC.M 0.64 × TDA + 4.07. 0 (L) <32 VOP.RC.L 2.2 × TDA + 6.85. Semivertical Open (SVO) 38 (M) ≥32 SVO.RC.M 0.66 × TDA + 3.18. 0 (L) <32 SVO.RC.L 2.2 × TDA + 6.85. Horizontal Open (HZO) 38 (M) ≥32 HZO.RC.M 0.35 × TDA + 2.88. 0 (L) <32 HZO.RC.L 0.55 × TDA + 6.88. Vertical Closed Transparent (VCT) 38 (M) ≥32 VCT.RC.M 0.15 × TDA + 1.95. 0 (L) <32 VCT.RC.L 0.49 × TDA + 2.61. Horizontal Closed Transparent (HCT) 38 (M) ≥32 HCT.RC.M 0.16 × TDA + 0.13. 0 (L) <32 HCT.RC.L 0.34 × TDA + 0.26. Vertical Closed Solid (VCS) 38 (M) ≥32 VCS.RC.M 0.1 × V + 0.26. 0 (L) <32 VCS.RC.L 0.21 × V + 0.54. Horizontal Closed Solid (HCS) 38 (M) ≥32 HCS.RC.M 0.1 × V + 0.26. 0 (L) <32 HCS.RC.L 0.21 × V + 0.54. Service Over Counter (SOC) 38 (M) ≥32 SOC.RC.M 0.44 × TDA + 0.11. 0 (L) <32 SOC.RC.L 0.93 × TDA + 0.22. Self-Contained Commercial Refrigerators and Commercial Freezers Without Doors Self-Contained (SC) Vertical Open (VOP) 38 (M) ≥32 VOP.SC.M 1.69 × TDA + 4.71. 0 (L) <32 VOP.SC.L 4.25 × TDA + 11.82. Semivertical Open (SVO) 38 (M) ≥32 SVO.SC.M 1.7 × TDA + 4.59. 0 (L) <32 SVO.SC.L 4.26 × TDA + 11.51. Horizontal Open (HZO) 38 (M) ≥32 HZO.SC.M 0.72 × TDA + 5.55. 0 (L) <32 HZO.SC.L 1.9 × TDA + 7.08. Self-Contained Commercial Refrigerators and Commercial Freezers With Doors Self-Contained (SC) Vertical Closed Transparent (VCT) 38 (M) ≥32 VCT.SC.M 0.1 × V + 0.86. 0 (L) <32 VCT.SC.L 0.29 × V + 2.95. Vertical Closed Solid (VCS) 38 (M) ≥32 VCS.SC.M 0.05 × V + 1.36. <32 VCS.SC.L 0.22 × V + 1.38. Horizontal Closed Transparent (HCT) 38 (M) ≥32 HCT.SC.M 0.06 × V + 0.37. 0 (L) <32 HCT.SC.L 0.08 × V + 1.23. Horizontal Closed Solid (HCS) ≥32 HCS.SC.M 0.05 × V + 0.91. 0 (L) <32 HCS.SC.L 0.06 × V + 1.12. Service Over Counter (SOC) ≥32 SOC.SC.M 0.52 × TDA + 1. 0 (L) <32 SOC.SC.L 1.1 × TDA + 2.1. Self-Contained Commercial Refrigerators with Transparent Doors for Pull-Down Temperature Applications Self-Contained (SC) Pull-Down (PD) 38 (M) ≥32 PD.SC.M 0.11 × V + 0.81. Commercial Ice-Cream Freezers Remote (RC) Vertical Open (VOP) −15 (I) ≤−5** VOP.RC.I 2.79 × TDA + 8.7. Semivertical Open (SVO) SVO.RC.I 2.79 × TDA + 8.7. Horizontal Open (HZO) HZO.RC.I 0.7 × TDA + 8.74. Vertical Closed Transparent (VCT) VCT.RC.I 0.58 × TDA + 3.05. Horizontal Closed Transparent (HCT) HCT.RC.I 0.4 × TDA + 0.31. Vertical Closed Solid (VCS) VCS.RC.I 0.25 × V + 0.63. Horizontal Closed Solid (HCS) HCS.RC.I 0.25 × V + 0.63. Service Over Counter (SOC) SOC.RC.I 1.09 × TDA + 0.26. Self-Contained (SC) Vertical Open (VOP) VOP.SC.I 5.4 × TDA + 15.02. Semivertical Open (SVO) SVO.SC.I 5.41 × TDA + 14.63. Horizontal Open (HZO) HZO.SC.I 2.42 × TDA + 9. Vertical Closed Transparent (VCT) VCT.SC.I 0.62 × TDA + 3.29. Horizontal Closed Transparent (HCT) HCT.SC.I 0.56 × TDA + 0.43. Vertical Closed Solid (VCS) VCS.SC.I 0.34 × V + 0.88. Horizontal Closed Solid (HCS) HCS.SC.I 0.34 × V + 0.88. Service Over Counter (SOC) SOC.SC.I 1.53 × TDA + 0.36. * The meaning of the letters in this column is indicated in the columns to the left. ** Ice-cream freezer is defined in 10 CFR 431.62 as a commercial freezer that is designed to operate at or below −5 °F *(−21 °C) and that the manufacturer designs, markets, or intends for the storing, displaying, or dispensing of ice cream. (2) For commercial refrigeration equipment with two or more compartments ( i.e., hybrid refrigerators, hybrid freezers, hybrid refrigerator-freezers, and non-hybrid refrigerator-freezers), the maximum daily energy consumption for each model shall be the sum of the MDEC values for all of its compartments. For each compartment, measure the TDA or volume of that compartment, and determine the appropriate equipment class based on that compartment's equipment family, condensing unit configuration, and designed operating temperature. The MDEC limit for each compartment shall be the calculated value obtained by entering that compartment's TDA or volume into the standard equation in paragraph (e)(1) of this section for that compartment's equipment class. Measure the CDEC or TDEC for the entire case as described in § 431.66(d)(2)(i) through (iii), except that where measurements and calculations reference ARI Standard 1200-2006 (incorporated by reference, see § 431.63), AHRI Standard 1200 (I-P)-2010 (incorporated by reference, see § 431.63) shall be used. (3) For remote condensing and self-contained wedge cases, measure the CDEC or TDEC according to the AHRI Standard 1200 (I-P)-2010 test procedure (incorporated by reference, see § 431.63). For wedge cases in equipment classes for which a volume metric is used, the MDEC shall be the amount derived from the appropriate standards equation in paragraph (e)(1) of this section. For wedge cases of equipment classes for which a TDA metric is used, the MDEC for each model shall be the amount derived by incorporating into the standards equation in paragraph (e)(1) of this section for the equipment class a value for the TDA that is the product of: (i) The vertical height of the air curtain (or glass in a transparent door) and (ii) The largest overall width of the case, when viewed from the front. (f) Exclusions. The energy conservation standards in paragraphs (b) through (e) of this section do not apply to salad bars, buffet tables, and chef bases or griddle stands. Appendix A to Subpart C of Part 431 [Reserved] Appendix B to Subpart C of Part 431—Uniform Test Method for the Measurement of Energy Consumption of Commercial Refrigerators, Freezers, and Refrigerator-Freezers Note: On or after September 20, 2024, any representations, including for certification of compliance, made with respect to the energy use or efficiency of commercial refrigeration equipment, except for buffet tables or preparation tables, blast chillers, blast freezers, or mobile refrigerated cabinets, must be made in accordance with the results of testing pursuant to this appendix. Prior to September 20, 2024, any representations with respect to energy use or efficiency of commercial refrigeration equipment, except for buffet tables or preparation tables, blast chillers, blast freezers, or mobile refrigerated cabinets, must be made either in accordance with the results of testing pursuant to this appendix or with the results of testing pursuant to this appendix as it appeared in appendix B to subpart C of part 431 in the 10 CFR parts 200-499 edition revised as of January 1, 2023. Buffet tables or preparation tables are subject to the test method requirements in appendix C to subpart C of part 431. Blast chillers and blast freezers are subject to the test method requirements in appendix D to subpart C of part 431. The test procedure for equipment cooled only by secondary coolants in section 1.1.3 of this appendix is not required for use until the compliance date(s) of any amended energy conservation standard(s) (see § 431.66) for such commercial refrigeration equipment. High-temperature refrigerators must be tested as medium-temperature refrigerators according to section 2.1.3 of this appendix based on the lowest application product temperature until the compliance date(s) of any amended energy conservation standard(s) (see § 431.66) established for high-temperature refrigerators. On and after the compliance date(s) of such energy conservation standard(s) (see § 431.66), high-temperature refrigerators must be tested as high-temperature refrigerators according to section 2.1.4 of this appendix. 0. Incorporation by Reference DOE incorporated by reference in § 431.63 the entire standard for AHRI 1200-2023; AHRI 1320-2011; ASHRAE 72-2022 and ASHRAE 72-2022 Errata (the latter two collectively referenced as ASHRAE 72-2022 with Errata). However, only enumerated provisions of AHRI 1200-2023 and AHRI 1320-2011 are applicable to this appendix as follows: 0.1. AHRI 1200-2023 (a) Section 3, “Definitions,” as referenced in section 1.1 of this appendix. (b) Section 3.2.8, “Dew Point,” as referenced in section 2.2. of this appendix. (c) Section 3.2.20, “Total Display Area (TDA),” as referenced in section 3.2 of this appendix. (d) Section 4, “Test Requirements,” as referenced in section 1.1 of this appendix. (e) Section 4.1.1.1, “High Temperature Applications,” as referenced in section 2.1.4 of this appendix. (f) Section 4.1.1.2, “Ice Cream Applications,” as referenced in section 2.1.1 of this appendix. (g) Section 4.1.1.3, “Low Temperature Applications,” as referenced in section 2.1.2 of this appendix. (h) Section 4.1.1.4, “Medium Temperature Applications,” as referenced in section 2.1.3 of this appendix. (i) Section 5.1, “Rating Requirements for Remote Commercial Refrigerated Display Merchandisers and Storage Cabinets” as referenced in sections 1.1.2, 1.1.3, and 1.5.3.3 of this appendix. (j) Section 5.2, “Rating Requirements for Self-Contained Commercial Refrigerated Display Merchandisers and Storage Cabinets,” as referenced in section 1.1.1 of this appendix. (k) Section 9, “Symbols and Subscripts,” as referenced in section 1.1 and 2.2 of this appendix. (l) Appendix C, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Refrigerated Volume Calculation—Normative” as referenced in section 3.1 of this appendix. (m) Appendix D, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Total Display Area (TDA) Calculation—Normative,” as referenced in section 3.2 of this appendix. 0.2. AHRI 1320-2011 (a) Sections 5.2.7 and 5.2.8 as referenced in section 1.1.3 of this appendix. (b) [Reserved]. 1. Test Procedure 1.1. Determination of Daily Energy Consumption. Determine the daily energy consumption of each covered commercial refrigerator, freezer, or refrigerator-freezer by conducting the test procedure set forth in AHRI 1200-2023, section 3, “Definitions,” section 4, “Test Requirements,” and section 9, “Symbols and Subscripts.” 1.1.1. For each commercial refrigerator, freezer, or refrigerator-freezer with a self-contained condensing unit, also use AHRI 1200-2023, section 5.2, “Rating Requirements for Self-Contained Commercial Refrigerated Display Merchandisers and Storage Cabinets.” 1.1.2. For each commercial refrigerator, freezer, or refrigerator-freezer with a remote condensing unit, also use AHRI 1200-2023, section 5.1, “Rating Requirements for Remote Commercial Refrigerated Display Merchandisers and Storage Cabinets.” 1.1.3. For each commercial refrigerator, freezer, or refrigerator-freezer used with a secondary coolant, test according to section 1.1.2 of this appendix, except in place of the equations for CDEC and CEC in sections 5.1.2 and 5.1.2.1 of AHRI 1200-2023, respectively, apply the following equations: CDEC = CEC + [FEC + LEC + AEC + DEC + PEC]* + CPEC CEC = [(Q rt + Q CP ) · (t − t dt )]/(EER · 1000) Where CPEC and Q CP are as specified in sections 5.2.7 and 5.2.8 of AHRI 1320-2011 and EER is determined based on a temperature that is 6.0 °F lower than the secondary coolant cabinet inlet temperature. 1.2. Methodology for Determining Applicability of Transparent Door Equipment Families. To determine if a door for a given model of commercial refrigeration equipment is transparent: (a) Calculate the outer door surface area including frames and mullions; (b) calculate the transparent surface area within the outer door surface area excluding frames and mullions; (c) calculate the ratio of (2) to (1) for each of the outer doors; and (d) the ratio for the transparent surface area of all outer doors must be greater than 0.25 to qualify as a transparent equipment family. 1.3. Drawers. Drawers shall be treated as identical to doors when conducting the DOE test procedure. Commercial refrigeration equipment with drawers intended for use with pans shall be configured with stainless steel food service pans, installed in a configuration per the manufacturer's instructions utilizing the maximum pan sizes specified. If the manufacturer does not specify the pan sizes, the maximum pan depth and pan volume allowed shall be used. For commercial refrigeration equipment with drawers intended for use with pans, the net usable volume includes only the interior volume of the pan(s) in the drawer. The net usable volume shall be measured by the amount of water needed to fill all the pan(s) to within 0.5 inches of the top rim, or determined by calculating the total volume of all pan(s) using the pan manufacturers' published pan volume. For commercial refrigeration equipment with drawers not intended for pans, the net usable volume shall be equal to the total volume of the drawer to the top edge of the drawer. Test simulators shall be placed in commercial refrigeration equipment with drawers as follows: For each drawer, there shall be two test simulators placed at each of the following locations: at the left end, at the right end, and at consistent 24 inch to 48 inch intervals across the width of the drawer (for drawers wider than 48 inches). For drawers with overall internal width of 48 inches or less, only the left and right ends shall have test simulators. If test simulators are to be placed at a pan edge or divider, the test simulator shall be placed at the nearest adjacent location. For each drawer, one test simulator shall be placed on the bottom of the pan or drawer at each of the front and rear test simulator locations of the drawer. Test simulators shall be placed in contact with the drawer or pan end or ends unless load limiting stops are provided as part of the case. Test simulators shall be secured such that the test simulators do not move during the test. The net usable volume where test simulators are not required shall be filled with filler material so that between 60 percent and 80 percent of the net usable volume is occupied by test simulators and uniformly occupied by filler material. 1.4. Long-time Automatic Defrost. For commercial refrigeration equipment not capable of operating with defrost intervals of 24 hours or less, testing may be conducted using a two-part test method. 1.4.1. First Part of Test. The first part of the test shall be a 24-hour test starting in steady-state conditions and including eight hours of door opening (according to ASHRAE 72-2022 with Errata). The energy consumed in this test, ET1, shall be recorded. 1.4.2. Second Part of Test. The second part of the test shall be a defrost cycle, including any operation associated with a defrost. The start and end of the test period be determined as the last time before and first time after a defrost occurrence when the measured average simulator temperature ( i.e., the instantaneous average of all test simulator temperature measurements) is within 0.5 °F of the IAT as measured during the first part of the test. The energy consumed in this test, ET2, and duration, t DI , shall be recorded. 1.4.3. Daily Energy Consumption. Based on the measured energy consumption in these two tests, the daily energy consumption (DEC) in kWh shall be calculated as: Where: DEC = daily energy consumption, in kWh; ET 1 = energy consumed during the first part of the test, in kWh; ET 2 = energy consumed during the second part of the test, in kWh; t NDI = normalized length of defrosting time per day, in minutes; t DI = length of time of defrosting test period, in minutes; t DC = minimum time between defrost occurrences, in days; and 1440 = conversion factor, minutes per day. 1.5. Customer Order Storage Cabinets. Customer order storage cabinets shall conduct door openings according to ASHRAE 72-2022 with Errata, except that each door shall be opened to the fully open position for 8 seconds, once every 2 hours, for 6 door-opening cycles. 1.5.1. Ambient Compartments. For customer order storage cabinets that have at least one individual-secured compartment that is not capable of maintaining an integrated average temperature below the ambient dry-bulb temperature, the individual-secured compartment(s) at ambient dry-bulb temperature shall be categorized as a high-temperature refrigerator compartment for the purpose of testing and rating. All volume, total display area, and energy consumption calculations shall be included within the high-temperature refrigerator category and summed with other high-temperature refrigerator category compartment(s) calculations. 1.5.2. Convertible Compartments. For customer order storage cabinets that have individual-secured compartments that are convertible between the ambient dry-bulb temperature and the ≥32 °F operating temperature, the convertible compartment shall be tested as a medium-temperature refrigerator compartment or at the lowest application product temperature as specified in section 2.2 of this appendix. 1.5.3. Inverse Refrigeration Load Test. For customer order storage cabinets that supply refrigerant to multiple individual-secured compartments and that allow the suction pressure from the evaporator in each individual-secured compartment to float based on the temperature required to store the customer order in that individual-secured compartment, test according to section 1.1.2 of this appendix, except that energy (heat) loss shall be allowed at a rate and ΔT equivalent to the energy gains of a standard refrigerated cabinet as specified in sections 1.5.3.1-1.5.3.3 of this appendix. 1.5.3.1. Anti-sweat door heaters. Anti-sweat door heaters shall be de-energized for the inverse refrigeration load test specified in section 1.5.3. of this appendix. 1.5.3.2. Integrated Average Temperature. For medium-temperature refrigerator compartments, the integrated average temperature shall be 112.4 °F ±2.0 °F. For low-temperature freezer compartments, the integrated average temperature shall be 150.4 °F ±2.0 °F. For ambient compartments, the integrated average temperature shall be 75.4 °F ±2.0 °F. 1.5.3.3. Daily Energy Consumption. Determine the calculated daily energy consumption (“CDEC”) and the EER based on AHRI 1200-2023, section 5.1, “Rating Requirements for Remote Commercial Refrigerated Display Merchandisers and Storage Cabinets,” except that the compressor energy consumption (“CEC”) shall be calculated by applying the following equations: ML = N d × ( A e + A m ) A e = [( H a − H c ) − ( H t − H a )] × m a A m = C p,liner × W liner × Δ T liner Where: CEC = compressor energy consumption, kWh per day; Q = inverse refrigeration load (does not include waste heat from auxiliary components and moisture infiltration), in BTU per h; t = test duration, in h; ML = moisture load impacts, BTU per day; FEC = evaporator fan motor(s) energy consumption, Wh per day; AEC = anti-condensate heater(s) energy consumption, Wh per day; DEC = defrost heater(s) energy consumption, Wh per day; 3.412 = conversion factor, BTU per Wh; EER = energy efficiency ratio, BTU per Wh; 1000 = conversion factor, W per kW; W in = energy input measured over the test period for all energized components (heaters, controls, and fans) located in the refrigerated compartments, in Wh; N d = number of door openings during test, unitless; A e = enthalpy adjustment, BTU per day; A m = moisture/frost accumulation, BTU per day; H a = ambient air enthalpy, BTU per pound; H c = compartment air enthalpy based on air conditions during cold operation ( e.g., 0 °F dry bulb/−20 °F dew point for freezer compartment, 38 °F dry bulb/20 °F dew point for refrigerator compartment, 75 °F dry bulb/20 °F dew point for ambient compartment), BTU per pound; H t = compartment air enthalpy during heat leak test based on dew point being equal to ambient air dew point, BTU per pound; m a = mass of compartment air exchanged (30% of total compartment volume) based density of air during cold operation, pounds; C p,liner = specific heat of liner material, BTU per °F per pound; W liner = weight of all liner parts, pounds; and ΔT liner = maximum temperature rise of all liner parts ( e.g., 4.5 °F, 2.5 °F, and 1 °F for freezer, refrigerator, and ambient compartments, respectively), °F. 2. Test Conditions 2.1. Integrated Average Temperatures. Conduct the testing required in section 1 of this appendix, and determine the daily energy consumption at the applicable integrated average temperature as follows: 2.1.1. Ice-Cream Freezers. Test ice-cream freezers and ice-cream freezer compartments to the integrated average temperature specified in section 4.1.1.2, “Ice Cream Applications,” of AHRI 1200-2023. 2.1.2. Low-Temperature Freezers. Test low-temperature freezers and low-temperature freezer compartments to the integrated average temperature specified in section 4.1.1.3, “Low Temperature Applications,” of AHRI 1200-2023. 2.1.3. Medium-Temperature Refrigerators. Test medium-temperature refrigerators and medium-temperature refrigerator compartments to the integrated average temperature specified in section 4.1.1.4, “Medium Temperature Applications,” of AHRI 1200-2023. 2.1.4. High-Temperature Refrigerators. Test high-temperature refrigerators and high-temperature refrigerator compartments to the integrated average temperature specified in section 4.1.1.1, “High Temperature Applications,” of AHRI 1200-2023. 2.2. Lowest Application Product Temperature. If a unit of commercial refrigeration equipment is not able to be operated at the integrated average temperature specified in section 2.1 of this appendix, test the unit at the lowest application product temperature (LAPT), as defined in § 431.62. For units equipped with a thermostat, LAPT is the measured temperature at the lowest thermostat setting of the unit (for units that are only able to operate at temperatures above the specified test temperature) or the highest thermostat setting of the unit (for units that are only able to operate at temperatures below the specified test temperature). For remote condensing equipment without a thermostat or other means of controlling temperature at the case, the lowest application product temperature is measured at the temperature achieved with the dew point temperature (as defined in section 3.2.8, “Dew Point,” of AHRI 1200-2023) or mid-point evaporator temperature (as defined in section 9, “Symbols and Subscripts,” of AHRI 1200-2023) set to 5 degrees colder than that required to maintain the manufacturer's specified application temperature that is closest to the specified integrated average temperature. 2.3. Testing at NSF Test Conditions. For commercial refrigeration equipment that is also tested in accordance with NSF test procedures (Type I and Type II), integrated average temperatures and ambient conditions used for NSF testing may be used in place of the DOE-prescribed integrated average temperatures and ambient conditions provided they result in a more stringent test. That is, the measured daily energy consumption of the same unit, when tested at the rating temperatures and/or ambient conditions specified in the DOE test procedure, must be lower than or equal to the measured daily energy consumption of the unit when tested with the rating temperatures or ambient conditions used for NSF testing. The integrated average temperature measured during the test may be lower than the range specified by the DOE applicable temperature specification provided in section 2.1 of this appendix, but may not exceed the upper value of the specified range. Ambient temperatures and/or humidity values may be higher than those specified in the DOE test procedure. 2.4. Liquid Refrigerant Pressure Required Accuracy. The liquid refrigerant pressure required accuracy is ±35 kPa (±5.1 psi). 2.5 Commercial Refrigerator, Freezer, and Refrigerator-Freezer connected to a Direct Expansion Remote Condensing Unit with R-744. For commercial refrigerators, freezers, and refrigerator-freezers connected to a direct expansion remote condensing unit with R-744, instead of the liquid refrigerant measurements for direct-expansion remote units specified in appendix A to ASHRAE 72-2022 with Errata, the liquid refrigerant measurements for direct-expansion remote units shall be: liquid refrigerant temperature shall be 30.0 °F with a tolerance for the average over test period of ±3.0 °F and a tolerance for the individual measurements of ±5.0 °F; liquid refrigerant pressure shall be the saturated liquid pressure corresponding to a condensing temperature in the range of 32.0 °F to 44.0 °F for the average over test period; and liquid refrigerant subcooling shall be greater than 2.0 °R for the average over test period. 2.6 Chef Base or Griddle Stand Test Conditions. For chef bases or griddle stands, instead of the dry-bulb temperature, wet-bulb temperature, and radiant heat temperature specified in appendix A to ASHRAE 72-2022 with Errata: dry-bulb temperature shall be 86.0 °F with a tolerance for the average over test period of ±1.8 °F and a tolerance for the individual measurements of ±3.6 °F; wet-bulb temperature shall be 73.7 °F with a tolerance for the average over test period of ±1.8 °F and a tolerance for the individual measurements of ±3.6 °F; and radiant heat temperature shall be greater than or equal to 81.0 °F. 3. Volume and Total Display Area 3.1. Determination of Volume. Determine the volume of a commercial refrigerator, freezer, and refrigerator-freezer using the method set forth in AHRI 1200-2023, appendix C, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Refrigerated Volume Calculation—Normative.” 3.2. Determination of Total Display Area. Determine the total display area of a commercial refrigerator, freezer, and refrigerator-freezer using the method set forth in AHRI 1200-2023, section 3.2.20, “Total Display Area (TDA),” and appendix D, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Total Display Area (TDA) Calculation—Normative.” Appendix C to Subpart C of Part 431—Uniform Test Method for the Measurement of Energy Consumption of Buffet Tables or Preparation Tables Note: On or after September 20, 2024, any representations, including for certification of compliance, made with respect to the energy use or efficiency of buffet tables or preparation tables must be made in accordance with the results of testing pursuant to this appendix. 0. Incorporation by Reference DOE incorporated by reference in § 431.63 the entire standard for AHRI 1200-2023, ASHRAE 72-2022, ASHRAE 72-2022 Errata (the latter two collectively referenced as ASHRAE 72-2022 with Errata), and ASTM F2143-16. However, only enumerated provisions of those documents are applicable to this appendix as follows: 0.1. AHRI 1200-2023 (a) Section 3.2.17, “Refrigerated Volume (Vr),” as referenced in section 2.2 of this appendix. (b) Normative Appendix C, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Refrigerated Volume Calculation,” as referenced in section 2.2 of this appendix. 0.2 ASHRAE 72-2022 with Errata (a) Section 5.1, “Installation and Settings,” as referenced in section 1.3 of this appendix. (b) Section 5.2, “Wall or Vertical Partition Placement,” as referenced in section 1.3 of this appendix. (c) Section 5.3, “Components and Accessories,” as referenced in section 1.3 of this appendix. (d) Section 6.1, “Ambient Temperature and Humidity,” as referenced in section 1.2 of this appendix. (e) Section 7.1, “Sequence of Operations,” as referenced in section 1.5 of this appendix. (f) Section 7.2, “Preparation Period” (excluding sections 7.2.1 and 7.2.2), as referenced in section 1.5 of this appendix. (g) Section 7.3, “Test Periods A and B” (excluding sections 7.3.1, 7.3.2, 7.3.3, and 7.3.4), as referenced in sections 1.5 and 1.5.1 of this appendix. (h) Section 7.4, “Test Alignment Period,” as referenced in section 1.5 of this appendix. (i) Section 7.5, “Determining Stability,” as referenced in sections 1.5 and 1.5.2 of this appendix. (j) Normative Appendix A, “Measurement Locations, Tolerances, Accuracies, and Other Characteristics,” (only the measured quantities specified in section 1.2 of this appendix) as referenced in sections 1.2 and 1.5.3 of this appendix. 0.3 ASTM F2143-16 (a) Section 3, “Terminology,” as referenced in section 1.1 of this appendix. (b) Section 6.1, “Analytical Balance Scale,” as referenced in section 1.1 of this appendix. (c) Section 6.2, “Pans,” as referenced in section 1.1 of this appendix. (d) Section 7, “Reagents and Materials,” as referenced in section 1.1 of this appendix. (e) Section 9, “Preparation of Apparatus” (section 9.6 only), as referenced in sections 1.1 and 1.4.2 of this appendix. (f) Section 10.1, “General” (section 10.1.1 only), as referenced in sections 1.1 and 1.5.3 of this appendix. (g) Section 10.2, “Pan Thermocouple Placement,” as referenced in section 1.1 of this appendix. (h) Section 10.5, “Test” (sections 10.5.5 and 10.5.6 only), as referenced in sections 1.1 and 1.5.1 of this appendix. (i) Section 11.4, “Energy Consumption” (section 11.4.1 only), as referenced in section 1.1 of this appendix. (j) Section 11.5, “Production Capacity,” as referenced in sections 1.1 and 2.1 of this appendix. 1. Test Procedure 1.1. Determination of Daily Energy Consumption. Determine the daily energy consumption of each buffet table or preparation table with a self-contained condensing unit by conducting the test procedure set forth in ASTM F2143-16 section 3, “Terminology,” section 6.1, “Analytical Balance Scale,” section 6.2, “Pans,” section 7, “Reagents and Materials,” section 9.6, “Preparation of Apparatus”, section 10.1, “General” (section 10.1.1 only), section 10.2, “Pan Thermocouple Placement,” section 10.5, “Test” (sections 10.5.5 and 10.5.6 only), section 11.4, “Energy Consumption” (section 11.4.1 only), and section 11.5, “Production Capacity,” with additional instructions as described in the following sections. 1.2. Test Conditions. Ambient conditions and instrumentation for testing shall be as specified in the “Chamber conditions” and “Electricity supply and consumption of unit under test and components metered separately” portions of appendix A to ASHRAE 72-2022 with Errata and measured according to section 6.1 of ASHRAE 72-2022 with Errata and the specifications in appendix A of ASHRAE 72-2022 with Errata. The “highest point” of the buffet table or preparation table shall be determined as the highest point of the open-top refrigerated area of the buffet table or preparation table, without including the height of any lids or covers. The geometric center of the buffet table or preparation table is: for buffet tables or preparation tables without refrigerated compartments, the geometric center of the top surface of the open-top refrigerated area; and for buffet tables or preparation tables with refrigerated compartments, the geometric center of the door opening area for the refrigerated compartment. 1.3. Test Setup. Install the buffet table or preparation table according to sections 5.1, 5.2, and 5.3 of ASHRAE 72-2022 with Errata. 1.4. Test Load. 1.4.1. Pan Loading. Fill pans with distilled water to within 0.5 in. of the top edge of the pan. For pans that are not configured in a horizontal orientation, only the lowest side of the pan is filled to within 0.5 in. of the top edge of the pan with distilled water. 1.4.2. Refrigerated Compartments. Measure the temperature of any refrigerated compartment(s) as specified in section 9.6 of ASTM F2143-16. The thermocouples for measuring compartment air temperature shall be in thermal contact with the center of a 1.6-oz (45-g) cylindrical brass slug with a diameter and height of 0.75 in. The brass slugs shall be placed at least 0.5 in from any heat-conducting surface. 1.5. Stabilization and Test Period. Prepare the unit for testing and conduct two test periods to determine stability according to sections 7.1 through 7.5 of ASHRAE 72-2022 with Errata, excluding sections 7.2.1, 7.2.2, 7.3.1, 7.3.2, 7.3.3, and 7.3.4. The preparation period under section 7.2 of ASHRAE 72-2022 with Errata includes loading the test unit pans with distilled water and adjusting the controls to maintain the desired performance. 1.5.1. Test Periods A and B. Conduct two test periods, A and B, as specified in section 7.3 of ASHRAE 72-2022 with Errata (excluding sections 7.3.1, 7.3.2, 7.3.3, and 7.3.4). The 24-hour test periods shall begin with an 8-hour active period as specified in section 10.5.5 of ASTM F2143-16. Following the active period, the remaining 16 hours of the test period shall be a standby period with the pans remaining in place, any pan covers in the closed position, and with no additional door openings. 1.5.2. Stability. Average pan temperatures shall be used to determine stability, as specified in section 7.5 of ASHRAE 72-2022 with Errata, rather than average test simulator temperatures. 1.5.3. Data Recording. For each test period, record data as specified in section 10.1.1 of ASTM F2143-16, except record wet-bulb temperature rather than relative humidity. Rather than voltage, current, and power as specified in section 10.1.1 of ASTM F2143-16, record the electrical supply potential and frequency and energy consumption as specified in appendix A of ASHRAE 72-2022 with Errata. 1.6. Target Temperatures. 1.6.1. Average Pan Temperature. The average of all pan temperature measurements during the test period shall be 38 °F ±2 °F. If the unit under test is not able to be operated at this average temperature range, test the unit at the lowest application product temperature (LAPT), as defined in § 431.62. For units equipped with a thermostat, LAPT is measured at the lowest thermostat setting of the unit (for units that are only able to operate at temperatures above the specified test temperature) or the highest thermostat setting of the unit (for units that are only able to operate at temperatures below the specified test temperature). 1.6.2. Average Compartment Temperature. The average of all compartment temperature measurements during the test period shall be 38 °F ±2 °F. If the unit under test is not capable of maintaining both average pan temperature and average compartment temperature within the specified range, the average compartment temperature shall be the average temperature necessary to maintain average pan temperature within the specified range. If the unit is tested at the LAPT for the average pan temperature, as described in section 1.6.1 of this appendix, the average compartment temperature is the average of all compartment temperature measurements at that control setting. 2. Capacity Metrics 2.1. Pan Volume. Determine pan volume according to section 11.5 of ASTM F2143-16. 2.2. Refrigerated Volume. Determine the volume of any refrigerated compartments according to section 3.2.17 and appendix C of AHRI 1200-2023. The refrigerated volume excludes the volume occupied by pans loaded in the open-top display area for testing. 2.3. Pan Display Area. Determine the pan display area based on the total surface area of water in the test pans when filled to within 0.5 in. of the top edge of the pan, or for test pans that are not configured in a horizontal orientation, when the lowest side of the pan is filled to within 0.5 in. of the top edge of the pan with water. Appendix D to Subpart C of Part 431—Uniform Test Method for the Measurement of Energy Consumption of Blast Chillers or Blast Freezers Note: On or after September 20, 2024, any representations, including for certification of compliance, made with respect to the energy use or efficiency of blast chillers or blast freezers must be made in accordance with the results of testing pursuant to this appendix. 0. Incorporation by Reference DOE incorporated by reference in § 431.63 the entire standard for AHRI 1200-2023, ASHRAE 72-2022, and ASHRAE 72-2022 Errata (the latter two collectively referenced as ASHRAE 72-2022 with Errata). However, only enumerated provisions of those documents are applicable to this appendix as follows: 0.1 AHRI 1200-2023 (a) Appendix C, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Refrigerated Volume Calculation—Normative,” as referenced in section 1.1.1. of this appendix. (b) Reserved. 0.2 ASHRAE 72-2022 with Errata (a) Section 4, “Instruments,” as referenced in section 1.2 of this appendix. (b) Section 5, “Preparation of Unit Under Test” (except section 5.4, “Loading of Test Simulators and Filler Material”), as referenced in section 1.2 of this appendix. (c) Section 6.1, “Ambient Temperature and Humidity,” as referenced in sections 1.2 and 1.4 of this appendix. (d) Figure 6, “Location of Ambient Temperature Indicators,” as referenced in sections 1.2 and 1.4 of this appendix. (e) Normative Appendix A, “Measurement Locations, Tolerances, Accuracies, and Other Characteristics,” (only the measured quantities specified in section 1.2.1 of this appendix) as referenced in sections 1.2 and 1.4 of this appendix. 1. Test Procedures 1.1. Scope. This section provides the test procedures for measuring the energy consumption in kilowatt-hours per pound (kWh/lb) for self-contained commercial blast chillers and blast freezers that have a refrigerated volume of up to 500 ft 3 . 1.1.1. Determination of Refrigerated Volume. Determine the refrigerated volume of a self-contained commercial blast chiller or blast freezer using the method set forth in AHRI 1200-2023, appendix C, “Commercial Refrigerated Display Merchandiser and Storage Cabinet Refrigerated Volume Calculation—Normative.” 1.2. Determination of Energy Consumption. Determine the energy consumption of each covered blast chiller or blast freezer by conducting the test procedure set forth in ASHRAE 72-2022 with Errata section 4, “Instruments,” section 5, “Preparation of Unit Under Test” (except section 5.4, “Loading of Test Simulators and Filler Material”), section 6.1, “Ambient Temperature and Humidity,” Figure 6, “Location of Ambient Temperature Indicators,” and normative appendix A, “Measurement Locations, Tolerances, Accuracies, and Other Characteristics” (only the measured quantities specified in section 1.2.1 of this appendix), as well as the requirements of this appendix. 1.2.1. Measured Quantities in Normative Appendix A of ASHRAE 72-2022 with Errata. The following measured quantities shall be in accordance with the specifications of normative appendix A of ASHRAE 72-2022 with Errata: dry bulb temperature (except for deviations specified in sections 1.3 and 1.4 of this appendix), electrical supply frequency, electrical supply potential, energy consumed (except for deviations specified in section 1.3 of this appendix), extent of non-perforated surface beyond edges of unit under test, front clearance, rear or side clearance, and time measurements. 1.2.2. Additional Specifications for ASHRAE 72-2022 with Errata. The term “refrigerator” used in ASHRAE 72-2022 with Errata shall instead refer to “blast chiller” or “blast freezer,” as applicable. In section 5.3 of ASHRAE 72-2022 with Errata, the phrase “all necessary components and accessories shall be installed prior to loading the storage and display areas with test simulators and filler material” shall be replaced with “all necessary components and accessories shall be installed prior to precooling the unit under test.” Section 5.3.5 shall also require that, prior to precooling the unit under test, the condensate pan shall be dry. 1.3. Data Recording Measurement Intervals. Measurements shall be continuously recorded during the test in intervals no greater than 10 seconds. 1.4. Test Conditions. The required test conditions shall have dry bulb temperature values according to Table D.1 when measured at point A in figure 6 of ASHRAE 72-2022 with Errata and according to section 6.1 of ASHRAE 72-2022 with Errata. Table D.1—Test Condition Values and Tolerances Test condition Value Tolerance Dry Bulb 86.0 °F Average over test period: ±1.8 °F. Individual measurements: ±3.6 °F. 1.5. Product Pan. The product pan shall be a 12 in. by 20 in. by 2.5 in., 22 gauge or heavier, and 300 series stainless steel pan. If the blast chiller or blast freezer is not capable of holding the 12 in. by 20 in. by 2.5 in. product pan dimensions, the manufacturer's recommended pan size shall be used, conforming as closely as possible to the 12 in. by 20 in. by 2.5 in. pan dimensions. 1.6. Product Temperature Measurement. The product temperature shall be measured in the geometric center of the measured product pans using an unweighted thermocouple placed 5/8 of an in. above the bottom of the measured product pan. The thermocouple leads shall be secured to the bottom of the measured product pan while also allowing for the transfer of the measured product pan from the heating source into the blast chiller's or blast freezer's cabinet. 1.7. Product Preparation. The product shall be made for each product pan and shall be loaded to 2 in. of product thickness ( i.e., depth) within the product pan unless an additional product pan with a product thickness of less than 2 in. is needed to meet the product capacity determined in section 2.1 of this appendix. A 20-percent-by-volume propylene glycol (1,2-Propanediol) mixture in water shall be prepared. In each product pan, pour the propylene glycol mixture over #20 mesh southern yellow pine sawdust to create a 22 percent to 78 percent by mass slurry. An example of an acceptable sawdust specification is the American Wood Fibers brand, #20 Mesh Pine Sawdust. Mix until the sawdust becomes completely saturated and leave uncovered in the product pan. Verify that the product pan thermocouple is fully submerged in the product mixture and reposition the product pan thermocouple to the requirements of section 1.6. of this appendix if the product pan thermocouple is incorrectly positioned after mixing. Each product pan shall be weighed before and after the food product simulator is added and prior to heating the product. The weight of the product shall not include the weight of the pans, thermocouples, or wires. A cumulative total of the product weight shall be calculated and the product pans shall continue to be loaded with the product mixture until the cumulative total reaches, but not exceeds, the product capacity determined in section 2.1 of this appendix with a tolerance of ±5 percent or ±2 pounds, whichever is less. The cumulative total weight of product, the weight of product in each individual pan, and the number of pans shall be recorded. 1.8. Product Pan Heating. Measured product pans shall be maintained at an average temperature of 160.0 °F ±1.8 °F and individual pan temperatures shall be maintained at 160 °F ±10 °F for a minimum of 8 hours prior to being loaded into the blast chiller or blast freezer. Non-measured product pans shall also be heated for a minimum of 8 hours prior to being loaded into the blast chiller or blast freezer and the non-measured product pans shall be placed in alternating positions with the measured product pans in the heating device. Data acquisition for the temperature of the measured product pans and time measurements shall begin to be recorded prior to the minimum of 8 hours heating period. 1.9. Product Pan Distribution. The product pans shall be spaced evenly throughout each vertical column of rack positions in the blast chiller or blast freezer without the product pans touching any other product pans and without the product pans touching the top and the bottom of the blast chiller or blast freezer cabinet. For blast chillers or blast freezers that have an additional product pan with a product thickness of less than 2 in., the additional product pan shall be placed as close to the middle rack position as possible while maintaining an even distribution of all product pans. If not all rack positions are occupied by product pans, the product pan locations shall be recorded. 1.10. Measured Product Pans. If multiple product pans are required per level of the blast chiller or blast freezer ( i.e., product pans can be loaded side-by-side at the same level), only the product temperature of one product pan per level shall be measured and the product pans measured should alternate vertical columns of the blast chiller or blast freezer cabinet so that each vertical column does not have two measured product pans on sequential levels. If a blast chiller or blast freezer requires an additional product pan with a thickness less than 2 in., the additional product pan shall not be measured for product temperature. 1.11. Stabilization. The blast chiller or blast freezer shall stabilize at the test conditions specified in section 1.4 of this appendix for at least 24 hours without operating. 1.12. Pre-cool Cycle. Data acquisition for the test condition temperatures specified in section 1.4 of this appendix and time measurements shall begin to be recorded prior to the pre-cool cycle. The pre-cool cycle shall be initiated on a blast chiller or blast freezer once the stabilization specified in section 1.11 of this appendix is complete. The fastest pre-cool cycle shall be selected. The pre-cool cycle shall be complete when the blast chiller or blast freezer notifies the user that the pre-cool is complete. If the blast chiller or blast freezer does not notify the user that the pre-cool cycle is complete, the pre-cool cycle shall be deemed complete when the blast chiller or blast freezer reaches 40 °F or 2 °F based on the blast chiller's or blast freezer's sensing probe for blast chillers and blast freezers, respectively. For blast chillers or blast freezers without any defined pre-cool cycles, the fastest blast chilling or blast freezing cycle shall be run with an empty cabinet until the blast chiller or blast freezer reaches 40 °F or 2 °F based on the blast chiller's or blast freezer's sensing probe. During the pre-cool cycle, the blast chiller's or blast freezer's sensing probe shall remain in its default or holstered position. The pre-cool test data to be recorded are the test condition temperatures specified in section 1.4 of this appendix, pre-cool cycle selected, pre-cool duration, and final pre-cool cabinet temperature based on the blast chiller's or blast freezer's sensing probe. 1.13. Loading. The blast chiller or blast freezer door shall be fully open to an angle of not less than 75 °F for loading at 4.0 ±1.0 minutes after the blast chiller or blast freezer completes the pre-cool cycle as specified in section 1.12 of this appendix. The door shall remain open to load all of the product pans for the entirety of the loading procedure. The door shall remain open for 20 seconds per roll-in rack and 15 seconds per product pan for roll-in and standard blast chillers or blast freezers, respectively. The total door open period shall have a tolerance of ±5 seconds. The blast chiller's or blast freezer's sensing probe shall be inserted into the geometric center of a product pan approximately 1 in. deep in the product mixture at the median pan level in the blast chiller or blast freezer. If the product pan at the median level is the additional product pan with less than 2 in. of product thickness, the closest product pan or product pan level that is farthest away from the evaporator fan shall be used to insert the blast chiller's or blast freezer's sensing probe. If the median pan level has capacity for multiple product pans, the probed product pan shall be the furthest away from the evaporator. The sensing probe shall not touch the bottom of the product pan or be exposed to the air. The location of the product pan with the sensing probe shall be recorded. The sensing probe shall be placed so that there is no interference with the product pan thermocouple. The product pan thermocouple wiring shall not affect the energy performance of the blast chiller or blast freezer. The door shall remain closed for the remainder of the test. 1.14. Blast Chilling or Blast Freezing Cycle. Determine the blast chilling or blast freezing cycle that will conduct the most rapid product temperature pulldown that is designed for the densest food product, as stated in the blast chiller's or blast freezer's manufacturer literature. A blast chilling cycle shall have a target temperature of 38.0 °F and a blast freezing cycle shall have a target temperature of 0.0 °F. The test condition temperatures specified in section 1.4 of this appendix and the time measurements shall continue to be recorded from the pre-cool cycle. Measured product pan temperatures shall continue to be recorded from the minimum of 8-hour period of heating prior to the loading of the product pans into the blast chiller or blast freezer. Electrical supply frequency, electrical supply potential, and energy consumed shall start to be recorded as soon as the blast chiller or blast freezer door is opened to load the product pans. Once the blast chiller or blast freezer door is closed, the blast chilling cycle or blast freezing cycle shall be selected and initiated as soon as is practicable. The blast chilling cycle or blast freezing cycle selected shall be recorded. The blast chilling or blast freezing test period shall continue from the door opening until all individual measured pan temperatures are at or below 40.0 °F or 2.0 °F for blast chiller and blast freezer tests, respectively, regardless of whether the selected cycle program has terminated. If all individual measured pan temperatures do not reach 40.0 °F or 2.0 °F for blast chiller and blast freezer tests, respectively, two hours after the selected cycle program has terminated, the test shall be repeated with the target temperature lowered by 1.0 °F until all individual measured pan temperatures are at or below 40.0 °F or 2.0 °F for blast chiller and blast freezer tests, respectively, at the conclusion of the test. The duration of the blast chiller or blast freezer test shall be recorded. 1.15. Calculations. The measured energy consumption determined in section 1.14 of this appendix shall be reported in kilowatt-hours and shall be divided by the cumulative total weight of product determined in section 1.7 of this appendix in pounds. 2. Capacity Metric 2.1. Product Capacity. Determine the product capacity by reviewing all manufacturer literature that is included with the blast chiller or blast freezer. The largest product capacity by weight that is stated in the manufacturer literature shall be the product capacity. If the blast chiller or blast freezer is able to operate as both a blast chiller and a blast freezer when set to different operating modes by the user and the manufacturer literature specifies different product capacities for blast chilling and blast freezing, the largest capacity by weight stated for the respective operating mode shall be the product capacity. If no product capacity is stated in the manufacturer literature, the product capacity shall be the product capacity that fills the maximum number of 12 in. by 20 in. by 2.5 in. pans that can be loaded into the blast chiller or blast freezer according to section 1.7 of this appendix. If the blast chiller or blast freezer with no product capacity stated in the manufacturer literature is not capable of meeting the definition of a blast chiller or blast freezer according to § 431.62 upon testing according to section 1 of this appendix, one 12 in. by 20 in. by 2.5 in. pan shall be removed from the blast chiller or blast freezer until the definition of a blast chiller or blast freezer is met according to § 431.62 when testing according to section 1 of this appendix. Subpart D—Commercial Warm Air Furnaces § 431.71 Purpose and scope. This subpart contains energy conservation requirements for commercial warm air furnaces, pursuant to Part C of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317. § 431.72 Definitions concerning commercial warm air furnaces. The following definitions apply for purposes of this subpart D, 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 Section 340 of the Act. Basic model means all commercial warm air furnaces manufactured by one manufacturer within a single equipment class, that have the same nominal input rating and the same primary energy source (e.g. gas or oil) and that do not have any differing physical or functional characteristics that affect energy efficiency. Commercial warm air furnace means a warm air furnace that is industrial equipment, and that has a capacity (rated maximum input) of 225,000 Btu per hour or more. Thermal efficiency for a commercial warm air furnace equals 100 percent minus percent flue loss determined using test procedures prescribed under § 431.76. Thermal efficiency two for a commercial warm air furnace equals 100 percent minus percent flue loss and jacket loss. Warm air furnace means a self-contained oil-fired or gas-fired furnace designed to supply heated air through ducts to spaces that require it and includes combination warm air furnace/electric air conditioning units but does not include unit heaters and duct furnaces. Test Procedures § 431.75 Materials incorporated by reference. (a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 1000 Independence Ave. SW, EE-5B, Washington, DC 20585, (202) 586-9127, Buildings@ee.doe.gov, www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, visit: www.archives.gov/federal-register/cfr/ibr-locations.html or email: fr.inspection@nara.gov. The material may be obtained from the sources in the following paragraphs of this section. (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 524-8800, or online at: www.ahrinet.org. (1) ANSI/AHRI 1500-2015 (“AHRI 1500-2015”), Performance Rating of Commercial Space Heating Boilers, ANSI-approved November 28, 2014; IBR approved for appendix A to this subpart. (2) [Reserved] (c) ANSI. American National Standards Institute. 25 W 43rd Street, 4th Floor, New York, NY 10036. (212) 642-4900 or online at: www.ansi.org. (1) CSA/ANSI Z21.47:21, (“ANSI Z21.47-2021”), Gas-fired central furnaces, ANSI-approved April 21, 2021; IBR approved for appendices A and B to this subpart. (2) [Reserved] (d) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers Inc., 180 Technology Parkway NW, Peachtree Corners, Georgia 30092, (404) 636-8400, or online at: www.ashrae.org. (1) ANSI/ASHRAE 103-2022 (“ASHRAE 103-2022”), Method of Testing for Annual Fuel Utilization Efficiency of Residential Central Furnaces and Boilers, approved January 10, 2022; IBR approved for appendix A to this subpart. (2) [Reserved] (e) ASME. American Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007, (973) 882-1170, or online at: www.asme.org. (1) ANSI/ASME PTC 19.3-1974 (R2004), Supplement to ASME Performance Test Codes: Part 3: Temperature Measurement, Instruments and Apparatus, reaffirmed 2004; IBR approved for appendix A to this subpart. (2) [Reserved] (f) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428, (877) 909-2786, or online at: www.astm.org/. (1) ASTM D240-09, Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter, approved July 1, 2009; IBR approved for appendix A to this subpart. (2) ASTM D396-14a, Standard Specification for Fuel Oils, approved October 1, 2014; IBR approved for appendix A to this subpart. (3) ASTM D4809-09a, Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method); approved September 1, 2009; IBR approved for appendix A to this subpart. (4) ASTM D5291-10, Standard Test Methods for Instrumental Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants, approved May 1, 2010; IBR approved for appendix A to this subpart. (5) ASTM E230/E230M-17 (“ASTM E230/E230M-17”), Standard Specification for Temperature-Electromotive Force (emf) Tables for Standardized Thermocouples, approved November 1, 2017; IBR approved for appendix A to this subpart. (g) NFPA. National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02169-7471, 1-800-344-3555, or online at: www.nfpa.org. (1) NFPA 97 (“NFPA 97-2003”), Standard Glossary of Terms Relating to Chimneys, Vents, and Heat-Producing Appliances; copyright 2023; IBR approved for appendix A to this subpart. (2) [Reserved] (h) UL. Underwriters Laboratories, Inc., 333 Pfingsten Road, Northbrook, IL 60062, (847) 272-8800, or online at: www.ul.com. (1) UL 727 (“UL 727-2018”), Standard for Safety Oil-Fired Central Furnaces, Tenth Edition, published January 31, 2018; IBR approved for appendix A to this subpart. (2) [Reserved] § 431.76 Uniform test method for the measurement of energy efficiency of commercial warm air furnaces. (a) Scope. This section prescribes the test requirements used to measure the energy efficiency of commercial warm air furnaces with a rated maximum input of 225,000 Btu per hour or more. (b) Testing and calculations —(1) Thermal efficiency. Test in accordance with appendix A to subpart D of this part when making representations of thermal efficiency. (2) Thermal efficiency two. Test in accordance with appendix B to subpart D of this part when making representations of thermal efficiency two. Energy Conservation Standards § 431.77 Energy conservation standards and their effective dates. (a) Gas-fired commercial warm air furnaces. Each gas-fired commercial warm air furnace must meet the following energy efficiency standard levels: (1) For gas-fired commercial warm air furnaces manufactured starting on January 1, 1994, until January 1, 2023, the TE at the maximum rated capacity (rated maximum input) must be not less than 80 percent; and (2) For gas-fired commercial warm air furnaces manufactured starting on January 1, 2023, the TE at the maximum rated capacity (rated maximum input) must be not less than 81 percent. (b) Oil-fired commercial warm air furnaces. Each oil-fired commercial warm air furnace must meet the following energy efficiency standard levels: (1) For oil-fired commercial warm air furnaces manufactured starting on January 1, 1994, until January 1, 2023, the TE at the maximum rated capacity (rated maximum input) must be not less than 81 percent; and (2) For oil-fired commercial warm air furnaces manufactured starting on January 1, 2023, the TE at the maximum rated capacity (rated maximum input) must be not less than 82 percent. Appendix A to Subpart D of Part 431—Uniform Test Method for Measurement of the Energy Efficiency of Commercial Warm Air Furnaces (Thermal Efficiency) Note: On and after May 28, 2024, any representations made with respect to the energy use or efficiency of commercial warm air furnaces must be made in accordance with the results of testing pursuant to this section. At that time, manufacturers must use the relevant procedures specified in this appendix, which reference ANSI Z21.47-2021, ASHRAE 103-2022, UL 727-2018, or AHRI 1500-2015. On and after July 3, 2023 and prior to May 28, 2024, manufacturers must test commercial warm air furnaces in accordance with this appendix or 10 CFR 431.76 as it appeared on January 1, 2023. DOE notes that, because testing under this section is required as of May 28, 2024, manufacturers may wish to begin using this amended test procedure as soon as possible. Any representations made with respect to the energy use or efficiency of such commercial warm air furnaces must be made in accordance with whichever version is selected. Manufacturers must use the results of testing under appendix B to this subpart to determine compliance with any standards for commercial warm air furnaces that use the thermal efficiency 2 (TE2) metric. 0. Incorporation by reference. In § 431.75, DOE incorporated by reference the entire standard for AHRI 1500-2015, ANSI Z21.47-2021, ASHRAE 103-2022, ASME PTC 19.3-1974 (R2004), ASTM D240-09, ASTM D396-14a, ASTM D4809-09a, ASTM D5291-10, ASTM E230/E230M-17, NFPA 97-2003, and UL 727-2018. However, for standards AHRI 1500-2015, ANSI Z21.47-2021, ASHRAE 103-2022, and UL 727-2018, only the enumerated provisions of those documents apply to this appendix, as follows: 0.1 ANSI Z21.47-2021 (a) Sections 5.1, 5.1.4, 5.2, 5.3, 5.4, 5.5, 5.5.1, 5.6, and 7.2.1 as specified in section 1.1 of this appendix; (b) Section 5.40 as specified in sections 1.1 and 3.1 of this appendix; (c) Section 5.2.8 as specified in section 4.1 of this appendix; (d) Annex I as specified in section 3.1 of this appendix. 0.2 ASHRAE 103-2022 (a) Sections 7.2.2.4, 7.8, and 9.2 as specified in section 2.2 of this appendix; (b) Sections 11.3.7.1 and 11.3.7.2 as specified in section 4.1 of this appendix. 0.3 UL 727-2018 (a) Sections 2, 3, 37, 38 and 39, 40, 40.6, 41, 42, 43.2, 44, 45, and 46 as specified in section 1.2 of this appendix; (b) Figure 40.3 as specified in section 2.1 of this appendix. 0.4 AHRI 1500-2015 (a) Section C3.2.1.1 as specified in section 1.2 of this appendix; (b) Sections C7.2.4, C7.2.5, and C7.2.6.2 as specified in section 3.2 of this appendix. 1. Test setup and Testing. Where this section prescribes use of ANSI Z21.47-2021 or UL 727-2018, perform only the procedures pertinent to the measurement of the steady-state efficiency, as specified in this section. 1.1 Gas-fired commercial warm air furnaces. The test setup, including flue requirement, instrumentation, test conditions, and measurements for determining thermal efficiency are as specified in section 1.3 of this appendix, and the following sections of ANSI Z21.47-2021: 5.1 (General, including ASME PTC 19.3-1974 (R2004) as referenced in Section 5.1.4), 5.2 (Basic test arrangements), 5.3 (Test ducts and plenums), 5.4 (Test gases), 5.5 (Test pressures and burner adjustments), 5.6 (Static pressure and air flow adjustments), 5.40 (Thermal efficiency), and 7.2.1 (Basic test arrangements for direct vent central furnaces). If section 1.3 of this appendix and ANSI Z21.47-2021 have conflicting provisions ( e.g., the number of thermocouples that should be used when testing units with flue outlets that have a cross-sectional area of 3.14 square inches or less), follow the provisions in section 1.3 of this appendix. The thermal efficiency test must be conducted only at the normal inlet test pressure, as specified in section 5.5.1 of ANSI Z21.47-2021, and at the maximum hourly Btu input rating specified by the manufacturer for the product being tested. 1.2 Oil-fired commercial warm air furnaces. The test setup, including flue requirement, instrumentation, test conditions, and measurement for measuring thermal efficiency is as specified in section 1.3 of this appendix and the following sections of UL 727-2018: 2 (Units of Measurement), 3 (Glossary, except that the definitions for “combustible” and “non-combustible” in sections 3.11 and 3.27 shall be as referenced in NFPA 97-2003), 37 (General), 38 and 39 (Test Installation), 40 (Instrumentation, except 40.4 and 40.6.2 through 40.6.7 which are not required for the thermal efficiency test, and including ASTM E230/E230M-17 as referenced in Sections 40.6), 41 (Initial Test Conditions), 42 (Combustion Test—Burner and Furnace), 43.2 (Operation Tests), 44 (Limit Control Cutout Test), 45 (Continuity of Operation Test), and 46 (Air Flow, Downflow or Horizontal Furnace Test). If section 1.3 of this appendix and UL 727-2018 have conflicting provisions ( e.g., the number of thermocouples that should be used when testing units with flue outlets that have a cross-sectional area of 3.14 inches or less), follow the provisions in section 1.3 of this appendix. Conduct a fuel oil analysis for heating value, hydrogen content, carbon content, pounds per gallon, and American Petroleum Institute (API) gravity as specified in section C3.2.1.1 of AHRI 1500-2015, including the applicable provisions of ASTM D240-09, ASTM D4809-09a, ASTM D5291-10, and ASTM D396-14a, as referenced. The steady-state combustion conditions, specified in section 42.1 of UL 727-2018, are attained when variations of not more than 5 °F in the measured flue gas temperature occur for three consecutive readings taken 15 minutes apart. 1.3 Additional test setup requirements for gas-fired and oil-fired commercial warm air furnaces 1.3.1 Thermocouple setup for gas-fired and oil-fired commercial warm air furnaces with flue outlets that have a cross-sectional area of 3.14 square inches or less. For units with flue outlets having a cross-sectional area of 3.14 square inches or less, the flue gas temperatures may optionally be measured using five individual thermocouples, instead of nine thermocouples. 1.3.2 Procedure for flue gas measurements when testing units with multiple flue outlets. For units that have multiple flue outlets, record flue gas measurements ( e.g., flue gas temperature, CO 2 in the flue gasses) separately for each individual flue outlet and calculate a weighted-average value based on the readings of all flue outlets. To determine the weighted average for each measurement, first determine the input rating of the furnace module associated with each flue outlet. Then multiply the ratio of the input rating for the furnace module associated with each individual flue outlet to the total nameplate input rating of the furnace ( i.e., the input rating associated with each individual flue outlet divided by the total nameplate input rating) by that flue outlet's respective component measurement and the sum of all of the products of the calculations for all of the flue outlets to determine the weighted-average values. Use the weighted-average values to determine flue loss, and whether equilibrium conditions are met before the official test period. 2. Additional test measurements 2.1 Determination of flue CO 2 (carbon dioxide) or O 2 (oxygen) for oil-fired commercial warm air furnaces. In addition to the flue temperature measurement specified in section 40.6.8 of UL 727-2018, locate one or two sampling tubes within six inches downstream from the flue temperature probe (as indicated on Figure 40.3 of UL 727-2018). If an open end tube is used, it must project into the flue one-third of the chimney connector diameter. If other methods of sampling the flue gas are used, place the sampling tube so as to obtain an average sample. There must be no air leak between the temperature probe and the sampling tube location. Collect the flue gas sample at the same time the flue gas temperature is recorded. The CO 2 or O 2 concentration of the flue gas must be as specified by the manufacturer for the product being tested, with a tolerance of ±0.1 percent. Determine the flue CO 2 or O 2 using an instrument with a reading error no greater than ±0.1 percent. 2.2 Procedure for the measurement of condensate for a gas-fired condensing commercial warm air furnace. The test procedure for the measurement of the condensate from the flue gas under steady-state operation must be conducted as specified in sections 7.2.2.4, 7.8, and 9.2 of ASHRAE 103-2022 under the maximum rated input conditions. This condensate measurement must be conducted for an additional 30 minutes of steady-state operation after completion of the steady-state thermal efficiency test specified in section 1.1 of this appendix. 3. Calculation of thermal efficiency 3.1 Gas-fired commercial warm air furnaces. Use the calculation procedure specified in Section 5.40, Thermal efficiency, of ANSI Z21.47-2021. When determining the flue loss that is used in the calculation of thermal efficiency, the calculation method specified in Annex I of ANSI Z21.47-2021 shall be used. 3.2 Oil-fired commercial warm air furnaces. Calculate the percent flue loss (in percent of heat input rate) by following the procedure specified in sections C7.2.4, C7.2.5, and C7.2.6.2 of the AHRI 1500-2015. The thermal efficiency must be calculated as: Thermal Efficiency (percent) = 100 percent − flue loss (in percent). 4. Procedure for the calculation of the additional heat gain and heat loss, and adjustment to the thermal efficiency, for a condensing commercial warm air furnace. 4.1 Calculate the latent heat gain from the condensation of the water vapor in the flue gas, and calculate heat loss due to the flue condensate down the drain, as specified in sections 11.3.7.1 and 11.3.7.2 of ASHRAE 103-2022, with the exception that in the equation for the heat loss due to hot condensate flowing down the drain in section 11.3.7.2, the assumed indoor temperature of 70 °F and the temperature term T OA must be replaced by the measured room temperature as specified in section 5.2.8 of ANSI Z21.47. 4.2 Adjustment to the thermal efficiency for condensing commercial warm air furnaces. Adjust the thermal efficiency as calculated in section 3.1 of this appendix by adding the latent gain, expressed in percent, from the condensation of the water vapor in the flue gas, and subtracting the heat loss (due to the flue condensate down the drain), also expressed in percent, both as calculated in section 4.1 of this appendix, to obtain the thermal efficiency of a condensing furnace. Appendix B to Subpart D of Part 431-Uniform Test Method for Measurement of the Energy Efficiency of Commercial Warm Air Furnaces (Thermal Efficiency Two) Note: Manufacturers must use the results of testing under this appendix B to determine compliance with any standards for commercial warm air furnaces that use the thermal efficiency 2 (TE2) metric. In addition, manufacturers may optionally make representations of energy use or efficiency of this equipment using TE2 as determined using this appendix starting on July 3, 2023. 0. Incorporation by Reference. In § 431.75, DOE incorporates by reference the entire standard ANSI Z21.47-2021. However, only section 5.40 and Appendix J of ANSI Z21.47-2021 apply, as specified in sections 1.2 and 1.6 of this appendix. 1. Testing 1.1 Set up and test the unit according to sections 0 through 4 of appendix A to this subpart, while operating the unit at the maximum nameplate input rate ( i.e., full load). Calculate thermal efficiency (TE) using the procedure specified in sections 3 and 4 of appendix A to this subpart. 1.2 For commercial warm air furnaces that are designed for outdoor installation (including but not limited to CWAFs that are weatherized, or approved for resistance to wind, rain, or snow), or indoor installation within an unheated space ( i.e., isolated combustion systems), determine the jacket loss using Section 5.40 and Annex J of ANSI Z21.47-2021 while the unit is operating at the maximum nameplate input. The jacket shall consist of the surfaces surrounding the heating section of the furnace. The jacket includes all surfaces separating the heating section from the supply air, outside air, or condenser section, including the bottom surface separating the heating section from the basepan. 1.3 For commercial warm air furnaces that are designed only for indoor installation within a heated space, jacket loss shall be zero. For commercial warm air furnaces that are designed for indoor installation within a heated or unheated space, multiply the jacket loss determined in section 1.2 of this appendix by 1.7. For all other commercial warm air furnaces, including commercial warm air furnaces that are designed for outdoor installation (including but not limited to CWAFs that are weatherized, or approved for resistance to wind, rain, or snow), multiply the jacket loss determined in section 1.2 of this appendix by 3.3. 1.4 Subtract the jacket loss determined in section 1.3 of this appendix from the TE determined in section 1.1 of this appendix to determine the full-load efficiency. 1.5 Set up and test the unit according to sections 0 through 4 of appendix A to this subpart, while operating the unit at the nameplate minimum input rate ( i.e., part load). Calculate TE using the procedure specified in sections 3 and 4 of appendix A to this subpart. 1.6 For commercial warm air furnaces that are designed for outdoor installation (including but not limited to CWAFs that are weatherized, or approved for resistance to wind, rain, or snow), or indoor installation within an unheated space ( i.e., isolated combustion systems), determine the jacket loss using Section 5.40 and Annex J of ANSI Z21.47-2021 while the unit is operating at the minimum nameplate input. Alternatively, the jacket loss determined in section 1.2 of this appendix at the maximum nameplate input may be used. 1.7 For commercial warm air furnaces that are designed only for indoor installation within a heated space, jacket loss shall be zero. For commercial warm air furnaces that are designed for indoor installation within a heated or unheated space, multiply the jacket loss determined in section 1.6 of this appendix by 1.7. For all other commercial warm air furnaces, including commercial warm air furnaces that are designed for outdoor installation (including but not limited to CWAFs that are weatherized, or approved for resistance to wind, rain, or snow), multiply the jacket loss determined in section 1.6 of this appendix by 3.3. 1.8 Subtract the jacket loss determined in section 1.7 of this appendix from the TE determined in section 1.5 of this appendix to determine the part-load efficiency. 1.9 Calculate TE2 by taking the average of the full-load and part-load efficiencies as determined in sections 1.4 and 1.8 of this appendix, respectively. Subpart E—Commercial Packaged Boilers § 431.81 Purpose and scope. This subpart contains energy conservation requirements for certain commercial packaged boilers, pursuant to Part C of Title III of the Energy Policy and Conservation Act. (42 U.S.C. 6311-6317) § 431.82 Definitions concerning commercial packaged boilers. The following definitions apply for purposes of this subpart E, and of subparts A and 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 means all commercial packaged boilers manufactured by one manufacturer within a single equipment class having the same primary energy source (e.g., gas or oil) and that have essentially identical electrical, physical and functional characteristics that affect energy efficiency. Btu/h or Btu/hr means British thermal units per hour. Combustion efficiency for a commercial packaged boiler is a measurement of how much of the fuel input energy is converted to useful heat in combustion and is calculated as 100-percent minus percent losses due to dry flue gas, incomplete combustion, and moisture formed by combustion of hydrogen, as determined with the test procedures prescribed under § 431.86 of this chapter. Commercial packaged boiler means a packaged boiler that meets all of the following criteria: (1) Has rated input of 300,000 Btu/h or greater; (2) Is, to any significant extent, distributed in commerce for space conditioning and/or service water heating in buildings but does not meet the definition of “hot water supply boiler” in this part; (3) Does not meet the definition of “field-constructed” in this section; and (4) Is designed to: (i) Operate at a steam pressure at or below 15 psig; (ii) Operate at or below a water pressure of 160 psig and water temperature of 250 °F; or (iii) Operate at the conditions specified in both paragraphs (4)(i) and (ii) of this definition. Condensing boiler means a commercial packaged boiler that condenses part of the water vapor in the flue gases, and that includes a means of collecting and draining this condensate from its heat exchanger section. Field-constructed means custom-designed equipment that requires welding of structural components in the field during installation. For the purposes of this definition, welding does not include attachment using mechanical fasteners or brazing; any jackets, shrouds, venting, burner, or burner mounting hardware are not structural components. Flue condensate means liquid formed by the condensation of moisture in the flue gases. Fuel input rate for a commercial packaged boiler means the measured rate at which the commercial packaged boiler uses energy and is determined using test procedures prescribed under § 431.86 of this chapter. Manufacturer of a commercial packaged boiler means any person who manufactures, produces, assembles or imports such a boiler, including any person who: (1) Manufactures, produces, assembles or imports a commercial packaged boiler in its entirety; (2) Manufactures, produces, assembles or imports a commercial packaged boiler in part, and specifies or approves the boiler's components, including burners or other components produced by others, as for example by specifying such components in a catalogue by make and model number or parts number; or (3) Is any vendor or installer who sells a commercial packaged boiler that consists of a combination of components that is not specified or approved by a person described in paragraph (1) or (2) of this definition. Packaged boiler means a boiler that is shipped complete with heating equipment, mechanical draft equipment, and automatic controls and is usually shipped in one or more sections. If the boiler is shipped in more than one section, the sections may be produced by more than one manufacturer, and may be originated or shipped at different times and from more than one location. Rated input means the maximum rate at which the commercial packaged boiler has been rated to use energy as indicated by the nameplate and in the manual shipped with the commercial packaged boiler. Thermal efficiency for a commercial packaged boiler is determined using test procedures prescribed under § 431.86 and is the ratio of the heat absorbed by the water or the water and steam to the higher heating value in the fuel burned. Test Procedures § 431.85 Materials incorporated by reference. (a) General. We incorporate by reference the following standards into subpart E of part 431. The material listed has 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 a standard by the standard-setting organization will not affect the DOE regulations unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the Federal Register. All approved material is 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/. Standards can be obtained from the sources listed below. (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) AHRI Standard 1500-2015, (“ANSI/AHRI Standard 1500-2015”), “2015 Standard for Performance Rating of Commercial Space Heating Boilers,” ANSI approved November 28, 2014, IBR approved for appendix A to subpart E as follows: (i) Section 3—Definitions (excluding introductory text to section 3, introductory text to 3.2, 3.2.4, 3.2.7, 3.6, 3.12, 3.13, 3.20, 3.23, 3.24, 3.26, 3.27, and 3.31); (ii) Section 5—Rating Requirements, 5.3 Standard Rating Conditions: (excluding introductory text to section 5.3, 5.3.5, 5.3.8, and 5.3.9); (iii) Appendix C—Methods of Testing for Rating Commercial Space Heating Boilers—Normative, excluding C2.1, C2.7.2.2.2, C3.1.3, C3.5-C3.7, C4.1.1.1.2, C4.1.1.2.3, C4.1.2.1.5, C4.1.2.2.2, C4.1.2.2.3, C4.2, C5, C7.1, C7.2.12, C7.2.20; (iv) Appendix D. Properties of Saturated Steam—Normative. (v) Appendix E. Correction Factors for Heating Values of Fuel Gases—Normative. (2) [Reserved]. § 431.86 Uniform test method for the measurement of energy efficiency of commercial packaged boilers. (a) Scope. This section provides test procedures, pursuant to the Energy Policy and Conservation Act (EPCA), as amended, which must be followed for measuring the combustion efficiency and/or thermal efficiency of a gas- or oil-fired commercial packaged boiler. (b) Testing and Calculations. Determine the thermal efficiency or combustion efficiency of commercial packaged boilers by conducting the appropriate test procedure(s) indicated in Table 1 of this section. Table 1—Test Requirements for Commercial Packaged Boiler Equipment Classes Equipment category Subcategory Certified rated input Btu/h Standards efficiency metric (§ 431.87) Test procedure (corresponding to standards efficiency metric required by § 431.87) Hot Water Gas-fired ≥300,000 and ≤2,500,000 Thermal Efficiency Appendix A, Section 2. Hot Water Gas-fired >2,500,000 Combustion Efficiency Appendix A, Section 3. Hot Water Oil-fired ≥300,000 and ≤2,500,000 Thermal Efficiency Appendix A, Section 2. Hot Water Oil-fired >2,500,000 Combustion Efficiency Appendix A, Section 3. Steam Gas-fired (all*) ≥300,000 and ≤2,500,000 Thermal Efficiency Appendix A, Section 2. Steam Gas-fired (all*) >2,500,000 and ≤5,000,000 Thermal Efficiency Appendix A, Section 2. >5,000,000 Thermal Efficiency Appendix A, Section 2. OR Appendix A, Section 3 with Section 2.4.3.2. Steam Oil-fired ≥300,000 and ≤2,500,000 Thermal Efficiency Appendix A, Section 2. Steam Oil-fired >2,500,000 and ≤5,000,000 Thermal Efficiency Appendix A, Section 2. >5,000,000 Thermal Efficiency Appendix A, Section 2. OR Appendix A, Section 3. with Section 2.4.3.2. * Equipment classes for commercial packaged boilers as of July 22, 2009 (74 FR 36355) distinguish between gas-fired natural draft and all other gas-fired (except natural draft). (c) Field Tests. The field test provisions of appendix A may be used only to test a unit of commercial packaged boiler with rated input greater than 5,000,000 Btu/h. Energy Efficiency Standards § 431.87 Energy conservation standards and their effective dates. (a) Each commercial packaged boiler listed in table 1 of this paragraph (a) and manufactured on or after the effective date listed must meet the indicated energy conservation standard. Table 1 to Paragraph (a) —Commercial Packaged Boiler Energy Conservation Standards Equipment category Subcategory Certified rated input Efficiency level—effective date: March 2, 2012 * Hot Water Commercial Packaged Boilers Gas-fired ≥300,000 Btu/h and ≤2,500,000 Btu/h 80.0% E T . Hot Water Commercial Packaged Boilers Gas-fired >2,500,000 Btu/h 82.0% E C . Hot Water Commercial Packaged Boilers Oil-fired ≥300,000 Btu/h and ≤2,500,000 Btu/h 82.0% E T . Hot Water Commercial Packaged Boilers Oil-fired >2,500,000 Btu/h 84.0% E C . Steam Commercial Packaged Boilers Gas-fired, all, except natural draft ≥300,000 Btu/h and ≤2,500,000 Btu/h 79.0% E T . Steam Commercial Packaged Boilers Gas-fired, all, except natural draft >2,500,000 Btu/h 79.0% E T . Steam Commercial Packaged Boilers Gas-fired—natural draft ≥300,000 Btu/h and ≤2,500,000 Btu/h 77.0% E T . Steam Commercial Packaged Boilers Gas-fired—natural draft >2,500,000 Btu/h 77.0% E T . Steam Commercial Packaged Boilers Oil-fired ≥300,000 Btu/h and ≤2,500,000 Btu/h 81.0% E T . Steam Commercial Packaged Boilers Oil-fired >2,500,000 Btu/h 81.0% E T . * Where E C is combustion efficiency and E T is thermal efficiency. (b) Each commercial packaged boiler listed in table 2 of this paragraph (b) and manufactured on or after the effective date listed in Table 2 must meet the indicated energy conservation standard. Table 2 to Paragraph (b) —Commercial Packaged Boiler Energy Conservation Standards Equipment category Subcategory Certified rated input Efficiency level—effective date: March 2, 2022 * Steam Commercial Packaged Boilers Gas-fired—natural draft ≥300,000 Btu/h and ≤2,500,000 Btu/h 79.0% E T . Steam Commercial Packaged Boilers Gas-fired—natural draft >2,500,000 Btu/h 79.0% E T . * Where E T is thermal efficiency. Appendix A to Subpart E of Part 431—Uniform Test Method for the Measurement of Thermal Efficiency and Combustion Efficiency of Commercial Packaged Boilers Note: Prior to December 4, 2017, manufacturers must make any representations with respect to the energy use or efficiency of commercial packaged boilers in accordance with the results of testing pursuant to this Appendix or the test procedures as they appeared in 10 CFR 431.86 revised as of January 1, 2016. On and after December 4, 2017, manufacturers must make any representations with respect to energy use or efficiency in accordance with the results of testing pursuant to this appendix. 1. Definitions. For purposes of this appendix, the Department of Energy incorporates by reference the definitions established in section 3 of the American National Standards Institute (ANSI) and Air-Conditioning, Heating, and Refrigeration Institute (AHRI) Standard 1500, “2015 Standard for Performance Rating of Commercial Space Heating Boilers,” beginning with 3.1 and ending with 3.35 (incorporated by reference, see § 431.85; hereafter “ANSI/AHRI Standard 1500-2015”), excluding the introductory text to section 3, the introductory text to section 3.2, “Boiler”; 3.2.4, “Heating Boiler”; 3.2.7, “Packaged Boiler”; 3.6, “Combustion Efficiency”; 3.12, “Efficiency, Combustion”; 3.13, “Efficiency, Thermal”; 3.20, “Gross Output”; 3.23, “Input Rating”; 3.24, “Net Rating”; 3.26, “Published Rating”; 3.26.1, “Standard Rating”; 3.27, “Rating Conditions”; 3.27.1, “Standard Rating Conditions”; and 3.31, “Thermal Efficiency.” In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over ANSI/AHRI Standard 1500-2015. 1.1. In all incorporated sections of ANSI/AHRI Standard 1500-2015, references to the manufacturer's “specifications,” “recommendations,” “directions,” or “requests” mean the manufacturer's instructions in the installation and operation manual shipped with the commercial packaged boiler being tested or in supplemental instructions provided by the manufacturer pursuant to § 429.60(b)(4) of this chapter. For parameters or considerations not specified in this appendix, refer to the manual shipped with the commercial packaged boiler. Should the manual shipped with the commercial packaged boiler not provide the necessary information, refer to the supplemental instructions for the basic model pursuant to § 429.60(b)(4) of this chapter. The supplemental instructions provided pursuant to § 429.60(b)(4) of this chapter do not replace or alter any requirements in this appendix nor do they override the manual shipped with the commercial packaged boiler. In cases where these supplemental instructions conflict with any instructions or provisions provided in the manual shipped with the commercial packaged boiler, use the manual shipped with the commercial packaged boiler. 1.2. Unless otherwise noted, in all incorporated sections of ANSI/AHRI Standard 1500-2015, the term “boiler” means a commercial packaged boiler as defined in § 431.82. 1.3. Unless otherwise noted, in all incorporated sections of ANSI/AHRI Standard 1500-2015, the term “input rating” means “rated input” as defined in § 431.82. 2. Thermal Efficiency Test. 2. 1. Test Setup. 2.1.1. Instrumentation. Use instrumentation meeting the minimum requirements found in Table C1 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85). 2.1.2. Data collection and sampling. Record all test data in accordance with Table 2.1 and Table 2.2. Do not use Section C5 and Table C4 of Appendix C of ANSI/AHRI Standard 1500-2015. Table 2.1—Data To Be Recorded Before Testing Item recorded Additional instruction Date of Test None. Manufacturer None. Commercial Packaged Boiler Model Number None. Burner Model Number & Manufacturer None. Nozzle description and oil pressure None. Oil Analysis—H, C, API Gravity, lb/gal and Btu/lb None. Gas Manifold Pressure Record at start and end of test. Gas line pressure at meter Measurement may be made manually. Gas temperature Measurement may be made manually. Barometric Pressure (Steam and Natural Gas Only) Measurement may be made manually. Gas Heating Value, Btu/ft 3 * Record at start and end of test. * Multiplied by correction factors, as applicable, in accordance with Appendix E of ANSI/AHRI Standard 1500-2015. 2.1.3. Instrument Calibration. Instruments must be calibrated at least once per year and a calibration record, containing at least the date of calibration and the method of calibration, must be kept as part of the data underlying each basic model certification, pursuant to § 429.71 of this chapter. 2.1.4. Test Setup and Apparatus. Set up the commercial packaged boiler for thermal efficiency testing according to the provisions of Section C2 (except section C2.1) of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85). 2.1.4.1. For tests of oil-fired commercial packaged boilers, determine the weight of fuel consumed using one of the methods specified in the following sections 2.1.4.1.1. or 2.1.4.1.2. of this appendix: 2.1.4.1.1. If using a scale, determine the weight of fuel consumed as the difference between the weight of the oil vessel before and after each measurement period, as specified in sections 2.1.4.1.3.1. or 2.1.4.1.3.2. of this appendix, determined using a scale meeting the accuracy requirements of Table C1 of Appendix C of ANSI/AHRI Standard 1500-2015. 2.1.4.1.2. If using a flow meter, first determine the volume of fuel consumed as the total volume over the applicable measurement period as specified in 2.1.4.1.3.1. or 2.1.4.1.3.2. of this appendix and as measured by a flow meter meeting the accuracy requirements of Table C1 of Appendix C of ANSI/AHRI Standard 1500-2015 upstream of the oil inlet port of the commercial packaged boiler. Then determine the weight of fuel consumed by multiplying the total volume of fuel over the applicable measurement period by the density of oil as determined pursuant to C3.2.1.1.3. of Appendix C of ANSI/AHRI Standard 1500-2015. 2.1.4.1.3. The applicable measurement period for the purposes of determining fuel input rate must be as specified in section 2.1.4.1.3.1. of this appendix for the “Warm-Up Period” or section 2.1.4.1.3.2. of this appendix for the “Test Period.” 2.1.4.1.3.1. For the purposes of confirming steady-state operation during the “Warm-Up Period,” the measurement period must be 15 minutes and t T in Equation C2 in Section C7.2.3.1 of Appendix C of ANSI/AHRI Standard 1500-2015 must be 0.25 hours to determine fuel input rate. 2.1.4.1.3.2. For the purposes of determining thermal efficiency during the “Test Period,” the measurement period and t T are as specified in sections 2.3.4 and 2.3.5 of this appendix. 2.1.4.2 For tests of gas-fired commercial packaged boilers, install a volumetric gas meter meeting the accuracy requirements of Table C1 of Appendix C of ANSI/AHRI Standard 1500-2015 upstream of the gas inlet port of the commercial packaged boiler. Record the accumulated gas volume consumed for each applicable measurement period. Use Equation C7.2.3.2. of Appendix C of ANSI/AHRI Standard 1500-2015 to calculate fuel input rate. 2.1.4.2.1. The applicable measurement period for the purposes of determining fuel input rate must be as specified in section 2.1.4.2.1.1. of this appendix for the “Warm-Up Period” and 2.1.4.2.1.2. of this appendix for the “Test Period.” 2.1.4.2.1.1. For the purposes of confirming steady-state operation during the “Warm-Up Period,” the measurement period must be 15 minutes and t T in Equation C2 in Section C7.2.3.1 of Appendix C of ANSI/AHRI Standard 1500-2015 must be 0.25 hours to determine fuel input rate. 2.1.4.2.1.2. For the purposes of determining thermal efficiency during the “Test Period,” the measurement period and t T are as specified in sections 2.3.4 and 2.3.5 of this appendix. 2.1.4.3 In addition to the provisions of Section C2.2.1.2 of ANSI/AHRI Standard 1500-2015, vent gases may alternatively be discharged vertically into a straight stack section without elbows. R-7 minimum insulation must extend 6 stack diameters above the flue collar, the thermocouple grid must be located at a vertical distance of 3 stack diameters above the flue collar, and the sampling tubes for flue gases must be installed within 1 stack diameter beyond the thermocouple grid. If dilution air is introduced into the flue gases before the plane of the thermocouple and flue gas sampling points, utilize an alternate plane of thermocouple grid and flue gas sampling point located downstream from the heat exchanger and upstream from the point of dilution air introduction. 2.1.5. Additional Requirements for Outdoor Commercial Packaged Boilers. If the manufacturer provides more than one outdoor venting arrangement, the outdoor commercial packaged boiler (as defined in Section 3.2.6 of ANSI/AHRI Standard 1500-2015; incorporated by reference, see § 431.85) must be tested with the shortest total venting arrangement as measured by adding the straight lengths of venting supplied with the equipment. If the manufacturer does not provide an outdoor venting arrangement, install the outdoor commercial packaged boiler venting consistent with the procedure specified in Section C2.2 of Appendix C of ANSI/AHRI Standard 1500-2015. 2.1.6. Additional Requirements for Steam Tests. In addition to the provisions of Section C2 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85), the following requirements apply for steam tests. 2.1.6.1. Insulate all steam piping from the commercial packaged boiler to the steam separator, and extend insulation at least one foot (1 ft.) beyond the steam separator, using insulation meeting the requirements specified in Table 2.3 of this appendix. 2.1.6.2. A temperature sensing device must be installed in the insulated steam piping prior to the water separator if the commercial packaged boiler produces superheated steam. 2.1.6.3. Water entrained in the steam and water condensing within the steam piping must be collected and used to calculate the quality of steam during the “Test Period.” Steam condensate must be collected and measured using either a cumulative (totalizing) flow rate or by measuring the mass of the steam condensate. Instrumentation used to determine the amount of steam condensate must meet the requirements identified in Table C1 in Appendix C of ANSI/AHRI Standard 1500-2015. 2.1.7. Additional Requirements for Water Tests. In addition to the provisions of section C2 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85), the following requirements apply for water tests. 2.1.7.1. Insulate all water piping between the commercial packaged boiler and the location of the temperature measuring equipment, including one foot (1 ft.) beyond the sensor, using insulation meeting the requirements specified in Table 2.3 of this appendix. 2.1.7.2. Install a temperature measuring device at Point B of Figure C9 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85). Water entering the commercial packaged boiler must first enter the run of a tee and exit from the top outlet of the tee. The remaining connection of the tee must be plugged. Measure the inlet water temperature at Point B in the run of a second tee located 12 ± 2 pipe diameters downstream from the first tee and no more than the greater of 12 inches or 6 pipe diameters from the inlet of the commercial packaged boiler. The temperature measuring device shall extend into the water flow at the point of exit from the side outlet of the second tee. All inlet piping between the temperature measuring device and the inlet of the commercial packaged boilers must be wrapped with R-7 insulation. 2.1.7.3. Do not use Section C2.7.2.2.2 or its subsections of ANSI/AHRI Standard 1500-2015 for water meter calibration. 2.1.8. Flue Gas Sampling. In section C2.5.2 of Appendix C of ANSI/AHRI Standard 1500-2015, replace the last sentence with the following: When taking flue gas samples from a rectangular plane, collect samples at 1/4 , 1/2 , and 3/4 the distance from one side of the rectangular plane in the longer dimension and along the centerline midway between the edges of the plane in the shorter dimension and use the average of the three samples. The tolerance in each dimension for each measurement location is ± 1 inch. 2.2. Test Conditions. 2.2.1. General. Use the test conditions from Section 5 and Section C3 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85) for thermal efficiency testing but do not use the following sections: (1) 5.3 Introductory text (2) 5.3.5 (and subsections; see sections 2.2.3. and 2.2.4. of this appendix) (3) 5.3.8 (see section 2.2.5. of this appendix) (4) 5.3.9 (see section 2.2.6. of this appendix) (5) C3.1.3 (and subsections) (6) C3.5 (including Table C2; see section 2.2.7. of this appendix) (7) C3.6 (see section 2.2.5. of this appendix) (8) C3.7 (see section 2.2.6. of this appendix) 2.2.2. Burners for Oil-Fired Commercial Packaged Boilers. In addition to section C3.3 of Appendix C of ANSI/AHRI Standard 1500-2015, the following applies: For oil-fired commercial packaged boilers, test the unit with the particular make and model of burner as certified (or to be certified) by the manufacturer. If multiple burners are specified in the certification report for that basic model, then use any of the listed burners for testing. 2.2.3. Water Temperatures. Maintain the outlet temperature measured at Point C in Figure C9 of Appendix C of ANSI/AHRI Standard 1500-2015 at 180 °F ± 2 °F and maintain the inlet temperature measured at Point B at 80 °F ± 5 °F during the “Warm-up Period” and “Test Period” as indicated by 1-minute interval data pursuant to Table 2.2 of this appendix. Each reading must meet these temperature requirements. Use the inlet temperature and flow rate measured at Point B in Figure C9 of Appendix C of ANSI/AHRI Standard 1500-2015 for calculation of thermal efficiency. 2.2.4 Exceptions to Water Temperature Requirements. For commercial packaged boilers that require a higher flow rate than that resulting from the water temperature requirements of sections 2.2.3 of this appendix to prevent boiling, use a recirculating loop and maintain the inlet temperature at Point B of Figure C9 of Appendix C of ANSI/AHRI Standard 1500-2015 at 140 °F ± 5 °F during the “Warm-up Period” and “Test Period” as indicated by 1-minute interval data pursuant to Table 2.2 of this appendix. Each reading must meet these temperature requirements. Use the inlet temperature and flow rate measured at Point A in Figure C9 of Appendix C of ANSI/AHRI Standard 1500-2015 for calculation of thermal efficiency. 2.2.5 Air Temperature. For tests of non-condensing boilers, maintain ambient room temperature between 65 °F and 100 °F at all times during the “Warm-up Period” and “Test Period” (as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) as indicated by 1-minute interval data pursuant to Table 2.2 of this appendix. For tests of condensing boilers, maintain ambient room temperature between 65 °F and 85 °F at all times during the “Warm-up Period” and “Test Period” (as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) as indicated by 1-minute interval data pursuant to Table 2.2 of this appendix. The ambient room temperature may not differ by more than ± 5 °F from the average ambient room temperature during the entire “Test Period” at any reading. Measure the room ambient temperature within 6 feet of the front of the unit at mid height. The test air temperature, measured at the air inlet of the commercial packaged boiler, must be within ± 5 °F of the room ambient temperature when recorded at the 1-minute interval defined by Table 2.2 of this appendix. 2.2.6. Ambient Humidity. For condensing boilers, maintain ambient room relative humidity below 80-percent at all times during both the “Warm-up Period” and “Test Period” (as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) pursuant to Table 2.2 of this appendix. Measure the ambient humidity in the same location as ambient air temperature in section 2.2.5 of this appendix. 2.2.7. Flue Gas Temperature. The flue gas temperature during the test must not vary from the flue gas temperature measured at the start of the Test Period (as defined in Section C4 of ANSI/AHRI Standard 1500-2015) when recorded at the interval defined in Table 2.2 of this appendix by more than the limits prescribed in Table 2.4 of this appendix. Table 2.4—Flue Gas Temperature Variation Limits During Test Period Fuel type Non-condensing Condensing Gas ± 2 percent Greater of ± 3 percent and ± 5 °F Light Oil ± 2 percent Heavy Oil Greater of ± 3 percent and ± 5 °F 2.3. Test Method. 2.3.1. General. Conduct the thermal efficiency test as prescribed in Section C4 “Test Procedure” of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85) excluding sections: (1) C4.1.1.1.2 (see section 2.3.1.1 of this appendix) (2) C4.1.1.2.3 (see 2.3.4 of this appendix) (3) C4.1.2.1.5 (see section 2.3.2. of this appendix) (4) C4.1.2.2.2 (5) C4.1.2.2.3 (see 2.3.5 of this appendix) (6) C4.2 (7) C4.2.1 (8) C4.2.2 2.3.1.1. Adjust oil or non-atmospheric gas to produce the required firebox pressure and CO 2 or O 2 concentration in the flue gas, as described in Section 5.3.1 of ANSI/AHRI Standard 1500-2015. Conduct steam tests with steam pressure at the pressure specified in the manufacturer literature shipped with the commercial packaged boiler or in the manufacturer's supplemental testing instructions pursuant to § 429.60(b)(4) of this chapter, but not exceeding 15 psig. If no pressure is specified in the manufacturer literature shipped with the commercial packaged boiler or in the manufacturer's supplemental testing instructions (pursuant to § 429.60(b)(4) of this chapter), or if a range of operating pressures is specified, conduct testing at a steam pressure equal to atmospheric pressure. If necessary to maintain steam quality as required by Section 5.3.7 of ANSI/AHRI Standard 1500-2015, increase steam pressure in 1 psig increments by throttling with a valve beyond the separator until the test is completed and the steam quality requirements have been satisfied, but do not increase the steam pressure to greater than 15 psig. 2.3.2. Water Test Steady-State. Ensure that a steady-state is reached by confirming that three consecutive readings have been recorded at 15-minute intervals pursuant to Table 2.2 of this appendix that indicate that the measured fuel input rate is within ± 2-percent of the rated input. Water temperatures must meet the conditions specified in sections 2.2.3 and 2.2.4 of this appendix as applicable. 2.3.3. Condensate Collection for Condensing Commercial Packaged Boilers. Collect condensate in a covered vessel so as to prevent evaporation. 2.3.4. Steam Test Duration. Replace Section C4.1.1.2.3 of ANSI/AHRI Standard 1500-2015 with the following: The test period is one hour in duration if the steam condensate is measured or two hours if feedwater is measured. The test period must end with a 15-minute reading (steam condensate or feedwater and separator weight reading) pursuant to Table 2.2 of this appendix. When feedwater is measured, the water line at the end of the test must be within 0.25 inches of the starting level. 2.3.5. Water Test Duration. Replace Section C4.1.2.2.3 of ANSI/AHRI Standard 1500-2015 with the following: The test period is one hour for condensing commercial packaged boilers and 30 minutes for non-condensing commercial packaged boilers, and ends with a 15-minute interval reading pursuant to Table 2.2 of this appendix. 2.4. Calculations. 2.4.1. General. To determine the thermal efficiency of commercial packaged boilers, use the variables in section C6 of Appendix C of ANSI/AHRI Standard 1500-2015 and calculation procedure for the thermal efficiency test specified in section C7.2 of Appendix C of ANSI/AHRI Standard 1500-2015, excluding sections C7.2.12 and C7.2.20. 2.4.2. Use of Steam Properties Table. If the average measured temperature of the steam is higher than the value in Table D1 in Appendix D of ANSI/AHRI Standard 1500-2015 that corresponds to the average measured steam pressure, then use Table 2.5 of this appendix to determine the latent heat of superheated steam in (Btu/lb). Use linear interpolation for determining the latent heat of steam in Btu/lb if the measured steam pressure is between two values listed in Table D1 in Appendix D of ANSI/AHRI Standard 1500-2015 or in Table 2.5 of this appendix. 2.4.3. Alternative Thermal Efficiency Calculation for Large Steam Commercial Packaged Boilers. To determine the thermal efficiency of commercial packaged boilers with a fuel input rate greater than 5,000,000 Btu/h according to the steam test pursuant to Section C4.1.1 of ANSI/AHRI Standard 1500-2015, either: 2.4.3.1. Calculate the thermal efficiency of commercial packaged boiler models in steam mode in accordance with the provisions of section 2.4.1 of this appendix, or 2.4.3.2. Measure and calculate combustion efficiency Effy ss in steam mode according to Section 3. Combustion Efficiency Test of this appendix and convert to thermal efficiency using the following equation: Effy T = Effy ss − 2.0 where Effy T is the thermal efficiency and EFFY ss is the combustion efficiency as defined in C6 of ANSI/AHRI Standard 1500-2015. The combustion efficiency Effy ss is as calculated in Section C7.2.14 of ANSI/AHRI Standard 1500-2015.

2.4.4. Rounding. Round the final thermal efficiency value to nearest one tenth of one percent.

3. Combustion Efficiency Test.

3.1. Test Setup.

3.1.1. Instrumentation. Use instrumentation meeting the minimum requirements found in Table C1 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85).

3.1.2. Data collection and sampling. Record all test data in accordance with Table 3.1 and Table 3.2 of this appendix. Do not use Section C5 and Table C4 of Appendix C in ANSI/AHRI Standard 1500-2015.

Table 3.1—Data To Be Recorded Before Testing

3.1.3. Instrument Calibration. Instruments must be calibrated at least once per year and a calibration record, containing at least the date of calibration and the method of calibration, must be kept as part of the data underlying each basic model certification, pursuant to § 429.71 of this chapter.

3.1.4. Test Setup and Apparatus. Set up the commercial packaged boiler for combustion efficiency testing according to the provisions of Section C2 (except section C2.1) of Appendix C of ANSI/AHRI Standard 1500-2015.

3.1.4.1. For tests of oil-fired commercial packaged boilers, determine the weight of fuel consumed using one of the methods specified in sections 3.1.4.1.1. or 3.1.4.1.2. of this appendix:

3.1.4.1.1. If using a scale, determine the weight of fuel consumed as the difference between the weight of the oil vessel before and after each measurement period, as specified in sections 3.1.4.1.3.1. or 3.1.4.1.3.2. of this appendix, determined using a scale meeting the accuracy requirements of Table C1 of ANSI/AHRI Standard 1500-2015.

3.1.4.1.2. If using a flow meter, first determine the volume of fuel consumed as the total volume over the applicable measurement period, as specified in sections 3.1.4.1.3.1. or 3.1.4.1.3.2. of this appendix, and as measured by a flow meter meeting the accuracy requirements of Table C1 of ANSI/AHRI Standard 1500-2015 upstream of the oil inlet port of the commercial packaged boiler. Then determine the weight of fuel consumed by multiplying the total volume of fuel over the applicable measurement period by the density of oil, in pounds per gallon, as determined pursuant to Section C3.2.1.1.3. of ANSI/AHRI Standard 1500-2015.

3.1.4.1.3. The applicable measurement period for the purposes of determining fuel input rate must be as specified in section 3.1.4.1.3.1. of this appendix for the “Warm-Up Period” or 3.1.4.1.3.2. of this appendix for the “Test Period.”

3.1.4.1.3.1. For the purposes of confirming steady-state operation during the “Warm-Up Period,” the measurement period must be 15 minutes and t T in Equation C2 in Section C7.2.3.1 of ANSI/AHRI Standard 1500-2015 must be 0.25 hours to determine fuel input rate.

3.1.4.1.3.2. For the purposes of determining combustion efficiency during the “Test Period,” the measurement period and t T are 0.5 hours pursuant to section 3.3.1.1. of this appendix.

3.1.4.2 For tests of gas-fired commercial packaged boilers, install a volumetric gas meter meeting the accuracy requirements of Table C1 of ANSI/AHRI Standard 1500-2015 upstream of the gas inlet port of the commercial packaged boiler. Record the accumulated gas volume consumed for each applicable measurement period. Use Equation C7.2.3.2. of ANSI/AHRI Standard 1500-2015 to calculate fuel input rate.

3.1.4.2.1. The applicable measurement period for the purposes of determining fuel input rate must be as specified in section 3.1.4.2.1.1. of this appendix for the “Warm-Up Period” and 3.1.4.2.1.2. of this appendix for the “Test Period.”

3.1.4.2.1.1. For the purposes of confirming steady-state operation during the “Warm-Up Period,” the measurement period must be 15 minutes and t T in Equation C2 in Section C7.2.3.1 of ANSI/AHRI Standard 1500-2015 must be 0.25 hour to determine fuel input rate.

3.1.4.2.1.2. For the purposes of determining combustion efficiency during the “Test Period,” the measurement period and t T are 0.5 hour pursuant to section 3.3.1.1. of this appendix.

3.1.4.3. In addition to the provisions of Section C2.2.1.2 of ANSI/AHRI Standard 1500-2015, vent gases may alternatively be discharged vertically into a straight stack section without elbows. R-7 minimum insulation must extend 6 stack diameters above the flue collar, the thermocouple grid must be located at a vertical distance of 3 stack diameters above the flue collar, and the sampling tubes for flue gases must be installed within 1 stack diameter beyond the thermocouple grid. If dilution air is introduced into the flue gases before the plane of the thermocouple and flue gas sampling points, utilize an alternate plane of thermocouple grid and flue gas sampling point located downstream from the heat exchanger and upstream from the point of dilution air introduction.

3.1.5. Additional Requirements for Outdoor Commercial Packaged Boilers. If the manufacturer provides more than one outdoor venting arrangement, the outdoor commercial packaged boiler (as defined in section 3.2.6 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85) must be tested with the shortest total venting arrangement as measured by adding the straight lengths of venting supplied with the equipment. If the manufacturer does not provide an outdoor venting arrangement, install the outdoor commercial packaged boiler venting consistent with the procedure specified in Section C2.2 of Appendix C of ANSI/AHRI Standard 1500-2015.

3.1.6. Additional Requirements for Field Tests.

3.1.6.1 Field tests are exempt from the requirements of Section C2.2 of Appendix C of ANSI/AHRI Standard 1500-2015. Measure the flue gas temperature according to Section C2.5.1 of Appendix C of ANSI/AHRI Standard 1500-2015 and the thermocouple grids identified in Figure C12 of ANSI/AHRI Standard 1500-2015, with the following modification: the thermocouple grid may be staggered vertically by up to 1.5 inches to allow the use of instrumented rods to be inserted through holes drilled in the venting.

3.1.6.2. Field tests are exempt from the requirements of Section C2.6.3 of Appendix C of ANSI/AHRI Standard 1500-2015.

3.1.7. Additional Requirements for Water Tests. In addition to the provisions of Section C2 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85) the following requirements apply for water tests:

3.1.7.1. Insulate all water piping between the commercial packaged boiler and the location of the temperature measuring equipment, including one foot (1 ft.) beyond the sensor, using insulation meeting the requirements specified in Table 2.3 of this appendix.

3.1.7.2. Install a temperature measuring device at Point B of Figure C9 of ANSI/AHRI Standard 1500-2015. Water entering the commercial packaged boiler must first enter the run of a tee and exit from the top outlet of the tee. The remaining connection of the tee must be plugged. Measure the inlet water temperature at Point B in the run of a second tee located 12 ± 2 pipe diameters downstream from the first tee and no more than the greater of 12 inches or 6 pipe diameters from the inlet of the commercial packaged boiler. The temperature measuring device shall extend into the water flow at the point of exit from the side outlet of the second tee. All inlet piping between the temperature measuring device and the inlet of the commercial packaged boilers must be wrapped with R-7 insulation. Field tests must also measure the inlet water temperature at Point B in Figure C9, however they are not required to use the temperature measurement piping described in this section 3.1.7. of this appendix.

3.1.7.3. Do not use Section C2.7.2.2.2 or its subsections of ANSI/AHRI Standard 1500-2015 for water meter calibration.

3.1.8. Flue Gas Sampling. In section C2.5.2 of Appendix C of ANSI/AHRI Standard 1500-2015, replace the last sentence with the following: When taking flue gas samples from a rectangular plane, collect samples at 1/4 , 1/2 , and 3/4 the distance from one side of the rectangular plane in the longer dimension and along the centerline midway between the edges of the plane in the shorter dimension and use the average of the three samples. The tolerance in each dimension for each measurement location is ± 1 inch.

3.2. Test Conditions.

3.2.1. General. Use the test conditions from Sections 5 and C3 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference; see § 431.85) for combustion efficiency testing but do not use the following sections:

(1) 5.3 Introductory text (2) 5.3.5 (and subsections; see sections 3.2.3, 3.2.3.1, and 3.2.3.2 of this appendix) (3) 5.3.7 (excluded for field tests only) (4) 5.3.8 (see section 3.2.4 of this appendix) (5) 5.3.9 (see section 3.2.5 of this appendix) (6) C3.1.3 (and subsections) (7) C3.5 (including Table C2; see section 3.2.6 of this appendix) (8) C3.6 (see section 3.2.4 of this appendix) (9) C3.7 (see section 3.2.5 of this appendix) 3.2.2. Burners for Oil-Fired Commercial Packaged Boilers. In addition to Section C3.3 of Appendix C of ANSI/AHRI Standard 1500-2015, the following applies: for oil-fired commercial packaged boilers, test the unit with the particular make and model of burner as certified (or to be certified) by the manufacturer. If multiple burners are specified in the certification report for that basic model, then use any of the listed burners for testing. 3.2.3. Water Temperatures. Maintain the outlet temperature measured at Point C in Figure C9 at 180 °F ± 2 °F and maintain the inlet temperature measured at Point B at 80 °F ± 5 °F during the “Warm-up Period” and “Test Period” as indicated by 1-minute interval data pursuant to Table 3.2 of this appendix. Each reading must meet these temperature requirements. Field tests are exempt from this requirement and instead must comply with the requirements of section 3.2.3.1 of this appendix. 3.2.3.1. For field tests, the inlet temperature measured at Point A and Point B in Figure C9 and the outlet temperature measured and Point C in Figure C9 of ANSI/AHRI Standard 1500-2015 must be recorded in the data underlying that model's certification pursuant to § 429.71 of this chapter, and the difference between the inlet (measured at Point B) and outlet temperature (measured at Point C) must not be less than 20 °F at any point during the “Warm-up Period” and “Test Period,” after stabilization has been achieved, as indicated by 1-minute interval data pursuant to Table 3.2 of this appendix. 3.2.3.2 For commercial packaged boilers that require a higher flow rate than that resulting from the water temperature requirements of sections 3.2.3 of this appendix to prevent boiling, use a recirculating loop and maintain the inlet temperature at Point B of Figure C9 of ANSI/AHRI Standard 1500-2015 at 140 °F ± 5 °F during the “Warm-up Period” and “Test Period” as indicated by 1-minute interval data pursuant to Table 3.2 of this appendix. Each reading must meet these temperature requirements. 3.2.4. Air Temperature. For tests of non-condensing boilers (except during field tests), maintain ambient room temperature between 65 °F and 100 °F at all times during the “Warm-up Period” and “Test Period” (as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) as indicated by 1-minute interval data pursuant to Table 3.2 of this appendix. For tests of condensing boilers (except during field tests), maintain ambient room temperature between 65 °F and 85 °F at all times during the “Warm-up Period” and “Test Period” (as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) as indicated by 1-minute interval data pursuant to Table 3.2 of this appendix. The ambient room temperature may not differ by more than ± 5 °F from the average ambient room temperature during the entire “Test Period” at any 1-minute interval reading. Measure the room ambient temperature within 6 feet of the front of the unit at mid height. The test air temperature, measured at the air inlet of the commercial packaged boiler, must be within ± 5 °F of the room ambient temperature when recorded at the 1-minute interval defined by Table 3.2 of this appendix. For field tests, record the ambient room temperature at 1-minute intervals in accordance with Table 3.2 of this appendix. 3.2.5. Ambient Humidity. For condensing boilers (except during field tests), maintain ambient room relative humidity below 80-percent relative humidity at all times during both the “Warm-up Period” and “Test Period” (as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) pursuant to Table 3.2 of this appendix. Measure the ambient humidity in the same location as ambient air temperature. For field tests of condensing boilers, record the ambient room relative humidity in accordance with Table 3.2 of this appendix. 3.2.6. Flue Gas Temperature. The flue gas temperature during the test must not vary from the flue gas temperature measured at the start of the Test Period (as defined in Section C4 of ANSI/AHRI Standard 1500-2015) when recorded at the interval defined in Table 3.2 by more than the limits prescribed in Table 3.3 of this appendix. For field tests, flue gas temperature does not need to be within the limits in Table 3.3 of this appendix but must be recorded at the interval specified in Table 3.2 of this appendix. Table 3.3—Flue Gas Temperature Variation Limits During Test Period Fuel type Non-condensing Condensing Gas ± 2 percent Greater of ± 3 percent and ± 5 °F. Light Oil ± 2 percent Heavy Oil Greater of ± 3 percent and ± 5 °F 3.3. Test Method. 3.3.1. General. Conduct the combustion efficiency test using the test method prescribed in Section C4 “Test Procedure” of Appendix C of ANSI/AHRI Standard 1500-2015 excluding sections: (1) C4.1.1.1.2 (see section 3.3.1.2 of this appendix) (2) C4.1.1.2.3 (3) C4.1.2.1.5 (see section 3.3.2 of this appendix) (4) C4.1.2.2.2 (5) C4.1.2.2.3 (6) C4.2 (7) C4.2.1 (8) C4.2.2 3.3.1.1. The duration of the “Test Period” for combustion efficiency outlined in sections C4.1.1.2 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85) and C4.1.2.2 of Appendix C of ANSI/AHRI Standard 1500-2015 is 30 minutes. For condensing commercial packaged boilers, condensate must be collected for the 30 minute Test Period. 3.3.1.2. Adjust oil or non-atmospheric gas to produce the required firebox pressure and CO 2 or O 2 concentration in the flue gas, as described in section 5.3.1 of ANSI/AHRI Standard 1500-2015. Conduct steam tests with steam pressure at the pressure specified in the manufacturer literature shipped with the commercial packaged boiler or in the manufacturer's supplemental testing instructions pursuant to § 429.60(b)(4) of this chapter, but not exceeding 15 psig. If no pressure is specified in the manufacturer literature shipped with the commercial packaged boiler or in the manufacturer's supplemental testing instructions (pursuant to § 429.60(b)(4)) of this chapter, or if a range of operating pressures is specified, conduct testing at a steam pressure equal to atmospheric pressure. If necessary to maintain steam quality as required by section 5.3.7 of ANSI/AHRI Standard 1500-2015, increase steam pressure in 1 psig increments by throttling with a valve beyond the separator until the test is completed and the steam quality requirements have been satisfied, but do not increase the steam pressure to greater than 15 psig. 3.3.2. Water Test Steady-State. Ensure that a steady-state is reached by confirming that three consecutive readings have been recorded at 15-minute intervals that indicate that the measured fuel input rate is within ± 2-percent of the rated input. Water temperatures must meet the conditions specified in sections 3.2.3, 3.2.3.1, and 3.2.3.2 of this appendix as applicable. 3.3.3. Procedure for the Measurement of Condensate for a Condensing Commercial Packaged Boiler. Collect flue condensate using a covered vessel so as to prevent evaporation. Measure the condensate from the flue gas during the “Test Period.” Flue condensate mass must be measured within 5 minutes after the end of the “Test Period” (defined in C4.1.1.2 and C4.1.2.2 of ANSI/AHRI Standard 1500-2015) to prevent evaporation loss from the sample. Determine the mass of flue condensate for the “Test Period” by subtracting the tare container weight from the total weight of the container and flue condensate measured at the end of the ”Warm-up Period.” 3.4. Calculations. 3.4.1. General. To determine the combustion efficiency of commercial packaged boilers, use the variables in Section C6 and calculation procedure for the combustion efficiency test specified in Section C7.3 of Appendix C (including the specified subsections of C7.2) of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 431.85). 3.4.2. Rounding. Round the final combustion efficiency value to nearest one tenth of a percent. Subpart F—Commercial Air Conditioners and Heat Pumps § 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. § 431.92 Definitions concerning commercial air conditioners and heat pumps. The following definitions apply for purposes of this subpart, 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. For definitions that reference the application for which the equipment is marketed, DOE will consider any publicly available document published by the manufacturer ( e.g., product literature, catalogs, and packaging labels) to determine marketing intent. For definitions in this section that pertain to computer room air conditioners, italicized terms within a definition indicate terms that are separately defined in this section. Applied Coefficient of performance, or ACOP means the ratio of the heating capacity to the power input, including system pump power, for water-source heat pumps. ACOP is expressed in watts per watt and determined according to appendix C1 of this subpart. Basic model means: (1) For air-cooled, three-phase, small commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow multi-split air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h. All units manufactured by one manufacturer, having the same primary energy source, and, which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency; where essentially identical electrical, physical, and functional (or hydraulic) characteristics means: (i) For split systems manufactured by outdoor unit manufacturers (OUMs): all individual combinations having the same model of outdoor unit, which means comparably performing compressor(s) [a variation of no more than five percent in displacement rate (volume per time) as rated by the compressor manufacturer, and no more than five percent in capacity and power input for the same operating conditions as rated by the compressor manufacturer], outdoor coil(s) [no more than five percent variation in face area and total fin surface area; same fin material; same tube material], and outdoor fan(s) [no more than ten percent variation in airflow and no more than twenty percent variation in power input]; (ii) For split systems having indoor units manufactured by independent coil manufacturers (ICMs): all individual combinations having comparably performing indoor coil(s) [plus or minus one square foot face area, plus or minus one fin per inch fin density, and the same fin material, tube material, number of tube rows, tube pattern, and tube size]; and (iii) For single-package systems: all individual models having comparably performing compressor(s) [no more than five percent variation in displacement rate (volume per time) rated by the compressor manufacturer, and no more than five percent variations in capacity and power input rated by the compressor manufacturer corresponding to the same compressor rating conditions], outdoor coil(s) and indoor coil(s) [no more than five percent variation in face area and total fin surface area; same fin material; same tube material], outdoor fan(s) [no more than ten percent variation in outdoor airflow], and indoor blower(s) [no more than ten percent variation in indoor airflow, with no more than twenty percent variation in fan motor power input]; (iv) Except that: (A) For single-package systems and single-split systems, manufacturers may instead choose to make each individual model/combination its own basic model provided the testing and represented value requirements in 10 CFR 429.67 are met; and (B) For multi-split, multi-circuit, and multi-head mini-split combinations, a basic model may not include both individual small-duct, high velocity (SDHV) combinations and non-SDHV combinations even when they include the same model of outdoor unit. The manufacturer may choose to identify specific individual combinations as additional basic models. (2) For commercial package air conditioning and heating equipment (excluding air-cooled, three-phase, commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h). 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) For computer room air conditioners. 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. (4) For direct expansion-dedicated outdoor air system. All units manufactured by one manufacturer, having the same primary energy source ( e.g., electric or gas), within a single equipment class; with the same or comparably performing compressor(s), heat exchangers, ventilation energy recovery system(s) (if present), and air moving system(s) that have a common “nominal” moisture removal capacity. (5) For packaged terminal air conditioner (PTAC) or packaged terminal heat pump (PTHP). 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. (6) For single package vertical units. 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. (7) For variable refrigerant flow systems (excluding air-cooled, three-phase, variable refrigerant flow air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h). 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). (8) For water-source heat pumps. 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” cooling capacity. Ceiling-mounted means a configuration of a computer room air conditioner for which the unit housing the evaporator coil is configured for indoor installation on or through a ceiling. Ceiling-mounted ducted means a configuration of a ceiling-mounted computer room air conditioner that is configured for use with discharge ducting (even if the unit is also configurable for use without discharge ducting). Ceiling-mounted non-ducted means a configuration of a ceiling-mounted computer room air conditioner that is configured only for use without discharge ducting. 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. For air-cooled commercial package air conditioning and heating equipment (excluding equipment with a cooling capacity less than 65,000 Btu/h), COP is measured per appendix A to this subpart. Coefficient of performance 2, or COP2, 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. COP2 must be used with a subscript to indicate the outdoor temperature in degrees Fahrenheit at which the COP2 was measured ( e.g., COP2 17 for COP2 measured at 17 °F). For air-cooled commercial package air conditioning and heating equipment (excluding equipment with a cooling capacity less than 65,000 Btu/h), COP2 is measured per appendix A1 to this subpart. 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 commercial package air-conditioning and heating equipment (packaged or split) that is marketed for use in computer rooms, data processing rooms, or other information technology cooling applications and not a covered consumer product under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 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. Computer room air conditioners include, but are not limited to, the following configurations as defined in this section: down-flow, horizontal-flow, up-flow ducted, up-flow non-ducted, ceiling-mounted ducted, ceiling mounted non-ducted, roof-mounted, and wall-mounted. Direct expansion-dedicated outdoor air system, or DX-DOAS, means a unitary dedicated outdoor air system that is capable of dehumidifying air to a 55 °F dew point—when operating under Standard Rating Condition A as specified in Table 4 or Table 5 of AHRI 920-2020 (incorporated by reference, see § 431.95) with a barometric pressure of 29.92 in Hg—for any part of the range of airflow rates advertised in manufacturer materials, and has a moisture removal capacity of less than 324 lb/h. Double-duct air conditioner or heat pump means air-cooled commercial package air conditioning and heating equipment that meets the following criteria— (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; or a vertical single package unit that is not intended for exterior mounting on, adjacent interior to, or through an outside wall; (2) Is intended for indoor installation with ducting of outdoor air from the building exterior to and from the unit ( e.g., the unit and/or all of its components are non-weatherized); (3) If it is a horizontal unit, the complete unit shall have a maximum height of 35 inches or the unit shall have components that do not exceed a maximum height of 35 inches. If it is a vertical unit, the complete (split, connected, or assembled) unit shall have components that do not exceed a maximum depth of 35 inches; and (4) Has a rated cooling capacity greater than or equal to 65,000 Btu/h and less than 300,000 Btu/h. Down-flow means a configuration of floor-mounted computer room air conditioner in which return air enters above the top of the evaporator coil and discharge air leaves below the bottom of the evaporator coil. Ducted Condenser means a configuration of computer room air conditioner for which the condenser or condensing unit that manufacturer's installation instructions indicate is intended to exhaust condenser air through a duct(s). 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. For commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), EER is measured per appendix A to this subpart. Energy efficiency ratio 2, or EER2, 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. For commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), EER2 is measured per appendix A1 to this subpart. Floor-mounted means a configuration of a computer room air conditioner for which the unit housing the evaporator coil is configured for indoor installation on a solid floor, raised floor, or floor-stand. Floor-mounted computer room air conditioners are one of the following three configurations: down-flow, horizontal-flow, and up-flow. Fluid economizer means an option available with a computer room air conditioner in which a fluid (other than air), cooled externally from the unit, provides cooling of the indoor air to reduce or eliminate unit compressor operation when outdoor temperature is low. The fluid may include, but is not limited to, chilled water, water/glycol solution, or refrigerant. An external fluid cooler such as, but not limited to a dry cooler, cooling tower, or condenser is utilized for heat rejection. This component is sometimes referred to as a free cooling coil, econ-o-coil, or economizer. 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. Horizontal-flow means a configuration of a floor-mounted computer room air conditioner that is neither a down-flow nor an up-flow unit. Integrated energy efficiency ratio, or IEER, means a weighted average calculation of mechanical cooling EERs determined for four load levels and corresponding rating conditions, expressed in Btu/watt-hour. IEER is measured: (1) Per appendix A to this subpart for commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h); (2) Per appendix C1 to this subpart for water-source heat pumps; (3) Per appendix D1 to this subpart for variable refrigerant flow multi-split air conditioners and heat pumps (other than air-cooled with rated cooling capacity less than 65,000 Btu/h); and (4) Per appendix G1 to this subpart for single package vertical air conditioners and single package vertical heat pumps. Integrated seasonal coefficient of performance 2 or ISCOP2, means a seasonal weighted-average heating efficiency for heat pump dedicated outdoor air systems, expressed in W/W, as measured according to appendix B of this subpart. Integrated seasonal moisture removal efficiency 2, or ISMRE2, means a seasonal weighted average dehumidification efficiency for dedicated outdoor air systems, expressed in lbs. of moisture/kWh, as measured according to appendix B of this subpart. Integrated ventilation and heating efficiency, or IVHE, means a sum of the space heating provided (Btu) divided by the sum of the energy consumed (Wh), including mechanical heating, supplementary electric resistance heating, and heating season ventilation operating modes. IVHE with subscript C (IVHE C ) refers to the IVHE of heat pumps using a cold-climate heating load line. For air-cooled commercial package air conditioning and heating equipment (excluding equipment with a cooling capacity less than 65,000 Btu/h), IVHE and IVHE C are measured per appendix A1 to this subpart. Integrated ventilation, economizing, and cooling, or IVEC, means a sum of the space cooling provided (Btu) divided by the sum of the energy consumed (Wh), including mechanical cooling, economizing, and cooling season ventilation operating modes. For commercial package air conditioning and heating equipment (excluding air-cooled equipment with a cooling capacity less than 65,000 Btu/h), IVEC is measured per appendix A1 to this subpart. 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). Net sensible coefficient of performance, or NSenCOP, means a ratio of the net sensible cooling capacity in kilowatts to the total power input in kilowatts for computer room air conditioners, as measured in appendix E1 of this subpart. 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. Roof-mounted means a configuration of a computer room air conditioner that is not wall-mounted, and for which the unit housing the evaporator coil is configured for outdoor installation. 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: (1) Air-cooled commercial package air conditioning and heating equipment that— (i) Is factory-assembled as a single package that— (A) Has major components that are arranged vertically; (B) Is an encased combination of cooling and optional heating components; and (C) Is intended for exterior mounting on, adjacent interior to, or through an outside wall; (ii) Is powered by a single-or 3-phase current; (iii) May contain 1 or more separate indoor grilles, outdoor louvers, various ventilation options, indoor free air discharges, ductwork, well plenum, or sleeves; and (iv) Has heating components that may include electrical resistance, steam, hot water, or gas, but may not include reverse-cycle refrigeration as a heating means; and (2) Includes single-phase single package vertical air conditioner with cooling capacity less than 65,000 Btu/h, as defined in this section. Single package vertical heat pump means: (1) A single package vertical air conditioner that— (i) Uses reverse-cycle refrigeration as its primary heat source; and (ii) May include secondary supplemental heating by means of electrical resistance, steam, hot water, or gas; and (2) Includes single-phase single package vertical heat pump with cooling capacity less than 65,000 Btu/h, as defined in this section. Single-phase single package vertical air conditioner with cooling capacity less than 65,000 Btu/h means air-cooled commercial package air conditioning and heating equipment that meets the criteria in paragraphs (1)(i) through (iv) of the definition for a single package vertical air conditioner in this section; that is single-phase; has a cooling capacity less than 65,000 Btu/h, and that: (1) Is weatherized, determined by a model being denoted for “Outdoor Use” or marked as “Suitable for Outdoor Use” on the equipment nameplate; or (2) Is non-weatherized and is a model that has optional ventilation air provisions available. When such ventilation air provisions are present on the unit, the unit must be capable of drawing in and conditioning outdoor air for delivery to the conditioned space at a rate of at least 400 cubic feet per minute, as determined in accordance with § 429.134(x)(3) of this chapter, while the equipment is operating with the same drive kit and motor settings used to determine the certified efficiency rating of the equipment (as required for submittal to DOE by § 429.43(b)(4)(xi) of this chapter). Single-phase single package vertical heat pump with cooling capacity less than 65,000 Btu/h means air-cooled commercial package air conditioning and heating equipment that meets the criteria in paragraphs (1)(i) and (ii) of the definition for a single package vertical heat pump in this section; that is single-phase; has a cooling capacity less than 65,000 Btu/h, and that: (1) Is weatherized, determined by a model being denoted for “Outdoor Use” or marked as “Suitable for Outdoor Use” on the equipment nameplate; or (2) Is non-weatherized and is a model that has optional ventilation air provisions available. When such ventilation air provisions are present on the unit, the unit must be capable of drawing in and conditioning outdoor air for delivery to the conditioned space at a rate of at least 400 cubic feet per minute, as determined in accordance with § 429.134(x)(3) of this chapter, while the equipment is operating with the same drive kit and motor settings used to determine the certified efficiency rating of the equipment (as required for submittal to DOE by § 429.43(b)(4)(xii) of this chapter). 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). Small-duct, high-velocity commercial package air conditioning and heating equipment means a basic model of commercial package, split-system air conditioning and heating equipment that: (1) Has a rated cooling capacity no greater than 65,000 Btu/h; (2) Is powered by three-phase current; (3) Is air-cooled; and (4) Is paired with an indoor unit that: (i) Includes an indoor blower housed with the coil; (ii) Is designed for, and produces, at least 1.2 inches of external static pressure when operated at the certified air volume rate of 220-350 CFM per rated ton cooling in the highest default cooling airflow-controls setting; and (iii) When applied in the field, uses high velocity room outlets generally greater than 1,000 fpm that have less than 6.0 square inches of free area. Space-constrained commercial package air conditioning and heating equipment means a basic model of commercial package air conditioning and heating equipment (packaged or split) that: (1) Is air-cooled; (2) Is powered by three-phase current; (3) Is not a single package vertical air conditioner or a single package vertical heat pump; (4) Has a rated cooling capacity no greater than 30,000 Btu/h; (5) Has an outdoor or indoor unit having at least two overall exterior dimensions or an overall displacement that: (i) Is substantially smaller than those of other units that are: (A) Currently usually installed in site-built single-family homes; and (B) Of a similar cooling, and, if a heat pump, heating capacity; and (ii) If increased, would certainly result in a considerable increase in the usual cost of installation or would certainly result in a significant loss in the utility of the product to the consumer; and (6) Of a product type that was available for purchase in the United States as of December 1, 2000. 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. Unitary dedicated outdoor air system, or unitary DOAS, means a category of small, large, or very large commercial package air-conditioning and heating equipment that is capable of providing ventilation and conditioning of 100-percent outdoor air and is marketed in materials (including but not limited to, specification sheets, insert sheets, and online materials) as having such capability. Up-flow means a configuration of a floor-mounted computer room air conditioner in which return air enters below the bottom of the evaporator coil and discharge air leaves above the top of the evaporator coil. Up-flow ducted means a configuration of an up-flow computer room air conditioner that is configured for use with discharge ducting (even if the unit is also configurable for use without discharge ducting). Up-flow non-ducted means a configuration of an up-flow computer room air conditioner that is configured only for use without discharge ducting. 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. Ventilation energy recovery system, or VERS, means a system that preconditions outdoor ventilation 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. 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). Wall-mounted means a configuration of a computer room air conditioner for which the unit housing the evaporator coil is configured for installation on or through a wall. Water-source heat pump means commercial package air-conditioning and heating equipment that is 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 (except that coil-only units do not include an indoor fan). Such equipment includes, but is not limited to, water-to-air water-loop heat pumps. Test Procedures § 431.95 Materials incorporated by reference. (a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, Buildings@ee.doe.gov, https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the sources in the following paragraphs of this section. (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2311 Wilson Blvd., Suite 400, Arlington, VA 22201; (703) 524-8800; www.ahrinet.org. (1) ANSI/AHRI Standard 210/240-2008 (AHRI 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; IBR approved for § 431.96 and appendix F to this subpart. (2) AHRI Standard 210/240-2023 (AHRI 210/240-2023), 2023 Standard for Performance Rating of Unitary Air-conditioning & Air-source Heat Pump Equipment, copyright May 2020; IBR approved for appendix F1 to this subpart. (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) AHRI Standard 340/360-2022 (I-P) (“AHRI 340/360-2022”), 2022 Standard for Performance Rating of Commercial and Industrial Unitary Air-conditioning and Heat Pump Equipment, approved January 26, 2022; IBR approved for appendix A to this subpart. (5) AHRI Standard 390(I-P)-2021 (“AHRI 390-2021”), 2021 Standard for Performance Rating of Single Package Vertical Air-Conditioners and Heat Pumps, copyright 2021; (AHRI 390-2021), IBR approved for appendices G and G1 to this subpart. (6) AHRI Standard 600-2023 (I-P) (“AHRI 600-2023”), 2023 Standard for Performance Rating of Water/Brine to Air Heat Pump Equipment, AHRI-approved September 11, 2023; IBR approved for appendix C1 to this subpart. (7) AHRI Standard 920 (I-P) with Addendum 1 (“AHRI 920-2020”), “2020 Standard for Performance Rating of Direct Expansion-Dedicated Outdoor Air System Units,” copyright 2021; IBR approved for § 431.92; appendix B to this subpart. (8) AHRI Standard 1060 (I-P) (“AHRI 1060-2018”), “2018 Standard for Performance Rating of Air-to-Air Exchangers for Energy Recovery Ventilation Equipment,” copyright 2018; IBR approved for appendix B to this subpart. (9) ANSI/AHRI Standard 1230-2010 (AHRI 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; IBR approved for § 431.96 and appendices D and F to this subpart. (10) AHRI Standard 1230 (I-P), (“AHRI 1230-2021'), “ 2021 Standard for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment”, copyright in 2021; IBR approved for appendix D1 to this subpart. (11) AHRI Standard 1340-2023 (I-P) (“AHRI 1340-2023”), 2023 Standard for Performance Rating of Commercial and Industrial Unitary Air-conditioning and Heat Pump Equipment, approved November 16, 2023; IBR approved for appendix A1 to this subpart. (12) AHRI Standard 1360-2022 (I-P) (“AHRI 1360-2022”), 2022 Standard for Performance Rating of Computer and Data Processing Room Air Conditioners, copyright 2022; IBR approved for appendix E1 to this subpart. (c) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, Georgia 30092; (404) 636-8400; 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 37-2009”), Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, approved June 24, 2009; IBR approved for § 431.96 and appendices A, A1, B, C1, D1, E1, F1, G, and G1 to this subpart. (3) Errata Sheet for ANSI/ASHRAE Standard 37-2009, Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, March 27, 2019; IBR approved for appendices C1 and D1 to this subpart. (4) ANSI/ASHRAE Standard 41.1- 2013 (“ANSI/ASHRAE 41.1-2013”), “Standard Method for Temperature Measurement,” ANSI-approved January 30, 2013; IBR approved for appendix B to this subpart. (5) ANSI/ASHRAE Standard 41.6- 2014 (“ANSI/ASHRAE 41.6-2014”), “Standard Method for Humidity Measurement,” ANSI-approved July 3, 2014; IBR approved for appendix B to this subpart. (6) 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. (7) 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 and appendix E to this subpart. (8) ANSI/ASHRAE Standard 127-2020 (“ANSI/ASHRAE 127-2020”), Method of Rating Air-Conditioning Units Serving Data Center (DC) and Other Information Technology Equipment (ITE) Spaces, ANSI-approved on November 30, 2020; IBR approved for appendix E1 to this subpart. (9) ANSI/ASHRAE Standard 198- 2013 (“ANSI/ASHRAE 198-2013”), “Method of Test for Rating DX-Dedicated Outdoor Air Systems for Moisture Removal Capacity and Moisture Removal Efficiency,” ANSI-approved January 30, 2013; IBR approved for appendix B to this subpart. (d) IIR. International Institute of Refrigeration, 177 Boulevard Malesherbes 75017 Paris, France; +33 (0)1 42 27 32 35; www.iifiir.org. (1) Properties of Secondary Working Fluids for Indirect Systems, including Section 2.3 Errata Sheet, Melinder, published 2010 (“Melinder 2010”), IBR approved for appendix C1 to this subpart. (2) [Reserved] (e) ISO. International Organization for Standardization, Chemin de Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland; +41 22 749 01 11; www.iso.org/store.html . (1) ISO Standard 13256-1 (“ISO 13256-1:1998”), “ 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 appendix C to this subpart. (2) [Reserved] § 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, single package vertical air conditioners and single package vertical heat pumps, and direct expansion-dedicated outdoor air systems. (b) Testing and calculations. (1) Determine the energy efficiency and capacity of each category of covered equipment by conducting the test procedure(s) listed in table 1 to this paragraph (b) along with any additional testing provisions set forth in paragraphs (c) through (g) of this section and appendices A through G1 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 must not be used. For equipment with multiple appendices listed in table 1, consult the notes at the beginning of those appendices to determine the applicable appendix to use for testing. (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 Paragraph ( b )—Test Procedures for Commercial Air Conditioners and Heat Pumps Equipment Category Cooling capacity or moisture removal capacity 1 Energy efficiency descriptor Use tests, conditions, and procedures in Additional test procedure provisions as indicated in the listed paragraphs of this section Commercial Package Air Conditioning and Heating Equipment Air-Cooled, 3-Phase, AC and HP <65,000 Btu/h SEER and HSPF Appendix F to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Air-Cooled, 3-Phase, AC and HP <65,000 Btu/h SEER2 and HSPF2 Appendix F1 to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Air-Cooled AC and HP (excluding double-duct AC and HP) ≥65,000 Btu/h and <760,000 Btu/h EER, IEER, and COP Appendix A to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Air-Cooled AC and HP (excluding double-duct AC and HP) ≥65,000 Btu/h and <760,000 Btu/h EER2, COP2, IVEC, and IVHE Appendix A1 to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Double-duct AC and HP ≥65,000 Btu/h and <300,000 Btu/h EER, IEER, and COP Appendix A to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Double-duct AC and HP ≥65,000 Btu/h and <300,000 Btu/h EER2, COP2, IVEC, and IVHE Appendix A1 to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Water-Cooled and Evaporatively-Cooled AC <760,000 Btu/h EER and IEER Appendix A to this subpart 2 None. Commercial Package Air Conditioning and Heating Equipment Water-Cooled and Evaporatively-Cooled AC <760,000 Btu/h EER2 and IVEC Appendix A1 to this subpart 2 None. Water-Source Heat Pumps HP <760,000 Btu/h EER and COP Appendix C to this subpart 2 None. Water-Source Heat Pumps HP <760,000 Btu/h IEER and ACOP Appendix C1 to this subpart 2 None. 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 <760,000 Btu/h SCOP Appendix E to this subpart 2 None. Computer Room Air Conditioners AC <760,000 Btu/h or <930,000 Btu/h 3 NSenCOP Appendix E1 to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems AC <65,000 Btu/h (3-phase) SEER Appendix F to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems AC <65,000 Btu/h (3-phase) SEER2 Appendix F1 to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems, Air-cooled HP <65,000 Btu/h (3-phase) SEER and HSPF Appendix F to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems, Air-cooled HP <65,000 Btu/h (3-phase) SEER2 and HSPF2 Appendix F1 to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems, Air-cooled AC and HP ≥65,000 Btu/h and <760,000 Btu/h EER and COP Appendix D to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems, Air-cooled AC and HP ≥65,000 Btu/h and <760,000 Btu/h IEER and COP Appendix D1 to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems, Water-source HP <760,000 Btu/h EER and COP Appendix D to this subpart 2 None. Variable Refrigerant Flow Multi-split Systems, Water-source HP <760,000 Btu/h IEER and COP Appendix D1 to this subpart 2 None. Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps AC and HP <760,000 Btu/h EER and COP Appendix G to this subpart 2 None. Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps AC and HP <760,000 Btu/h EER, IEER, and COP Appendix G1 to this subpart 2 None. Direct Expansion-Dedicated Outdoor Air Systems All <324 lbs. of moisture removal/hr ISMRE2 and ISCOP2 Appendix B to this subpart None. 1 Moisture removal capacity applies only to direct expansion-dedicated outdoor air systems. 2 For equipment with multiple appendices listed in this table, consult the notes at the beginning of those appendices to determine the applicable appendix to use for testing. 3 For upflow ducted and downflow floor-mounted computer room air conditioners, the test procedure in appendix E1 to this subpart applies to equipment with net sensible cooling capacity less than 930,000 Btu/h. For all other configurations of computer room air conditioners, the test procedure in appendix E1 to this subpart applies to equipment with net sensible cooling capacity less than 760,000 Btu/h. (c) Optional break-in period for tests conducted using AHRI 210/240-2008, 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 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: Table 2 to Paragraph ( d ) 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. 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 (i) of this section, and be certified to the Department under 10 CFR part 429. (b) Each air-cooled commercial package air conditioning and heating equipment (excluding air-cooled equipment with cooling capacity less than 65,000 Btu/h and double-duct air conditioners or heat pumps) manufactured on or after January 1, 2023, and before January 1, 2029, must meet the applicable minimum energy efficiency standard level(s) set forth in table 1 to this paragraph (b). Each air-cooled commercial package air conditioning and heating equipment (excluding air-cooled equipment with cooling capacity less than 65,000 Btu/h and double-duct air conditioners or heat pumps) manufactured on or after January 1, 2029, must meet the applicable minimum energy efficiency standard level(s) set forth in table 2 to this paragraph (b). Each water-cooled commercial package air conditioning and heating equipment manufactured on or after the compliance date listed in table 3 to this paragraph (b) must meet the applicable minimum energy efficiency standard level(s) set forth in table 3. Each evaporatively-cooled commercial air conditioning and heating equipment manufactured on or after the compliance date listed in table 4 to this paragraph (b) must meet the applicable minimum energy efficiency standard level(s) set forth in table 4. Each double-duct air conditioner or heat pump manufactured on or after January 1, 2010, must meet the applicable minimum energy efficiency standard level(s) set forth in table 5 to this paragraph (b). Table 1 to Paragraph ( b )—Minimum Efficiency Standards for Air-Cooled Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity Greater Than or Equal to 65,000 Btu/ h (Excluding Double-Duct Air-Conditioners and Heat Pumps) Cooling capacity Subcategory Supplementary heating type Minimum efficiency 1 Compliance date: equipment manufactured starting on . . . Air-Cooled Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity Greater Than or Equal to 65,000 Btu/h (Excluding Double-Duct Air Conditioners and Heat Pumps) ≥65,000 Btu/h and <135,000 Btu/h AC Electric Resistance Heating or No Heating IEER = 14.8 January 1, 2023. ≥65,000 Btu/h and <135,000 Btu/h AC All Other Types of Heating IEER = 14.6 January 1, 2023. ≥65,000 Btu/h and <135,000 Btu/h HP Electric Resistance Heating or No Heating IEER = 14.1 COP = 3.4 January 1, 2023. ≥65,000 Btu/h and <135,000 Btu/h HP All Other Types of Heating IEER = 13.9 COP = 3.4 January 1, 2023. ≥135,000 Btu/h and <240,000 Btu/h AC Electric Resistance Heating or No Heating IEER = 14.2 January 1, 2023. ≥135,000 Btu/h and <240,000 Btu/h AC All Other Types of Heating IEER = 14.0 January 1, 2023. ≥135,000 Btu/h and <240,000 Btu/h HP Electric Resistance Heating or No Heating IEER = 13.5 COP = 3.3 January 1, 2023. ≥135,000 Btu/h and <240,000 Btu/h HP All Other Types of Heating IEER = 13.3 COP = 3.3 January 1, 2023. ≥240,000 Btu/h and <760,000 Btu/h AC Electric Resistance Heating or No Heating IEER = 13.2 January 1, 2023. ≥240,000 Btu/h and <760,000 Btu/h AC All Other Types of Heating IEER = 13.0 January 1, 2023. ≥240,000 Btu/h and <760,000 Btu/h HP Electric Resistance Heating or No Heating IEER = 12.5 COP = 3.2 January 1, 2023. ≥240,000 Btu/h and <760,000 Btu/h HP All Other Types of Heating IEER = 12.3 COP = 3.2 January 1, 2023. 1 See section 3 of appendix A to this subpart for the test conditions upon which the COP standards are based. Table 2 to Paragraph ( b )—Updated Minimum Efficiency Standards for Air-Cooled Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity Greater Than or Equal to 65,000 Btu/ h (Excluding Double-Duct Air Conditioners and Heat Pumps) Cooling capacity Subcategory Supplementary heating type Minimum efficiency Compliance date: equipment manufactured starting on . . . Air-Cooled Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity Greater Than or Equal to 65,000 Btu/h (Excluding Double-Duct Air Conditioners and Heat Pumps) ≥65,000 Btu/h and <135,000 Btu/h AC Electric Resistance Heating or No Heating IVEC = 14.3 January 1, 2029. ≥65,000 Btu/h and <135,000 Btu/h AC All Other Types of Heating IVEC = 13.8 January 1, 2029. ≥65,000 Btu/h and <135,000 Btu/h HP All Types of Heating IVEC = 13.4 IVHE = 6.2 January 1, 2029. ≥135,000 Btu/h and <240,000 Btu/h AC Electric Resistance Heating or No Heating IVEC = 13.8 January 1, 2029. ≥135,000 Btu/h and <240,000 Btu/h AC All Other Types of Heating IVEC = 13.3 January 1, 2029. ≥135,000 Btu/h and <240,000 Btu/h HP All Types of Heating IVEC = 13.1 IVHE = 6.0 January 1, 2029. ≥240,000 Btu/h and <760,000 Btu/h AC Electric Resistance Heating or No Heating IVEC = 12.9 January 1, 2029. ≥240,000 Btu/h and <760,000 Btu/h AC All Other Types of Heating IVEC = 12.2 January 1, 2029. ≥240,000 Btu/h and <760,000 Btu/h HP All Types of Heating IVEC = 12.1 IVHE = 5.8 January 1, 2029. Table 3 to Paragraph ( b )—Minimum Cooling Efficiency Standards for Water-Cooled Commercial Package Air Conditioning Equipment Cooling capacity Supplementary heating type Minimum efficiency Compliance date: equipment manufactured starting on . . . Water-Cooled Commercial Package Air Conditioning Equipment <65,000 Btu/h All EER = 12.1 October 29, 2003. ≥65,000 Btu/h and <135,000 Btu/h No Heating or Electric Resistance Heating EER = 12.1 June 1, 2013. ≥65,000 Btu/h and <135,000 Btu/h All Other Types of Heating EER = 11.9 June 1, 2013. ≥135,000 Btu/h and <240,000 Btu/h No Heating or Electric Resistance Heating EER = 12.5 June 1, 2014. ≥135,000 Btu/h and <240,000 Btu/h All Other Types of Heating EER = 12.3 June 1, 2014. ≥240,000 Btu/h and <760,000 Btu/h No Heating or Electric Resistance Heating EER = 12.4 June 1, 2014. ≥240,000 Btu/h and <760,000 Btu/h All Other Types of Heating EER = 12.2 June 1, 2014. Table 4 to Paragraph ( b )—Minimum Cooling Efficiency Standards for Evaporatively-Cooled Commercial Package Air Conditioning Equipment Cooling capacity Supplementary heating type Minimum efficiency Compliance date: equipment manufactured starting on . . . Evaporatively-Cooled Commercial Package Air Conditioning Equipment <65,000 Btu/h All EER = 12.1 October 29, 2003. ≥65,000 Btu/h and <135,000 Btu/h No Heating or Electric Resistance Heating EER = 12.1 June 1, 2013. ≥65,000 Btu/h and <135,000 Btu/h All Other Types of Heating EER = 11.9 June 1, 2013. ≥135,000 Btu/h and <240,000 Btu/h No Heating or Electric Resistance Heating EER = 12.0 June 1, 2014. ≥135,000 Btu/h and <240,000 Btu/h All Other Types of Heating EER = 11.8 June 1, 2014. ≥240,000 Btu/h and <760,000 Btu/h No Heating or Electric Resistance Heating EER = 11.9 June 1, 2014. ≥240,000 Btu/h and <760,000 Btu/h All Other Types of Heating EER = 11.7 June 1, 2014. Table 5 to Paragraph ( b )—Minimum Efficiency Standards for Double-Duct Air Conditioners or Heat Pumps Cooling capacity Subcategory Supplementary heating type Minimum efficiency 1 Compliance date: equipment manufactured starting on . . . Double-Duct Air Conditioners or Heat Pumps ≥65,000 Btu/h and <135,000 Btu/h AC Electric Resistance Heating or No Heating EER = 11.2 January 1, 2010. ≥65,000 Btu/h and <135,000 Btu/h AC All Other Types of Heating EER = 11.0 January 1, 2010. ≥65,000 Btu/h and <135,000 Btu/h HP Electric Resistance Heating or No Heating EER = 11.0 COP = 3.3 January 1, 2010. ≥65,000 Btu/h and <135,000 Btu/h HP All Other Types of Heating EER = 10.8 COP = 3.3 January 1, 2010. ≥135,000 Btu/h and <240,000 Btu/h AC Electric Resistance Heating or No Heating EER = 11.0 January 1, 2010. ≥135,000 Btu/h and <240,000 Btu/h AC All Other Types of Heating EER = 10.8 January 1, 2010. ≥135,000 Btu/h and <240,000 Btu/h HP Electric Resistance Heating or No Heating EER = 10.6 COP = 3.2 January 1, 2010. ≥135,000 Btu/h and <240,000 Btu/h HP All Other Types of Heating EER = 10.4 COP = 3.2 January 1, 2010. ≥240,000 Btu/h and <300,000 Btu/h AC Electric Resistance Heating or No Heating EER = 10.0 January 1, 2010. ≥240,000 Btu/h and <300,000 Btu/h AC All Other Types of Heating EER = 9.8 January 1, 2010. ≥240,000 Btu/h and <300,000 Btu/h HP Electric Resistance Heating or No Heating EER = 9.5 COP = 3.2 January 1, 2010. ≥240,000 Btu/h and <300,000 Btu/h HP All Other Types of Heating EER = 9.3 COP = 3.2 January 1, 2010. 1 See section 3 of appendix A to this subpart for the test conditions upon which the COP standards are based. (c) Each water-source heat pump manufactured starting on the compliance date listed in table 6 to this paragraph (c) must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (c). Table 6 to Paragraph ( c )—Minimum Efficiency Standards for Water-Source Heat Pumps (Water-to-Air, Water-Loop) Cooling capacity Minimum efficiency Compliance date: equipment manufactured starting on . . . Water-Source Heat Pumps (Water-to-Air, Water-Loop) <17,000 Btu/h EER = 12.2 COP = 4.3 October 9, 2015. ≥17,000 Btu/h and <65,000 Btu/h EER = 13.0 COP = 4.3 October 9, 2015. ≥65,000 Btu/h and <135,000 Btu/h EER = 13.0 COP = 4.3 October 9, 2015. (d) 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 to this paragraph (d). 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. 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. 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 to this paragraph (d). Table 7 to Paragraph ( d )—Minimum Efficiency Standards for PTAC and PTHP Equipment type Category Cooling capacity Minimum efficiency 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 × Cap 1 ) 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 × Cap 1 ) 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 × Cap 1 ) COP = 3.7−(0.052 × Cap 1 ) 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 × Cap 1 ) COP = 2.9−(0.026 × Cap 1 ) October 7, 2010. >15,000 Btu/h EER = 7.6 COP = 2.5 October 7, 2010. 1 “Cap” means cooling capacity in thousand Btu/h at 95 °F outdoor dry-bulb temperature. 2 And manufactured before January 1, 2017. See table 8 to this paragraph (d) for updated efficiency standards that apply to this category of equipment manufactured on and after January 1, 2017. Table 8 to Paragraph ( d )—Updated Minimum Efficiency Standards for PTAC Equipment type Category Cooling capacity Minimum efficiency 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 × Cap 1 ) January 1, 2017. >15,000 Btu/h EER = 9.5 January 1, 2017. 1 “Cap” means cooling capacity in thousand Btu/h at 95 °F outdoor dry-bulb temperature. (e)(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 paragraph (e)(1). Table 9 to Paragraph ( e )(1)—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 paragraph (e)(2). Table 10 to Paragraph ( e )(2)—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 paragraph (e)(3). Table 11 to Paragraph ( e )(3)—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. (f)(1) 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 before May 28, 2024 and each computer room air conditioner with a net sensible cooling capacity greater than or equal to 65,000 Btu/h and less than 760,000 Btu/h manufactured on or after October 29, 2013, and before May 28, 2024 must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (f)(1). Table 12 to Paragraph (f)(1) —Minimum Efficiency Standards for Computer Room Air Conditioners Equipment type Net sensible cooling capacity Minimum SCOP efficiency Downflow Upflow Air-Cooled <65,000 Btu/h 2.20 2.09 ≥65,000 Btu/h and <240,000 Btu/h 2.10 1.99 ≥240,000 Btu/h and <760,000 Btu/h 1.90 1.79 Water-Cooled <65,000 Btu/h 2.60 2.49 ≥65,000 Btu/h and <240,000 Btu/h 2.50 2.39 ≥240,000 Btu/h and <760,000 Btu/h 2.40 2.29 Water-Cooled with Fluid Economizer <65,000 Btu/h 2.55 2.44 ≥65,000 Btu/h and <240,000 Btu/h 2.45 2.34 ≥240,000 Btu/h and <760,000 Btu/h 2.35 2.24 Glycol-Cooled <65,000 Btu/h 2.50 2.39 ≥65,000 Btu/h and <240,000 Btu/h 2.15 2.04 ≥240,000 Btu/h and <760,000 Btu/h 2.10 1.99 Glycol-Cooled with Fluid Economizer <65,000 Btu/h 2.45 2.34 ≥65,000 Btu/h and <240,000 Btu/h 2.10 1.99 ≥240,000 Btu/h and <760,000 Btu/h 2.05 1.94 (2) Each computer room air conditioner manufactured on or after May 28, 2024, must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (f)(2). Table 13 to Paragraph (f)(2) —Updated Minimum Efficiency Standards for Floor-Mounted Computer Room Air Conditioners Equipment type Downflow and upflow ducted Upflow non-ducted and horizontal flow Net sensible cooling capacity Minimum NSenCOP efficiency Net sensible cooling capacity Minimum NSenCOP efficiency Downflow Upflow ducted Upflow non-ducted Horizontal flow Air-Cooled <80,000 Btu/h 2.70 2.67 <65,000 Btu/h 2.16 2.65 ≥80,000 Btu/h and <295,000 Btu/h 2.58 2.55 ≥65,000 Btu/h and <240,000 Btu/h 2.04 2.55 ≥295,000 Btu/h and <930,000 Btu/h 2.36 2.33 ≥240,000 Btu/h and <760,000 Btu/h 1.89 2.47 Air-Cooled with Fluid Economizer <80,000 Btu/h ≥80,000 Btu/h and <295,000 Btu/h 2.70 2.58 2.67 2.55 <65,000 Btu/h ≥65,000 Btu/h and <240,000 Btu/h 2.09 1.99 2.65 2.55 ≥295,000 Btu/h and <930,000 Btu/h 2.36 2.33 ≥240,000 Btu/h and <760,000 Btu/h 1.81 2.47 Water-Cooled <80,000 Btu/h 2.82 2.79 <65,000 Btu/h 2.43 2.79 ≥80,000 Btu/h and <295,000 Btu/h 2.73 2.70 ≥65,000 Btu/h and <240,000 Btu/h 2.32 2.68 ≥295,000 Btu/h and <930,000 Btu/h 2.67 2.64 ≥240,000 Btu/h and <760,000 Btu/h 2.20 2.60 Water-Cooled with Fluid Economizer <80,000 Btu/h ≥80,000 Btu/h and <295,000 Btu/h 2.77 2.68 2.74 2.65 <65,000 Btu/h ≥65,000 Btu/h and <240,000 Btu/h 2.35 2.24 2.71 2.60 ≥295,000 Btu/h and <930,000 Btu/h 2.61 2.58 ≥240,000 Btu/h and <760,000 Btu/h 2.12 2.54 Glycol-Cooled <80,000 Btu/h 2.56 2.53 <65,000 Btu/h 2.08 2.48 ≥80,000 Btu/h and <295,000 Btu/h 2.24 2.21 ≥65,000 Btu/h and <240,000 Btu/h 1.90 2.18 ≥295,000 Btu/h and <930,000 Btu/h 2.21 2.18 ≥240,000 Btu/h and <760,000 Btu/h 1.81 2.18 Glycol-Cooled with Fluid Economizer <80,000 Btu/h ≥80,000 Btu/h and <295,000 Btu/h 2.51 2.19 2.48 2.16 <65,000 Btu/h ≥65,000 Btu/h and <240,000 Btu/h 2.00 1.82 2.44 2.10 ≥295,000 Btu/h and <930,000 Btu/h 2.15 2.12 ≥240,000 Btu/h and <760,000 Btu/h 1.73 2.10 Table 14 to Paragraph (f)(2) —Minimum Efficiency Standards for Ceiling-Mounted Computer Room Air Conditioners Equipment type Net sensible cooling capacity Minimum NSenCOP efficiency Ducted Non-ducted Air-Cooled with Free Air Discharge Condenser <29,000 Btu/h 2.05 2.08 ≥29,000 Btu/h and <65,000 Btu/h 2.02 2.05 ≥65,000 Btu/h and <760,000 Btu/h 1.92 1.94 Air-Cooled with Free Air Discharge Condenser and Fluid Economizer <29,000 Btu/h 2.01 2.04 ≥29,000 Btu/h and <65,000 Btu/h 1.97 2 ≥65,000 Btu/h and <760,000 Btu/h 1.87 1.89 Air-Cooled with Ducted Condenser <29,000 Btu/h 1.86 1.89 ≥29,000 Btu/h and <65,000 Btu/h 1.83 1.86 ≥65,000 Btu/h and <760,000 Btu/h 1.73 1.75 Air-Cooled with Fluid Economizer and Ducted Condenser <29,000 Btu/h 1.82 1.85 ≥29,000 Btu/h and <65,000 Btu/h 1.78 1.81 ≥65,000 Btu/h and <760,000 Btu/h 1.68 1.7 Water-Cooled <29,000 Btu/h 2.38 2.41 ≥29,000 Btu/h and <65,000 Btu/h 2.28 2.31 ≥65,000 Btu/h and <760,000 Btu/h 2.18 2.2 Water-Cooled with Fluid Economizer <29,000 Btu/h 2.33 2.36 ≥29,000 Btu/h and <65,000 Btu/h 2.23 2.26 ≥65,000 Btu/h and <760,000 Btu/h 2.13 2.16 Glycol-Cooled <29,000 Btu/h 1.97 2 ≥29,000 Btu/h and <65,000 Btu/h 1.93 1.98 ≥65,000 Btu/h and <760,000 Btu/h 1.78 1.81 Glycol-Cooled with Fluid Economizer <29,000 Btu/h 1.92 1.95 ≥29,000 Btu/h and <65,000 Btu/h 1.88 1.93 ≥65,000 Btu/h and <760,000 Btu/h 1.73 1.76 (g)(1) Each variable refrigerant flow air conditioner or heat pump manufactured on or after the compliance date listed in table 15 to this paragraph (g)(1) and prior to January 1, 2024, must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (g)(1). Table 15 to Paragraph ( g )(1)—Minimum Efficiency Standards for Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps Equipment type Cooling capacity Heating type 1 Efficiency level Compliance date: equipment manufactured on and after . . . VRF Multi-Split Air Conditioners (Air-Cooled) ≥65,000 Btu/h and <135,000 Btu/h No Heating or Electric Resistance Heating 11.2 EER 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 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. 1 VRF multi-split heat pumps (air-cooled) with heat recovery fall under the category of “All Other Types of Heating” unless they also have electric resistance heating, in which case it falls under the category for “No Heating or Electric Resistance Heating.” (2) Each variable refrigerant flow air conditioner or heat pump (except air-cooled systems with cooling capacity less than 65,000 Btu/h) manufactured on or after January 1, 2024, must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (g)(2). Table 16 to Paragraph ( g )(2)—Updated Minimum Efficiency Standards for Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps Equipment type Size category Heating type Minimum efficiency VRF Multi-Split Air Conditioners (Air-Cooled) ≥65,000 and <135,000 Btu/h All 15.5 IEER. ≥135,000 and <240,000 Btu/h All 14.9 IEER. ≥240,000 Btu/h and <760,000 Btu/h All 13.9 IEER. VRF Multi-Split Heat Pumps (Air-Cooled) ≥65,000 and <135,000 Btu/h Heat Pump without Heat Recovery 14.6 IEER, 3.3 COP. Heat Pump with Heat Recovery 14.4 IEER, 3.3 COP. ≥135,000 and <240,000 Btu/h Heat Pump without Heat Recovery Heat Pump with Heat Recovery 13.9 IEER, 3.2 COP. 13.7 IEER, 3.2 COP. ≥240,000 Btu/h and <760,000 Btu/h Heat Pump without Heat Recovery Heat Pump with Heat Recovery 12.7 IEER, 3.2 COP. 12.5 IEER, 3.2 COP. VRF Multi-Split Heat Pumps (Water-Source) <65,000 Btu/h Heat Pump without Heat Recovery Heat Pump with Heat Recovery 16.0 IEER, 4.3 COP. 15.8 IEER, 4.3 COP. ≥65,000 and <135,000 Btu/h Heat Pump without Heat Recovery Heat Pump with Heat Recovery 16.0 IEER, 4.3 COP. 15.8 IEER, 4.3 COP. ≥135,000 and <240,000 Btu/h Heat Pump without Heat Recovery Heat Pump with Heat Recovery 14.0 IEER, 4.0 COP. 13.8 IEER, 4.0 COP. ≥240,000 Btu/h and <760,000 Btu/h Heat Pump without Heat Recovery Heat Pump with Heat Recovery 12.0 IEER, 3.9 COP. 11.8 IEER, 3.9 COP. (h) Each direct expansion-dedicated outdoor air system manufactured on or after the compliance date listed in table 17 to this paragraph (h) must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (h). Table 17 to Paragraph ( h )—Minimum Efficiency Standards for Direct Expansion-Dedicated Outdoor Air Systems Equipment category Subcategory Efficiency level Compliance date: equipment manufactured starting on . . . Direct expansion-dedicated outdoor air systems (AC)—Air-cooled without ventilation energy recovery systems ISMRE2 = 3.8 May 1, 2024. (AC w/VERS)—Air-cooled with ventilation energy recovery systems ISMRE2 = 5.0 May 1, 2024. (ASHP)—Air-source heat pumps without ventilation energy recovery systems ISMRE2 = 3.8 ISCOP2 = 2.05 May 1, 2024. (ASHP w/VERS)—Air-source heat pumps with ventilation energy recovery systems ISMRE2 = 5.0 ISCOP2 = 3.20 May 1, 2024. (WC)—Water-cooled without ventilation energy recovery systems ISMRE2 = 4.7 May 1, 2024. (WC w/VERS)—Water-cooled with ventilation energy recovery systems ISMRE2 = 5.1 May 1, 2024. (WSHP)—Water-source heat pumps without ventilation energy recovery systems ISMRE2 = 3.8 ISCOP2 = 2.13 May 1, 2024. (WSHP w/VERS)—Water-source heat pumps with ventilation energy recovery systems ISMRE2 = 4.6 ISCOP2 = 4.04 May 1, 2024. (i) Air-cooled, three-phase, commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase variable refrigerant flow multi-split air conditioning and heating equipment with a cooling capacity of less than 65,000 Btu/h manufactured on or after the compliance date listed in tables 18 and 19 to this paragraph (i) must meet the applicable minimum energy efficiency standard level(s) set forth in this paragraph (i). Table 18 to Paragraph ( i )—Minimum Efficiency Standards for Air-Cooled, Three-Phase, Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/ h and Air-Cooled, Three-Phase, Small Variable Refrigerant Flow Multi-Split Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/ h Equipment type Cooling capacity Subcategory Minimum efficiency Compliance date: equipment manufactured starting on . . . Commercial Package Air Conditioning Equipment <65,000 Btu/h Split-System 13.0 SEER June 16, 2008. 1 Commercial Package Air Conditioning Equipment <65,000 Btu/h Single-Package 14.0 SEER January 1, 2017. 1 Commercial Package Air Conditioning and Heating Equipment <65,000 Btu/h Split-System 14.0 SEER 8.2 HSPF January 1, 2017. 1 Commercial Package Air Conditioning and Heating Equipment <65,000 Btu/h Single-Package 14.0 SEER 8.0 HSPF January 1, 2017. 1 VRF Air Conditioners <65,000 Btu/h 13.0 SEER June 16, 2008. 1 VRF Heat Pumps <65,000 Btu/h 13.0 SEER 7.7 HSPF June 16, 2008. 1 1 And manufactured before January 1, 2025. For equipment manufactured on or after January 1, 2025, see table 19 to this paragraph (i) for updated efficiency standards. Table 19 to Paragraph ( i )—Updated Minimum Efficiency Standards for Air-Cooled, Three-Phase, Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/ h and Air-Cooled, Three-Phase, Small Variable Refrigerant Flow Multi-Split Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/ h Equipment type Cooling capacity Subcategory Minimum efficiency Compliance date: equipment manufactured starting on . . . Commercial Package Air Conditioning Equipment <65,000 Btu/h Split-System 13.4 SEER2 January 1, 2025. Commercial Package Air Conditioning Equipment <65,000 Btu/h Single-Package 13.4 SEER2 January 1, 2025. Commercial Package Air Conditioning and Heating Equipment <65,000 Btu/h Split-System 14.3 SEER2 7.5 HSPF2 January 1, 2025. Commercial Package Air Conditioning and Heating Equipment <65,000 Btu/h Single-Package 13.4 SEER2 6.7 HSPF2 January 1, 2025. Space-Constrained Commercial Package Air Conditioning Equipment ≤30,000 Btu/h Split-System 12.7 SEER2 January 1, 2025. Space-Constrained Commercial Package Air Conditioning Equipment ≤30,000 Btu/h Single-Package 13.9 SEER2 January 1, 2025. Space-Constrained Commercial Package Air Conditioning and Heating Equipment ≤30,000 Btu/h Split-System 13.9 SEER2 7.0 HSPF2 January 1, 2025. Space-Constrained Commercial Package Air Conditioning and Heating Equipment ≤30,000 Btu/h Single-Package 13.9 SEER2 6.7 HSPF2 January 1, 2025. Small-Duct, High-Velocity Commercial Package Air Conditioning <65,000 Btu/h Split-System 13.0 SEER2 January 1, 2025. Small-Duct, High-Velocity Commercial Package Air Conditioning and Heating Equipment <65,000 Btu/h Split-System 14.0 SEER2 6.9 HSPF2 January 1, 2025. VRF Air Conditioners <65,000 Btu/h 13.4 SEER2 January 1, 2025. VRF Heat Pumps <65,000 Btu/h 13.4 SEER2 7.5 HSPF2 January 1, 2025. Appendix A to Subpart F of Part 431—Uniform Test Method for the Measurement of Energy Consumption of Commercial Package Air Conditioning and Heating Equipment (Excluding Air-Cooled Equipment With a Cooling Capacity Less Than 65,000 Btu/h) 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 they appeared in subpart F of 10 CFR part 431, revised as of January 1, 2024; or (b) This appendix. 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 this appendix. Beginning on the compliance date of amended standards for commercial package air conditioning and heating equipment (excluding 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 appendix A1 to this subpart. 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 appendix A1 to this subpart. 1. Incorporation by Reference DOE incorporated by reference in § 431.95, the entire standard for AHRI 340/360-2022 and ANSI/ASHRAE 37-2009. However, certain enumerated provisions of AHRI 340/360-2022 and ANSI/ASHRAE 37-2009, as set forth 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 340/360-2022: (a) Section 1 Purpose is inapplicable, (b) Section 2 Scope is inapplicable, (c) The following subsections of Section 3 Definitions are inapplicable: 3.2 (Basic Model), 3.4 (Commercial and Industrial Unitary Air-conditioning Equipment), 3.5 (Commercial and Industrial Unitary Heat Pump), 3.7 (Double-duct System), 3.8 (Energy Efficiency Ratio (EER)), 3.12 (Heating Coefficient of Performance (COP H )), 3.14 (Integrated Energy Efficiency Ratio (IEER)), 3.23 (Published Rating), 3.26 (Single Package Air-Conditioners), 3.27 (Single Package Heat Pumps), 3.29 (Split System Air-conditioners), 3.30 (Split System Heat Pump), 3.36 (Year Round Single Package Air-conditioners), (d) Section 7 Minimum Data Requirements for Published Ratings is inapplicable, (e) Section 8 Operating Requirements is inapplicable, (f) Section 9 Marking and Nameplate Data is inapplicable, (g) Section 10 Conformance Conditions is inapplicable, (h) Appendix B References—Informative is inapplicable, (i) Appendix D Unit Configuration for Standard Efficiency Determination—Normative is inapplicable, (j) Appendix F International Rating Conditions—Normative is inapplicable, (k) Appendix G Examples of IEER Calculations—Informative is inapplicable, (l) Appendix H Example of Determination of Fan and Motor Efficiency for Non-standard Integrated Indoor Fan and Motors—Informative is inapplicable, and (m) Appendix I Double-duct System Efficiency Metrics with Non-Zero Outdoor Air External Static Pressure (ESP)—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 Determine the applicable energy efficiency metrics (IEER, EER, and COP) in accordance with this appendix and the applicable sections of AHRI 340/360-2022 and ANSI/ASHRAE 37-2009. Section 3 of this appendix provides additional instructions for testing. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 340/360-2022, 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 Table 6 of AHRI 340/360-2022 apply when testing to certify to the energy conservation standards in § 431.97. For cooling mode tests for equipment subject to standards in terms of EER, test using the “Standard Rating Conditions Cooling”. For cooling mode tests for equipment subject to standards in terms of IEER, test using the “Standard Rating Conditions Cooling” and the “Standard Rating Part-Load Conditions (IEER)”. For heat pump heating mode tests for equipment subject to standards in terms of COP, test using the “Standard Rating Conditions (High Temperature Steady State Heating)”. For equipment subject to standards in terms of EER, representations of IEER made using the “Standard Rating Part-Load Conditions (IEER)” in Table 6 of AHRI 340/360-2022 are optional. For equipment subject to standards in terms of IEER, representations of EER made using the “Standard Rating Conditions Cooling” in Table 6 of AHRI 340/360-2022 are optional. Representations of COP made using the “Standard Rating Conditions (Low Temperature Steady State Heating)” in Table 6 of AHRI 340/360-2022 are optional and are not to be used as the basis for determining compliance with energy efficiency standards in terms of COP. Appendix A1 to Subpart F of Part 431—Uniform Test Method for the Measurement of Energy Consumption of Commercial Package Air Conditioning and Heating Equipment (Excluding Air-Cooled Equipment With a Cooling Capacity Less Than 65,000 Btu/h) 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 (COP2 H )), 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 IVHE C 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 IVHE C made using the IVHE C Cold Climate building load profile in Table 22 of AHRI 1340-2023 are optional. Representations of COP2 47 , COP2 17 , and COP2 5 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 COP2 5 . 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 IVHE C . 5.3. Operating Level Requirements for COP2 Any references to COP2 H 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 COP2 47 , use capacity and power determined for the H47H test. To determine COP2 17 , 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 COP2 5 , 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. Appendix B to Subpart F of Part 431—Uniform Test Method For Measuring the Energy Consumption of Direct Expansion-Dedicated Outdoor Air Systems Note: Beginning July 24, 2023, representations with respect to energy use or efficiency of direct expansion-dedicated outdoor air systems must be based on testing conducted in accordance with this appendix. Manufacturers may elect to use this appendix early. 1. Incorporation by Reference DOE incorporated by reference in § 431.95, the entire standard for AHRI 920-2020, AHRI 1060-2018; ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013. However, only enumerated provisions of AHRI 920-2020, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013, as listed in this section 1 are required. 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 920-2020 (a) Section 3—Definitions, as specified in section 2.2.1(a) of this appendix; (b) Section 5—Test Requirements, as specified in section 2.2.1(b) of this appendix; (c) Section 6—Rating Requirements, as specified in section 2.2.1(c) of this appendix, omitting section 6.1.2 (but retaining sections 6.1.2.1-6.1.2.8) and 6.6.1; (d) Section 11—Symbols and Subscripts, as specified in section 2.2.1(d) of this appendix; (e) Appendix A—References—Normative, as specified in section 2.2.1(e) of this appendix; and (f) Appendix C—ANSI/ASHRAE Standard 198 and ANSI/ASHRAE Standard 37 Additions, Clarifications and Exceptions—Normative, as specified in section 2.2.1(f) of this appendix. 1.2. ANSI/ASHRAE 37-2009 (a) Section 5.1—Temperature Measuring Instruments (excluding sections 5.1.1 and 5.1.2), as specified in sections 2.2.1(b) and (f) of this appendix; (b) Section 5.2—Refrigerant, Liquid, and Barometric Pressure Measuring Instruments, as specified in section 2.2.1(b) of this appendix; (c) Sections 5.3—Air Differential Pressure and Airflow Measurements, as specified in section 2.2.1(b) of this appendix; (d) Sections 5.5(b)—Volatile Refrigerant Measurement, as specified in section 2.2.1(b) of this appendix; (e) Section 6.1—Enthalpy Apparatus (excluding 6.1.1 and 6.1.3 through 6.1.6), as specified in section 2.2.1(b) of this appendix; (f) Section 6.2—Nozzle Airflow Measuring Apparatus, as specified in section 2.2.1(b) of this appendix; (g) Section 6.3—Nozzles, as specified in section 2.2.1(b) of this appendix; (h) Section 6.4—External Static Pressure Measurements, as specified in section 2.2.1(b) of this appendix; (i) Section 6.5—Recommended Practices for Static Pressure Measurements, as specified in section 2.2.1(f) of this appendix; (j) Section 7.3—Indoor and Outdoor Air Enthalpy Methods, as specified in section 2.2.1(f) of this appendix; (k) Section 7.4—Compressor Calibration Method, as specified in section 2.2.1(f) of this appendix; (l) Section 7.5—Refrigerant Enthalpy Method, as specified in section 2.2.1(f) of this appendix; (m) Section 7.6—Outdoor Liquid Coil Method, as specified in section 2.2.1(f) of this appendix; (n) Section 7.7—Airflow Rate Measurement (excluding sections 7.7.1.2, 7.7.3, and 7.7.4), as specified in section 2.2.1(b) of this appendix; (o) Table 1—Applicable Test Methods, as specified in section 2.2.1(f) of this appendix; (p) Section 8.6—Additional Requirements for the Outdoor Air Enthalpy Method, as specified in section 2.2.1(f) of this appendix; (q) Table 2b—Test Tolerances (I-P Units), as specified in sections 2.2.1(c) and 2.2(f) of this appendix; and (r) Errata sheet issued on October 3, 2016, as specified in section 2.2.1(f) of this appendix. 1.3. ANSI/ASHRAE 41.6-2014 (a) Section 4—Classifications, as specified in section 2.2.1(f) of this appendix; (b) Section 5—Requirements, as specified in section 2.2.1(f) of this appendix; (c) Section 6—Instruments and Calibration, as specified in section 2.2.1(f) of this appendix; (d) Section 7.1—Standard Method Using the Cooled-Surface Condensation Hygrometer as specified in section 2.2.1(f) of this appendix; and (e) Section 7.4—Electronic and Other Humidity Instruments. As specified in section 2.2.1(f) of this appendix. 1.4. ANSI/ASHRAE 198-2013 (a) Section 4.4—Temperature Measuring Instrument, as specified in section 2.2.1(b) of this appendix; (b) Section 4.5—Electrical Instruments, as specified in section 2.2.1(b) of this appendix; (c) Section 4.6—Liquid Flow Measurement, as specified in section 2.2.1(b) of this appendix; (d) Section 4.7—Time and Mass Measurements, as specified in section 2.2.1(b) of this appendix; (e) Section 6.1—Test Room Requirements, as specified in section 2.2.1(b) of this appendix; (f) Section 6.6—Unit Preparation, as specified in section 2.2.1(b) of this appendix; (g) Section 7.1—Preparation of the Test Room(s), as specified in section 2.2.1(b) of this appendix; (h) Section 7.2—Equipment Installation, as specified in section 2.2.1(b) of this appendix; (i) Section 8.2—Equilibrium, as specified in section 2.2.1(b) of this appendix; and (j) Section 8.4—Test Duration and Measurement Frequency, as specified in section 2.2.1(b) of this appendix. 2. Test Method 2.1. Capacity Moisture removal capacity (in pounds per hour) and supply airflow rate (in standard cubic feet per minute) are determined according to AHRI 920-2020 as specified in section 2.2 of this appendix. 2.2. Efficiency 2.2.1. Determine the ISMRE2 for all DX-DOASes and the ISCOP2 for all heat pump DX-DOASes in accordance with the following sections of AHRI 920-2020 and the additional provisions described in this section. (a) Section 3—Definitions, including the references to AHRI 1060-2018; (i) Non-standard Low-static Fan Motor. A supply fan motor that cannot maintain external static pressure as high as specified in Table 7 of AHRI 920-2020 when operating at a manufacturer-specified airflow rate and that is distributed in commerce as part of an individual model within the same basic model of a DX-DOAS that is distributed in commerce with a different motor specified for testing that can maintain the required external static pressure. (ii) Manufacturer-specified. Information provided by the manufacturer through manufacturer's installation instructions, as defined in Section 3.14 of AHRI 920-2020. (iii) Reserved (b) Section 5—Test Requirements, including the references to Sections 5.1, 5.2, 5.3, 5.5, 6.1, 6.2, 6.3, 6.4, and 7.7 (not including Sections 7.7.1.2, 7.7.3, and 7.7.4) of ANSI/ASHRAE 37-2009, and Sections 4.4, 4.5, 4.6, 4.7, 5.1, 6.1, 6.6, 7.1, 7.2, 8.2, and 8.4 of ANSI/ASHRAE 198-2013; (i) All control settings are to remain unchanged for all Standard Rating Conditions once system set up has been completed, except as explicitly allowed or required by AHRI 920-2020 or as indicated in the supplementary test instructions (STI). Component operation shall be controlled by the unit under test once the provisions in section 2.2.1(c) of this appendix are met. (ii) Break-in. The break-in conditions and duration specified in section 5.6 of AHRI 920-2020 shall be manufacturer-specified values. (iii) Reserved (c) Section 6—Rating Requirements (omitting sections 6.1.2 and 6.6.1), including the references to Table 2b of ANSI/ASHRAE 37-2009, and ANSI/ASHRAE 198-2013. (i) For water-cooled DX-DOASes, the “Condenser Water Entering Temperature, Cooling Tower Water” conditions specified in Table 4 of AHRI 920-2020 shall be used. For water-source heat pump DX-DOASes, the “Water-Source Heat Pumps” conditions specified in Table 5 of AHRI 920-2020 shall be used. (ii) For water-cooled or water-source DX- DOASes with integral pumps, set the external head pressure to 20 ft. of water column, with a −0/+1 ft. condition tolerance and a 1 ft. operating tolerance. (iii) When using the degradation coefficient method as specified in Section 6.9.2 of AHRI 920-2020, Equation 20 applies to DX- DOAS without VERS, with deactivated VERS (see Section 5.4.3 of AHRI 920-2020), or sensible-only VERS tested under Standard Rating Conditions other than D. (iv) Rounding requirements for representations are to be followed as stated in Sections 6.1.2.1 through 6.1.2.8 of AHRI 920-2020; (d) Section 11—Symbols and Subscripts, including references to AHRI 1060-2018; (e) Appendix A—References—Normative; (f) Appendix C—ANSI/ASHRAE 198-2013 and ANSI/ASHRAE 37 Additions, Clarifications and Exceptions—Normative, including references to Sections 5.1, 6.5, 7.3, 7.4, 7.5, 7.6, 8.6, Table 1, Table 2b, and the errata sheet of ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, Sections 4, 5, 6, 7.1, and 7.4 of ANSI/ASHRAE 41.6-2014, and AHRI 1060-2018; (g) Appendix E—Typical Test Unit Installations—Informative, for information only. 2.2.2. Set-Up and Test Provisions for Specific Components. When testing a DX-DOAS that includes any of the features listed in Table 2.1 of this section, test in accordance with the set-up and test provisions specified in Table 2.1 of this section. Table 2.1—Test Provisions for Specific Components Component Description Test provisions Return and Exhaust Dampers An automatic system that enables a DX-DOAS Unit to supply and use some return air (even if an optional VERS is not utilized) to reduce or eliminate the need for mechanical dehumidification or heating when ventilation air requirements are less than design All dampers that allow return air to pass into the supply airstream shall be closed and sealed. Exhaust air dampers of DOAS units with VERS shall be open. Gravity dampers activated by exhaust fan discharge airflow shall be allowed to open by action of the exhaust airflow. VERS Bypass Dampers An automatic system that enables a DX-DOAS Unit to let outdoor ventilation air and return air bypass the VERS when preconditioning of outdoor ventilation is not beneficial Test with the VERS bypass dampers installed, closed, and sealed. However, VERS bypass dampers may be opened if necessary for testing with deactivated VERS for Standard Rating Condition D. 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 The fire/smoke/isolation dampers shall be removed for testing. If it is not possible to remove such a damper, test with the damper fully open. For any fire/smoke/isolation dampers shipped with the unit but not factory-installed, do not install the dampers for testing. Furnaces and Steam/Hydronic Heat Coils Furnaces and steam/hydronic heat coils used to provide primary or supplementary heating Test with the coils in place but providing no heat. Power Correction Capacitors A capacitor that increases the power factor measured at the line connection to the equipment. These devices are a requirement of the power distribution system supplying the unit Remove power correction capacitors 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. Ducted Condenser Fans A condenser fan/motor assembly designed for optional external ducting of condenser air that provides greater pressure rise and has a higher rated motor horsepower than the condenser fan provided as a standard component with the equipment Test with the ducted condenser fan installed and operating using zero external static pressure, unless the manufacturer specifies use of an external static pressure greater. than zero, in which case, use the manufacturer-specified external static pressure. Sound Traps/Sound Attenuators An assembly of structures through which the supply air passes before leaving the equipment or through which the return air from the building passes immediately after entering the equipment for which the sound insertion loss is at least 6 dB for the 125 Hz octave band frequency range Removable sound traps/sound attenuators shall be removed for testing. Otherwise, test with sound traps/attenuators in place. Humidifiers A device placed in the supply air stream for moisture evaporation and distribution. The device may require building steam or water, hot water, electric or gas to operate Remove humidifiers for testing. UV Lights A lighting fixture and lamp mounted so that it shines light on the conditioning coil, that emits ultraviolet light to inhibit growth of organisms on the conditioning coil surfaces, the condensate drip pan, and/other locations within the equipment Remove UV lights for testing. High-Effectiveness Indoor Air Filtration Indoor air filters with greater air filtration effectiveness than MERV 8 or the lowest MERV filter distributed in commerce, whichever is greater Test with a MERV 8 filter or the lowest MERV filter distributed in commerce, whichever is greater 2.2.3. Optional Representations. Test provisions for the determination of the metrics indicated in paragraphs (a) through (d) of this section are optional and are determined according to the applicable provisions in section 2.2.1 of this appendix. The following metrics in AHRI 920-2020 are optional: (a) ISMRE2 70 ; (b) COP Full,x : (c) COP DOAS,x : and (d) ISMRE2 and ISCOP2 for water-cooled DX-DOASes using the “Condenser Water Entering Temperature, Chilled Water” conditions specified in Table 4 of AHRI 920-2020 and for water-source heat pump DX-DOASes using the “Water-Source Heat Pump, Ground-Source Closed Loop” conditions specified in Table 5 of AHRI 920-2020. 2.3 Synonymous Terms (a) Any references to energy recovery or energy recovery ventilator (ERV) in AHRI 920-2020 and ANSI/ASHRAE 198-2013 shall be considered synonymous with ventilation energy recovery system (VERS) as defined in § 431.92. (b) Reserved Appendix C to Subpart F of Part 431—Uniform Test Method for Measuring the Energy Consumption of Water-Source Heat Pumps Note: Manufacturers must use the results of testing under this appendix to determine compliance with the relevant standard at § 431.97 as that standard appeared in the January 1, 2023 edition of 10 CFR parts 200-499. Specifically, representations must be based on testing according to either this appendix or 10 CFR 431.96 as it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 2023. Starting on November 29, 2024, voluntary representations with respect to energy use or efficiency of water-source heat pumps with cooling capacity greater than or equal to 135,000 Btu/h and less than 760,000 Btu/h must be based on testing according to this appendix. Manufacturers may also use this appendix to make voluntary representations with respect to energy use or efficiency prior to November 29, 2024. Starting on November 29, 2024, voluntary representations with respect to the integrated energy efficiency ratio (IEER) and applied coefficient of performance (ACOP) of water-source heat pumps must be based on testing according to appendix C1 of this subpart. Manufacturers may also use appendix C1 to make voluntary representations with respect to IEER and ACOP prior to November 29, 2024. Starting on the compliance date for any amended energy conservation standards for water-source heat pumps based on IEER and ACOP, any representations, including compliance certifications, made with respect to the energy use or energy efficiency of water-source heat pumps must be based on testing according to appendix C1 of this subpart. Manufacturers may also certify compliance with any amended energy conservation standards for water-source heat pumps based on IEER and ACOP prior to the applicable compliance date for those standards, and those compliance certifications must be based on testing according to appendix C1 of this subpart. 1. Incorporation by Reference DOE incorporated by reference in § 431.95, the entire standard for ISO 13256-1:1998. To the extent there is a conflict between the terms or provisions of a referenced industry standard and this appendix, the appendix provisions control. 2. General Determine the energy efficiency ratio (EER) and coefficient of performance (COP) in accordance with ISO 13256-1:1998. Section 3 of this appendix provides additional instructions for determining EER and COP. 3. Additional Provisions for Equipment Set-Up The only additional specifications that may be used in setting up the basic model for testing 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. Sections 3.1 through 3.2 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals. 3.1. 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 must be used. 3.2. The airflow 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 airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton must be used. Appendix C1 to Subpart F of Part 431—Uniform Test Method for Measuring the Energy Consumption of Water-Source Heat Pumps Note: Prior to the compliance date of amended standards for water-source heat pumps that rely on integrated energy efficiency ratio (IEER) and applied coefficient of performance (ACOP) published after January 1, 2023, representations with respect to the energy use or energy efficiency of water-source heat pumps, including compliance certifications, must be based on testing according to appendix C of this subpart. Starting on November 29, 2024, voluntary representations with respect to the IEER and ACOP of water-source heat pumps must be based on testing according to this appendix. Manufacturers may also use this appendix to make voluntary representations with respect to IEER and ACOP prior to November 29, 2024. Starting on the compliance date for any amended energy conservation standards for water-source heat pumps based on IEER and ACOP, any representations, including compliance certifications, made with respect to the energy use or energy efficiency of water-source heat pumps must be based on testing according to this appendix. Manufacturers may also certify compliance with any amended energy conservation standards for water-source heat pumps based on IEER and ACOP prior to the applicable compliance date for those standards, and those compliance certifications must be based on testing according to this appendix. 1. Incorporation by Reference DOE incorporated by reference in § 431.95 the entire standards for AHRI 600-2023, ANSI/ASHRAE 37-2009 (as corrected by the Errata sheet for ANSI/ASHRAE 37-2009), and Melinder 2010. However, certain enumerated provisions of AHRI 600-2023 and 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 600-2023 (a) Section 1 Purpose is inapplicable, (b) Section 2 Scope is inapplicable, (c) The following subsections of section 3 Definitions are inapplicable: (1) 3.2.1 (Air Economizer), (2) 3.2.3 (Barometric Relief Dampers), (3) 3.2.4 (Basic Model), (4) 3.2.5 (Coated Coils), (5) 3.2.6 (Coefficients of Performance), (6) 3.2.9 (Condenser Pump/Valves/Fittings), (7) 3.2.10 (Condenser Water Reheat), (8) 3.2.13 (Desiccant Dehumidification Components), (9) 3.2.14 (Desuperheater), (10) 3.2.15.1 (Energy Efficiency Ratio), (11) 3.2.16 (Evaporative Cooling of Ventilation Air), (12) 3.2.17 (Fire/Smoke/Isolation Dampers), (13) 3.2.19 (Fresh Air Dampers), (14) 3.2.21 (Grill Options), (15) 3.2.23 (High-effectiveness Indoor Air Filtration), (16) 3.2.24 (Hot Gas Bypass), (17) 3.2.27 (Integrated Energy Efficiency Ratio), (18) 3.2.28 (Low-static Heat Pump), (19) 3.2.35 (Power Correction Capacitors), (20) 3.2.36 (Powered Exhaust Air Fan), (21) 3.2.37 (Powered Return Air Fan), (22) 3.2.38 (Process Heat Recovery/Reclaim Coils/Thermal Storage), (23) 3.2.40 (Published Rating), (24) 3.2.42 (Refrigerant Reheat Coils), (25) 3.2.43 (Single Package Heat Pumps), (26) 3.2.44 (Sound Traps/Sound Attenuators), (27) 3.2.45 (Split System Heat Pump), (28) 3.2.51 (Steam/Hydronic Heat Coils), (29) 3.2.53 (UV Lights), (30) 3.2.54 (Ventilation Energy Recovery System), (31) 3.2.55 (Water/Brine to Air Heat Pump Equipment), and (32) 3.2.56 (Waterside Economizer), (d) The following subsections of section 6 Rating Requirements are inapplicable: (1) 6.5 (Residential Cooling Capacity and Efficiency), (2) 6.6 (Residential Heating Capacity and Efficiency), (3) 6.7 (Test Data vs Computer Simulation), (4) 6.8 (Rounding and Precision), (5) 6.9 (Uncertainty), and (6) 6.10 (Verification Testing), (e) Section 7 Minimum Data Requirements for Published Ratings is inapplicable (f) Section 8 Operating Requirements is inapplicable, (g) Section 9 Marking and Nameplate Data is inapplicable, (h) Section 10 Conformance Conditions is inapplicable, (i) Appendix B References—Informative is inapplicable, (j) Sections D.1 (Purpose), D.2 (Configuration Requirements), and D.3 (Optional System Features) of Appendix D Unit Configuration For Standard Efficiency Determination—Normative are inapplicable, and (k) Appendix F Example of Determination of Fan and Motor Efficiency for Non-standard Integrated Indoor Fan and Motors—Informative is inapplicable. 1.2. ANSI/ASHRAE 37-2009 (Even if Corrected by the Errata Sheet) (a) Section 1 Purpose is inapplicable. (b) Section 2 Scope is inapplicable. (c) Section 4 Classification is inapplicable. 2. General Determine integrated energy efficiency ratio (IEER) and heating applied coefficient of performance (ACOP) in accordance with this appendix and the applicable sections of AHRI 600-2023, ANSI/ASHRAE 37-2009, and Melinder 2010. Representations of AEER, EER, and COP may optionally be made. Section 3 of this appendix provides additional instructions for testing. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 600-2023, 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. Material is incorporated as it exists on the date of the approval, and a notification of any change in the incorporation must be published in the Federal Register . 3. Setup and Test Provisions for Specific Components When testing a water-source heat pump that includes any of the features listed in table 1 to this appendix, test in accordance with the setup and test provisions specified in table 1 to this appendix. Table 1 to Appendix C1—Setup and Test Provisions for Specific Components Component Description Setup and 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 percent 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. 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. 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 percent 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. Appendix D to Subpart F of Part 431—Uniform Test Method for Measuring the Energy Consumption of Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps (Other Than Air-Cooled With Rated Cooling Capacity Less Than 65,000 Btu/h) Note: Manufacturers must use the results of testing under this appendix to determine compliance with the relevant standard from § 431.97 as that standard appeared in the January 1, 2022 edition of 10 CFR parts 200-499. Specifically, representations must be based upon results generated either under this appendix or under 10 CFR 431.96 as it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 2022. For any amended standards for variable refrigerant flow multi-split air conditioners and heat pumps that rely on integrated energy efficiency ratio (IEER) published after January 1, 2022, manufacturers must use the results of testing under appendix D1 of this subpart to determine compliance. Representations related to energy consumption must be made in accordance with the appropriate appendix that applies ( i.e., appendix D or appendix D1) when determining compliance with the relevant standard. 1. Incorporation by Reference DOE incorporated by reference in § 431.95, the entire standard for ANSI/AHRI 1230-2010. However, enumerated provisions of ANSI/AHRI 1230-2010, as listed in this section 1, are excluded. 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 ANSI/AHRI 1230-2010: (a) Section 5.1.2—Manufacturer involvement. (b) Section 6.6—Verification testing and uncertainty is inapplicable as specified in section 2.2 of this appendix. 1.2 [Reserved.] 2. General. Determine the energy efficiency ratio (EER) and coefficient of performance (COP) (as applicable) in accordance with ANSI/AHRI 1230-2010. Note: Sections 3 through 6 of this appendix provide additional instructions for determining EER and COP. 3. 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 specified in this appendix. A manufacturer who elects to use an optional compressor break-in period in its certification testing should record this period's duration as part of the information in the supplemental testing instructions under 10 CFR 429.43. 4. Refrigerant line length corrections. For test set-ups where it is physically impossible for the laboratory to use the required line length listed in Table 3 of the ANSI/AHRI 1230-2010, then the actual refrigerant line length used by the laboratory may exceed the required length and the following cooling capacity 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 5. 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. Sections 5.1 through 5.3 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals. 5.1. 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 must be used. 5.2. The airflow rate used for testing must be that set forth in the installation and operation manual 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 airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton must be used. 5.3. 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. 6. Manufacturer involvement in assessment or enforcement testing. A manufacturer's representative will be allowed to witness assessment and/or enforcement testing for variable refrigerant flow multi-split air conditioners and heat pumps. The manufacturer's representative will be allowed to inspect and discuss set-up only with a DOE representative. During testing, the manufacturer's representative may adjust only the modulating components that are necessary to achieve steady-state operation in the presence of a DOE representative. Only previously documented specifications for set-up as specified under sections 4 and 5 of this appendix will be used. Appendix D1 to Subpart F of Part 431—Uniform Test Method for Measuring the Energy Consumption of Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps (Other Than Air-Cooled With Rated Cooling Capacity Less Than 65,000 Btu/h) Note: Manufacturers must use the results of testing under this appendix to determine compliance with any amended standards for variable refrigerant flow multi-split air conditioners and heat pumps provided in § 431.97 that are published after January 1, 2022, and that rely on integrated energy efficiency ratio (IEER). Representations related to energy consumption must be made in accordance with the appropriate appendix that applies ( i.e., appendix D or appendix D1) when determining compliance with the relevant standard. 1. Incorporation by Reference DOE incorporated by reference in § 431.95, the entire standard for AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as corrected by the Errata sheet for ANSI/ASHRAE 37-2009 issued on March 27, 2019 (“ANSI/ASHRAE 37-2009 (as corrected)”). However, only enumerated provisions of AHRI 1230-2021 and ANSI/ASHRAE 37-2009 are required or excluded, as listed in this section 1. 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 Provisions Required 1.1.1 AHRI 1230-2021 (a) Section 3—Definitions, except section 3.11, as specified in section 2 of this appendix, (b) Section 5—Test Requirements, except section 5.1.2, as specified in sections 2 and 5.1 of this appendix, (c) Section 6—Rating Requirements, except sections 6.3.3 and 6.5, as specified in sections 2, 4.1, 4.1.1, 4.2, 4.2.1, and 5.1 of this appendix, (d) Section 11—Calculations is applicable as specified in sections 2, 5.2.1.2, and 5.2.2 of this appendix, (e) Section 12—Symbols, Subscripts, and Superscripts as specified in section 2 of this appendix, (f) Appendix E—ANSI/ASHRAE Standard 37-2009 Clarifications/Exceptions—Normative as specified in section 2 of this appendix. 1.1.2 [Reserved] 1.2 Provisions Excluded 1.2.1 ANSI/ASHRAE 37-2009 (as Corrected) (a) Section 1—Purpose, (b) Section 2—Scope, and (c) Section 4—Classification. 2. General. Determine IEER and coefficient of performance (COP) (as applicable) in accordance with AHRI 1230-2021 and ANSI/ASHRAE 37-2009 (as corrected). Sections 3 through 5 of this appendix provide additional instructions for determining IEER and COP. In cases where there is a conflict, the language of this appendix takes highest precedence, followed by AHRI 1230-2021, followed by ANSI/ASHRAE 37-2009 (as corrected). Note: The controls verification procedure specified in Appendix C of AHRI 1230-2021 is referenced as part of DOE's certification provisions at § 429.43(b) and product-specific enforcement provisions located at § 429.134(v)(3). 3. Definitions 3.1. Critical Parameter(s) are the following settings of modulating components of variable refrigerant flow multi-split air conditioners and heat pumps: compressor speed(s), outdoor fan speed(s), and outdoor variable valve position(s). 4. Test Conditions 4.1 Test Conditions for Air-Cooled VRF Multi-split Systems with Rated Cooling Capacity Greater Than 65,000 Btu/h. When testing to certify to the energy conservation standards in § 431.97, test using the “Standard Rating Conditions, Cooling” and “Standard Rating Part-Load Conditions (IEER)” conditions for cooling mode tests and “Standard Rating Conditions (High Temperature Steady-state Test for Heating)” conditions for heat pump heating mode tests, as specified in Table 9 in Section 6 of AHRI 1230-2021. 4.1.1 Representations of COP for air-cooled VRF multi-split systems with rated cooling capacity greater than 65,000 Btu/h made using the “Low Temperature Operation, Heating” condition specified in Table 9 in Section 6 of AHRI 1230-2021 are optional. 4.2 Test Conditions for Water-source VRF Multi-split Systems. When testing to certify to the energy conservation standards in § 431.97, test using the “Part-load Conditions (IEER)” conditions specified for “Water Loop Heat Pumps” in Table 10 of AHRI 1230-2021 for cooling mode tests and the “Standard Rating Test” conditions specified for “Water Loop Heat Pumps” in Table 11 in Section 6 of AHRI 1230-2021 for heat pump heating mode tests. 4.2.1 For water-source VRF multi-split systems, representations of EER made using the “Standard Rating Test” conditions specified for “Ground-loop Heat pumps” in Table 10 of Section 6 of AHRI 1230-2021 and representations of COP made using the “Standard Rating Test” conditions specified for “Ground-loop Heat Pumps” in Table 11 of Section 6 of AHRI 1230-2021 are optional. 5. Test Procedure 5.1 Control Settings. Control settings must be set in accordance with Sections 5.1.3, 5.1.4, 5.1.5, and 5.2 of AHRI 1230-2021. For systems equipped with head pressure controls, the head pressure controls must be set per manufacturer installation instructions or per factory settings if no instructions are provided. Indoor airflow-control settings must be set in accordance with Section 6.3.1 of AHRI 1230-2021. At each load point, critical parameters must be set to the values certified in the supplemental testing instructions (STI) provided by the manufacturer pursuant to § 429.43(b)(4) of this chapter. In cases in which a certified critical parameter value is not in the STI, the system must operate per commands from the system controls for that parameter. Once set, control settings must remain unchanged for the remainder of the test (except for allowable adjustment of critical parameters as described in section 5.2 of this appendix). 5.2 Allowable Critical Parameter Adjustments for IEER Cooling Tests. The following sections describe allowable adjustments to critical parameters after the initial system set-up (during which all control settings, including certified critical parameters, are set). Adjust critical parameters in order to achieve full- and part-load cooling capacity targets and sensible heat ratio (SHR) limits. 5.2.1 Critical Parameter Adjustments for Meeting Cooling Capacity Targets. Once critical parameters have been set to the values certified in the STI, if the unit cannot operate within 3% of the target cooling capacity ( i.e., within 3% of the load fraction for a given part-load cooling test (75%, 50%, or 25% load) or within 3% of the certified cooling capacity for a 100% full-load cooling test), manually-controlled critical parameters must be adjusted according to the following provisions: 5.2.1.1. Cooling Capacity is Below Lower Tolerance. If, for any test, the cooling capacity operates below the lower tolerance for the target cooling capacity, increase the compressor speed(s) beyond the STI-certified value(s) until the cooling capacity operates within 3% of the target cooling capacity. If multiple compressors are present in the system, increase compressor speed by the same absolute increment in RPM or Hz for each compressor for which the following conditions apply: (a) The STI specifies a non-zero compressor speed for the compressor for that test and (b) The compressor has not yet reached its maximum capable operating speed. The compressor speed(s) must not be less than the STI-certified value(s) at any point during the test. Upward adjustments to compressor speed are not constrained by a budget on RSS Points Total (See section 5.2.1.2.1 of this appendix). 5.2.1.2 Cooling Capacity is Above Upper Tolerance. If, for any test, the cooling capacity operates above the upper tolerance for the target cooling capacity, adjust any manually-controlled critical parameters per the STI. If the STI does not include a hierarchy of instructions for adjustment of critical parameters to reduce cooling capacity during IEER cooling tests, then reduce only the compressor speed(s) to reduce cooling capacity. If multiple compressors are present in the system, decrease compressor speed by the same absolute increment for each compressor for which the following conditions apply: (a) The STI specifies a non-zero compressor speed for the compressor for that test and (b) The compressor has not yet reached minimum speed. Continue reducing cooling capacity in this manner until one of the following occurs: (1) The unit operates within 3% of the target cooling capacity; or (2) The RSS point total reaches a budget of 70 points (see section 5.2.1.2.1 of this appendix). For the 75%, 50%, and 25% part-load cooling test points, if the RSS point total reaches 70 during critical parameter adjustments before the capacity operates within 3% of the target cooling capacity, stop adjustment and follow cyclic degradation procedures in accordance with Section 11.2.2.1 of AHRI 1230-2021. 5.2.1.2.1 Measuring Critical Parameter Variation During Adjustment Period. When adjusting critical parameters to reduce cooling capacity, critical parameter variation must be calculated each time the critical parameters are adjusted, using the following equations: (a) First, use equation 5.2-1 to calculate the absolute parameter percent difference () between each adjusted critical parameter and the value for that parameter certified in the STI. Where: “i” identifies the critical parameter—either compressors speed(s), outdoor fan speed(s), or outdoor variable valve position(s) CP i , Adj = The adjusted position of critical parameter “i” recorded at each measurement interval. If multiple components corresponding to a single parameter are present (e.g., multiple compressors), calculate the average position across all components corresponding to that parameter at each measurement interval when determining CP i , Adj . CP i , STI = The position of critical parameter “i” as certified in the STI. If multiple components corresponding to a single parameter are present, calculate the average position across all components corresponding to that parameter at each measurement interval when determining CP i , STI . CP Max = The maximum operating position for Critical Parameter “i” as certified in the STI for the 100% load condition. If multiple components corresponding to a single parameter are present, calculate as the average value across all components corresponding to that critical parameter certified in the STI for the 100% load condition. (b) Next, use equation 5.2-2 to this section to determine the accrued points for each critical parameter: Where: “i” identifies the critical parameter—either compressors speed(s), outdoor fan speed(s), or outdoor variable valve position(s) NPV i = the nominal point value for critical parameter “i” as follows: Table 5.1—Critical Parameter Nominal Point Values Critical parameter Nominal point value Compressor Speed(s) 13 Outdoor Fan Speed(s) 7 Outdoor Variable Valve Position(s) 1 (c) Finally, use equation 5.2-3 to this section to calculate the root-sum-squared (RSS) Points Total across all critical parameters. 5.2.2 Critical Parameter Adjustments for Meeting SHR Limits. The SHR for the 100% load test point and the 75% part-load test point must not be higher than 0.82 and 0.85, respectively (measured to the nearest hundredth). If the SHR is above the allowable limit, increase the compressor speed(s) until either the SHR is less than or equal to the allowable limit or the cooling capacity reaches 3% greater than the target cooling capacity for that test, whichever happens first. If multiple compressors are present in the system, increase compressor speed by the same absolute increment for each compressor for which the following conditions apply: (a) The STI specifies a non-zero compressor speed for the compressor for that test and (b) The compressor has not yet reached maximum speed. Upwards adjustments to compressor speed are not constrained by a budget on RSS Points Total. Should the SHR remain above the maximum limit when the cooling capacity reaches its upper 3% tolerance, no further compressor adjustments shall be made, and the calculation procedures specified in Section 11.2.2.2 of AHRI 1230-2021 must be applied using the adjusted SHR value obtained after increasing the compressor speed(s). 6. Set-Up and Test Provisions for Specific Components. When testing a VRF multi-split system that includes any of the specific components listed in table 6.1 to this appendix, test in accordance with the set-up and test provisions specified in table 6.1. Table 6.1—Test Provisions for Specific Components Component Description Test provisions 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. 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. 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. Low Ambient Cooling Dampers An assembly with dampers and means to set the dampers in a position to recirculate the warmer condenser discharge air to allow for reliable operation at low outdoor ambient conditions Remove low ambient cooling dampers for testing. Power Correction Capacitors A capacitor that increases the power factor measured at the line connection to the equipment. These devices are a requirement of the power distribution system supplying the unit Remove power correction capacitors for testing. Ventilation Energy Recovery Systems (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. Appendix E to Subpart F of Part 431—Uniform Test Method for Measuring the Energy Consumption of Computer Room Air Conditioners Note: Manufacturers must use the results of testing under this appendix to determine compliance with the relevant energy conservation standards for computer room air conditioners from § 431.97 as that standard appeared in the January 1, 2022 edition of 10 CFR parts 200 through 499. Specifically, representations, including compliance certifications, must be based upon results generated either under this appendix or under 10 CFR 431.96 as it appeared in the 10 CFR parts 200 through 499 edition revised as of January 1, 2022. For any amended standards for computer room air conditioners that rely on net sensible coefficient of performance (NSenCOP) published after January 1, 2022, manufacturers must use the results of testing under appendix E1 to this subpart to determine compliance. Manufacturers may use appendix E1 to certify compliance with any amended standards prior to the applicable compliance date for those standards. Specifically, representations, including compliance certifications, related to energy consumption must be based upon results generated under the appropriate appendix that applies ( i.e., this appendix or appendix E1 to this subpart) when determining compliance with the relevant standard. 1. Incorporation by Reference. DOE incorporated by reference in § 431.95 the entire standard for ASHRAE 127-2007. However, certain enumerated provisions of ASHRAE 127-2007, as listed in section 1.1, are inapplicable. To the extent that there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control. 1.1 ASHRAE 127-2007: (a) Section 5.11 is inapplicable as specified in section 2 of this appendix. (b) [Reserved] 1.2 [Reserved] 2. General. Determine the sensible coefficient of performance (SCOP) in accordance with ASHRAE 127-2007. 3. 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 specified in this appendix. A manufacturer who elects to use an optional compressor break-in period in its certification testing should record this period's duration as part of the information in the supplemental testing instructions under 10 CFR 429.43. 4. 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. Sections 4.1 and 4.2 of this appendix provide specifications for addressing key information typically found in the installation and operation manuals. 4.1. 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 must be used. 4.2. The airflow 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 airflow value for testing is not clearly identified, a value of 400 standard cubic feet per minute (scfm) per ton must be used. Appendix E1 to Subpart F of Part 431—Uniform Test Method for Measuring the Energy Consumption of Computer Room Air Conditioners Note: Prior to the compliance date for any amended energy conservation standards based on NSenCOP for computer room air conditioners, representations with respect to energy use or efficiency of this equipment, including compliance certifications, must be based on testing pursuant to appendix E to this subpart. Subsequently, manufacturers must use the results of testing under this appendix to determine compliance with any amended energy conservation standards for computer room air conditioners provided in § 431.97 that are published after January 1, 2022, and that rely on net sensible coefficient of performance (NSenCOP). Specifically, representations, including compliance certifications, related to energy consumption must be based upon results generated under the appropriate appendix that applies ( i.e., appendix E to this subpart or this appendix) when determining compliance with the relevant standard. Manufacturers may use this appendix to certify compliance with any amended standards prior to the applicable compliance date for those standards. 1. Incorporation by Reference DOE incorporated by reference in § 431.95 the entire standards for AHRI 1360-2022, ANSI/ASHRAE 37-2009, and ANSI/ASHRAE 127-2020. However, as listed in sections 1.1, 1.2, and 1.3 of this appendix, only certain enumerated provisions of AHRI 1360-2022 and ANSI/ASHRAE 127-2020 are applicable, and only certain enumerated provisions of ANSI/ASHRAE 37-2009 are not applicable. To the extent that there is a conflict between the terms or provisions of a referenced industry standard and the CFR, the CFR provisions control. 1.1 AHRI 1360-2022: (a) The following sections of Section 3. Definitions—3.1 (Expressions of Provision), 3.2.2 (Air Sampling Device(s)), 3.2.7 (Computer and Data Processing Room Air Conditioner), 3.2.22 (Indoor Unit), 3.2.25 (Manufacturer's Installation Instruction), 3.2.27 (Net Sensible Cooling Capacity), 3.2.28 (Net Total Cooling Capacity), 3.2.37 (Standard Air) and 3.2.38 (Standard Airflow) are applicable. (b) Section 5. Test Requirements, is applicable. (c) The following sections of Section 6. Rating Requirements—6.1-6.3, 6.5 and 6.7 are applicable. (d) Appendix C. Standard Configurations—Normative, is applicable. (e) Section D2 o

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https://www.ecfr.gov/current/title-10/part-431

Canonical document at the regulator. Always cite this URL — not the Vantage detail page — in compliance evidence.

PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT

Subpart A—General Provisions

§ 431.1 Purpose and scope.

§ 431.2 Definitions.

§ 431.3 Error Correction procedure for energy conservation standards rules.

§ 431.4 Procedures, interpretations, and policies for consideration of new or revised energy conservation standards and test procedures for commercial/industrial equipment.

Subpart B—Electric Motors

§ 431.11 Purpose and scope.

§ 431.12 Definitions.

Test Procedures, Materials Incorporated and Methods of Determining Efficiency

§ 431.14 [Reserved]

§ 431.15 Materials incorporated by reference.

§ 431.16 Test procedures for the measurement of energy efficiency.

§ 431.17 [Reserved]

§ 431.18 Testing laboratories.

Energy Conservation Standards

§ 431.25 Energy conservation standards and effective dates.

§ 431.26 Preemption of State regulations.

Labeling

§ 431.31 Labeling requirements.

§ 431.32 Preemption of State regulations.

Certification

§ 431.35 Applicability of certification requirements.

§ 431.36 Compliance Certification.

Appendix A to Subpart B of Part 431 [Reserved]

Appendix B to Subpart B of Part 431—Uniform Test Method for Measuring the Efficiency of Electric Motors

0. Incorporation by Reference

0.1. CSA C390-10

0.2. CSA C747-09

0.3. IEC 60034-1:2010

0.4. IEC 60034-2-1:2014

0.5. IEC 60051-1:2016

0.6. IEC 61800-9-2:2017

0.7. IEEE 112-2017

0.8. IEEE 114-2010

0.9. NEMA MG 1-2016

1. Scope and Definitions

2. Test Procedures

3. Procedures for the Testing of Certain Electric Motor Categories

Appendix C to Subpart B of Part 431—Compliance Certification

Certification of Compliance With Energy Efficiency Standards for Electric Motors (Office of Management and Budget Control Number: 1910-1400. Expires February 13, 2014)

Related in United States

Permits for Access to Restricted Data

Procedures for Safety Investigations

Byproduct Material

Declaration of Party State Eligibility for Northeast Interstate Low-Level Radioactive Waste Compact

Protection of Human Subjects