The Parker Ranch installation in Hawaii

Appliance Standards and Rulemaking Federal Advisory Committee (ASRAC)

Commercial HVAC, WH, and Refrigeration Working Group

(ASRAC)

Formation of the Working Group

On February 26, 2013, the Department of

Energy (DOE) Appliance Standards and

Rulemaking Federal Advisory Committee

(ASRAC) established the Commercial HVAC,

WH, and Refrigeration Working Group (Working

Group) to negotiate certification requirements

for commercial heating, ventilation, and air-

conditioning (HVAC), water heating (WH), and

refrigeration equipment. The Working Group

was directed to provide a progress report by

June 24, 2013, and a final report by August 30,

2013, with recommendations for ASRAC to

adopt.

ASRAC Working Group Members

DOE and ASRAC Representatives Laura Barhydt (U.S. Department of

Energy) John Mandyck (UTC Climate, Controls &

Security) Kent Peterson (P2S Engineering, Inc.)

Other Selected Members Karim Amrane (Air-Conditioning, Heating

and Refrigeration Institute) Timothy Ballo (EarthJustice) Jeff Bauman (National Refrigeration &

Air-Conditioning) Brice Bowley (GE Appliances) Mary Dane (Traulsen) Paul Doppel (Mitsubishi Electric US, Inc.) Geoffrey Halley (SJI Consultants, Inc.) John Hurst(Lennox International, Inc.) Charles Hon (True Manufacturing)

• Jill Hootman (Trane) • Marshall Hunt (Pacific Gas and Electric

Company) • Michael Kojak (Underwriters Laboratories

LLC) • Karen Meyers (Rheem Manufacturing Co.) • Peter Molvie (Cleaver-Brooks Product

Development) • Neil Rolph (Lochinvar, LLC) • Harvey Sachs (American Council for an

Energy-Efficient Economy) • Ronald Shebik (Hussmann Corporation) • Judd Smith (CSA)• Louis Starr (Northwest Energy Efficiency

Alliance) • Phillip Stephens (Heat Transfer Products) • Russell Tharp (Goodman Manufacturing) • Eric Truskoski (Bradford White Corp.)

Scope of Working Group Negotiations AEDM (Open Rulemaking)

AEDM DefinitionAEDM Substantiation (What gets tested/How many gets

tested/Tolerance) Model Groupings for Determining and Certifying Ratings

(Certification Testing & AEDM)Basic Model v. Basic Model Group v. Product Class

Certification What gets submitted (Proper documentation of information

needed to test especially for high-efficiency HVAC equipment)How oftenBy whomWhen (Timing of Initial Requirement before distribution in

commerce/when ordered)Confidentiality Certification Sample Size and Tolerance for Testing

Scope of Working Group Negotiations(Continued)

Built-to-Order Equipment (One-offs) Initial Certification Deadline for Commercial HVAC, CRE, and

WH Equipment Information Disclosures of Publicly Available information

(Certification/Industry Program Guidelines/Testing Results from Industry Public Guidelines and DOE Testing)

EnforcementEnforcement Testing - WitnessEnforcement Sample Size and Tolerance

VerificationDOE VerificationVoluntary Industry Programs

Testing Procedures (Product-Specific)Treatment of Energy Saving Features not including in DOE TPs

(EVRs, Economizers)Commercial Packaged Boiler Testing Issues (Pressures)

Initial Certification Compliance Schedule

Initial Certification Date* Equipment Type

6 Commercial Warm Air Furnaces PTACs and PTHPs

9

Commercial gas-fired and oil-fired instantaneous water heaters less than 10 gallons

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

12

Commercial water heaters (all others types) Small commercial packaged boilers (≤2.5 million Btu/h) Self-Contained CRE with solid or transparent doors

15 VRFs

18

Small, large and very large air, water, and evaporatively-cooled and water source commercial packaged ACs and HPs

SPVUs CRACs Large packaged boilers (> 2.5 million Btu/h) CRE (all other types)

*The number of months shown above after the AEMD final rule is published in the Federal Register

AEDM – Alternate Energy Determination Method

AEDMs are computer modeling or mathematical tools that predict the performance of non-tested basic models.

They are derived from mathematical models and engineering principles that govern the energy efficiency and energy consumption characteristics of a type of covered equipment.

These computer modeling and mathematical tools, when properly developed, can provide a relatively straight-forward and reasonably accurate means to predict the energy usage or efficiency characteristics of a basic model of a given covered product or equipment and reduce the burden and cost associated with testing.

AEDM – Alternate Energy Determination Method

AEDM Tolerances (Unanimous)In order to validate the AEDM, the test results from each model required per the validation requirements above must be compared to the simulated results from the applicable AEDM. The Commercial Certification WG recommends the following tolerance requirements to validate the AEDM:For energy consumption metrics, the AEDM Result for Model A must be greater than or equal to the test result for Model A * 0.95; andFor energy-efficiency metrics, the AEDM Result for Model A must be less than or equal to the test result for Model A*1.05.

AEDM – Alternate Energy Determination Method

Verification TolerancesEquipment Applicable Tolerance & Associated MetricCommercial Warm-Air Furnaces 5% on Thermal EfficiencyCommercial Refrigeration Equipment 5% on Daily Energy ConsumptionVariable Refrigerant Flow ACs and HPs 5% on EER and COP and 10% on IEERAir-Cooled, Split and Packaged ACs and HPs less than 65 MBtu/h Cooling Capacity (3-Phase)

5% on SEER and HSPF and 10% on EER

Air-Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling Capacity

5% on EER and COP and 10% on IEER

Water-Cooled, Split and Packaged ACs and HPs, All Cooling Capacities

5% on EER and COP and 10% on IEER

Water-Source HPs, All Capacities 5% on EER and COP and 10% on IEERSingle Package Vertical ACs and HPs 5% on EER and COPPackaged Terminal ACs and HPs 5% on EER and COP

AEDM - Consequences for Invalid Rating

Number of Invalid Certified Ratings from the same AEDM**

within a rolling 24 month period†Required Manufacturer Actions

2Submit different test data and reports from testing to validate that AEDM within the validation classes to which it is applied.* Adjust the rating as appropriate.

4Conduct double the minimum number of validation tests for the validation classes to which the AEDM is applied. Note, the tests required under subsection (c)(5)(H)(1) must be different tests on different models than the original tests required under subsection (c)(2).

6

Conduct the minimum number of validation tests for the validation classes to which the AEDM is applied; And

Conduct addition testing, which is equal to ½ the minimum number of validation tests for the validation classes to which the AEDM is applied , at either the manufacturer’s facility or a third-party test facility, at the manufacturer’s discretion.

Note, the tests required under subsection (c)(5)(H)(1) must be different tests on different models than the original tests required under subsection (c)(2).

>=8Manufacturer has lost privilege to use AEDM. All ratings for models within the validation classes to which the AEDM applied should be rated via testing. Distribution cannot continue until certification(s) are corrected to reflect actual test data.

*A manufacturer may discuss with DOE’s Office of Enforcement whether existing test data on different basic models within the validation classes to which that specific AEDM was applied may be used to meet this requirement.

**Where the same AEDM means a computer simulation or mathematical model that is identified by the manufacturer at the time of certification as having been used to rate a model or group of models.

† The twenty-four month period begins with a DOE determination that a rating is invalid through the process outlined above. Additional invalid ratings apply for the purposes of determining the appropriate consequences if the subsequent determination(s) is based on selection of a unit for testing within the twenty-four month period (i.e., subsequent determinations need not be made within 24 months).

Basic Model Definitions

Water Source Heat Pump Equipment (small, large and very large): A basic model means all systems of a given type of covered product (or class thereof) manufactured by one manufacturer, having the same primary energy source (electric or gas), and which have the same or comparable compressors, same or comparable condensing coils, same or comparable evaporator coils, and same or comparable “nominal” capacity.

Single Package Vertical Unit, including single package vertical air conditioner and single package vertical heat pump (SPVU): A basic model means all systems of a given type of covered product (or class thereof), having the same primary energy source (electric or gas), and which have the same or comparably performing compressor(s), condensing coils(s), evaporator coil(s), and air moving system(s) that have a rated cooling capacity within 1500 Btu/h of one another.

Basic Model DefinitionsAll Small/Large/Very Large Commercial Packaged Air Conditioning

Equipment and Heating Equipment except Water Source Heat Pump Equipment (includes small commercial packaged, air-cooled, 3-phase, <65,000 Btu/h air conditioning and heating equipment; small commercial packaged, air-cooled, ≥65,000 Btu/h air conditioning and heating equipment; small commercial packaged, water-cooled air conditioning and heating equipment; small commercial packaged, evaporatively-cooled air conditioning and heating equipment; large commercial packaged air-conditioning and heating equipment (water-cooled and evaporatively-cooled); very large commercial package air-conditioning and heating equipment (water-cooled and evaporatively-cooled): A basic model means all systems within a single equipment class and which have the same or comparably performing compressor(s), condensing coil(s), evaporator coil(s), and air moving system(s) that have a common “nominal” cooling capacity.

Basic Model DefinitionsVariable Refrigerant Flow Multi-Split Air

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

A basic model means all systems of a given type of covered product (or class thereof), having the same primary energy source (electric or gas), and which have the same or comparably performing compressor(s) that have a common “nominal” cooling capacity and the same heat rejection medium (air or water) (includes VRF water source heat pumps).

Equipment Features Subject To Enforcement Policy

The Working Group agreed that DOE should issue an enforcement policy declining to test certain features of products, provided that certain conditions are met, until the currently applicable standard is superseded by a standards rulemaking.

Economizer Ventilation Energy Recovery

System (VERS). Coated Coil(s). Process Heat

Recovery/Reclaim Coils/Thermal Storage.

Dehumidification Components.

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

Compressor with Variable Frequency Drive (VFD).

Condenser Fan Motor Options (for ducting).

Steam/Hydronic Heat Options. Hot Gas Reheat. Powered Exhaust/Powered

Return Air. Hot Gas Bypass Sound Traps/Sound Attenuator. Fire, Smoke and/or Isolation

Dampers. Desuperheaters. High Static Indoor

Blowers/Oversized Motors Indirect or Indirect/Direct

Evaporative Cooling of Outdoor Air Supply.

Evaporative Pre-cooling of Condenser Intake Air.

Certification: General• A certification report must include the following for all product

types:– Product/Equipment type (public info); – Product/Equipment class (public info); – Manufacturer name and address;– Private labeler name and address (public info), if applicable; – Brand name (public info); -– Basic Model number (public info);– Individual model numbers covered by that basic model (public

info);– Status (new certification, discontinued, existing, etc.);– Test sample size (0 in the case of the use of an AEDM);– U.S. Customs and Border Protection (CBP) importer ID number, if

applicable;– Whether the certification is based on a test procedure waiver and the date of

such waiver (public info);– Whether the certification is based on exception relief from the Office of

Hearings and Appeals and the date of such relief (public info);– What AEDM was used if 0 in test sample size.

Air-Cooled, Water-Cooled, Evap-Cooled Small/Large/and Very Large Commercial Packaged Air Conditioning

• DOE certification report to require:– Small commercial package air conditioning and heating

equipment that is air-cooled, three-phase, with a cooling capacity less than 65,000 Btu/h: • The seasonal energy efficiency ratio (SEER in British thermal units per Watt-

hour (Btu/Wh));• The heating seasonal performance factor (HSPF in British thermal units per

Watt-hour(Btu/Wh)) as necessary to meet the standards set forth in § 431.97; and

• The rated cooling capacity in British thermal units per hour (Btu/h)– Commercial package air-conditioning and heating equipment

(except small commercial package air conditioning and heating equipment that is air-cooled, three-phase, with a cooling capacity less than 65,000 Btu/h) and Water-Cooled and Evap-Cooled: • The energy efficiency ratio (EER in British thermal units per Watt-hour

(Btu/Wh) at 95°F);• The coefficient of performance (COP at 47°F) as necessary to meet the

standards set forth in § 431.97; • The rated cooling capacity in British thermal unit per hour (Btu/h); and • The type of heating used by the unit (with option for no heating).

Variable Refrigerant Flow Multi-split A/C & Heat Pumps

• DOE certification report to require:– VRFs with a cooling capacity less than 65,000 Btu/h:

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

• The heating seasonal performance factor (HSPF in British thermal units per Watt-hour(Btu/Wh)) as necessary to meet the standards set forth in § 431.97; and

• The rated cooling capacity in British thermal units per hour (Btu/h)

– VRFs with a cooling capacity greater than or equal to 65,000 Btu/h: • The energy efficiency ratio (EER);• The coefficient of performance (COP); • The rated cooling capacity in British thermal unit per hour (Btu/h); and • The type of heating used by the unit (with option for no heating).

– Water Source VRFs• The energy efficiency ratio (EER);• The coefficient of performance (COP), as applicable; • The rated cooling capacity in British thermal unit per hour (Btu/h); and • The type of heating used by the unit (with option for no heating).

Variable Refrigerant Flow Multi-split A/C & Heat Pumps

• PDF to require:– Nominal cooling capacity;– Outdoor unit(s) and indoor units identified in the “tested combination”– Components needed for heat recovery, where applicable;– Rated heating capacity, where applicable;– Rated airflow (SCFM) for each indoor unit;– Rated static;– Compressor(s) frequency set points;– Required dip switch/control settings (for step/variable components);– Indication that model will not operate at test conditions without

manufacturer programming;– Indication that excluded features are included in base model; and – Additional testing instructions.– Water flow rate (water-cooled units only)– Mimic water source slide for water-source VRFs

• Upon request from the Department, provide a layout of the system set-up for testing, including the charging instructions, that is consistent with the installation manual.

Definition of Engineered to Order

An “engineered to order” basic model is a basic model that is not listed in any catalogs or marketing literature and is designed and built to customer requirements. An “engineered to order” is not offered as a “configure to order” or “menu-system” set of options. A basic model may not be classified as “engineered to order” for more than one annual certification cycle (effectively not to exceed 24 months).“Engineered to order” basic models are not published on the DOE web site.“Engineered to order” basic models are automatically recorded as discontinued at the second annual certification.

Certification: Engineered to Order BM

Each basic model, including an “engineered to order” basic model, must be certified prior to distribution in commerce.

For “engineered to order” products, distribution in commerce is defined as the date on which the basic model is shipped (domestic) or imported (foreign).

For other domestic manufactured products, distribution in commerce is defined as the date on which the manufacturer is first willing to accept an order.

For foreign manufactured products (other than engineered to order), distribution in commerce is either when the manufacturer imports the product for sale or the manufacturer is first willing to accept an order, whichever is first.

Working Group “To Do” List Enforcement

Enforcement Testing - WitnessEnforcement Sample Size and Tolerance

VerificationDOE VerificationVoluntary Industry Programs