DIRECT HEATING EQUIPMENT
CERTIFICATION PROGRAM
AHRI OM DHE– JANUARY 2012
2111 Wilson Blvd, Suite 500
Arlington, Virginia 22201
(703) 524-8800
PREFACE
The following manual outlines the procedures and policies of the Performance Certification Program for
Direct Heating Equipment (DHE) operated by the Air-Conditioning, Heating, and Refrigeration Institute
(AHRI). This manual is to be used in conjunction with the General Operations Manual for AHRI
Certification Programs. Where the General Operations Manual and this product-specific manual differ,
this product-specific operations manual shall prevail.
The revision of this manual supersedes all previous revisions. The current edition of this manual, as well
as the General Operations Manual, can be accessed through the AHRI website, www.ahrinet.org.
The DHE Certification Program by AHRI provides for independent verification of the Direct Heating
manufacturer’s stated equipment performance. Safety criteria are not within the scope of this program.
Participation in the program is voluntary. Any manufacturer, regardless of AHRI membership, may obtain
approval of Program Ratings and use of the AHRI DHE Certification Mark hereinafter referred to as the
“Mark”. The Mark is the Participant’s public representation that the ratings of randomly selected units
have been verified by an independent laboratory in accordance with test procedures prescribed by this
operations manual. A Certification Agreement is executed between the Participant and AHRI specifying
the conditions under which such Ratings and the Mark may be used. No manufacturer has the right to
use Program Ratings or to state that their products have been tested in conformance with the procedures
outlined in this Rating Procedure unless and until they have received written authority from AHRI to use
the Marks as applied to the specific approved Program Ratings.
This Operations Manual has been prepared to assure that administration of the program is carried out in
a uniform manner. It is an amplification of the Certification Agreement signed by licensees and AHRI.
General information, procedural details, and copies of forms are included in this Operations Manual.
Provisions of the Operations Manual may be amended as provided in the Certification Agreements.
Note:
This manual supersedes the Procedural Guide for GAMA Direct Heating Efficiency Certification Program,
September 2002.
Printed in U.S.A.
Copyright 2012, by Air-Conditioning, Heating,
and Refrigeration Institute
Registered United States Patent and Trademark Office
CERTIFICATION OPERATIONS MANUAL FOR
DIRECT HEATING EQUIPMENT
TABLE OF CONTENTS
SECTION
PAGE
1
Program Overview
1.1
Applicable Rating Standard ..........................................................................................1
1.2
Product Definitions ........................................................................................................1
1.2.1
Direct Heating Equipment (DHE) ........................................................1
1.2.1.1
Residential Gas-Fired Direct Heating Equipment .....1
1.2.1.2
Residential Oil-Fired Direct Heating Equipment .......1
1.3
Program Scope .............................................................................................................1
1.4
Intended Market ............................................................................................................1
1.5
Basic Model Groups (BMGs) ........................................................................................1
1.6
Certify-All Policy ............................................................................................................1
2
Qualification Process
2.1
Original Equipment Manufacturer (OEM) Applicants ....................................................1
STEP 2.1.1
Certification Application Package .......................................................2
STEP 2.1.2
Processing Application Package ........................................................2
STEP 2.1.2.1 Performance Certification Agreement for Original
Equipment Manufacturer (OEM Agreement) ............2
STEP 2.1.2.2 Participation and Licensing Fee Invoice ...................2
STEP 2.1.3
Selection and Acquisition of Test Samples .........................................2
STEP 2.1.3.1 Number of Qualification Tests ..................................2
STEP 2.1.3.2 Acquisition of Qualification Test
Samples/Selection Criteria .......................................2
STEP 2.1.4
Qualification Testing ...........................................................................2
STEP 2.1.4.1 Successful Completion of All Qualification Tests .....2
STEP 2.1.4.2 First Sample Qualification Test Failure .....................2
STEP 2.1.4.3 Second Sample Qualification Test Failure................2
STEP 2.1.5
Welcome to the Program ....................................................................2
2.2
Private Brand Marketer (PBM) Applicants ....................................................................2
STEP 2.2.1
Certification Application Package .......................................................3
STEP 2.2.2
Processing Application Package ........................................................3
STEP 2.2.2.1 Performance Certification Agreement for Private
Brand Manufacturer (PBM Agreement) ....................3
STEP 2.2.2.2 OEM Agreement on behalf of the PBM Applicant ....3
STEP 2.2.2.3 Licensing Fee Invoice ...............................................3
STEP 2.2.3
Welcome to the Program ....................................................................3
3
Equipment Selection and Testing
3.1
Annual Testing Requirement ........................................................................................3
3.2
Location of Tests ...........................................................................................................3
3.3
Selection of Test Samples ............................................................................................3
3.4
Method for Acquiring Test Samples ..............................................................................3
3.5
Sample Acquisition Timeframe .....................................................................................3
3.6
Sample Installation and Start-Up ..................................................................................3
3.7
Damaged Samples........................................................................................................3
3.7.1
Disposition of Damaged Samples .......................................................3
3.8
Certified Data ................................................................................................................3
3.9
Tolerances ....................................................................................................................4
3.10
Test Failures .................................................................................................................4
3.10.1
3.10.2
3.11
3.12
Options Following First Sample Failure ..............................................4
Options Following Second Sample Failure .........................................4
3.10.2.1
Additional Unit Testing for the Same Model .............4
Clarification in Running of the Test Procedure .............................................................4
Consequences for Improper Ratings ............................................................................4
3.12.1
Double Selection Mode Requirements ...............................................4
3.12.2
Probation Mode Requirements ...........................................................5
3.12.3
Penalty Mode Requirements...............................................................5
4
Challenge Tests........................................................................................................................5
5
AHRI Directory of Certified Product Ratings
5.1
Publication of Ratings in Certified Directory .................................................................5
5.2
Data Forms ...................................................................................................................5
6
Assessment and Payment of Certification Fees
6.1
Equipment Delivery/Disposal Fees ...............................................................................5
7
Issuance of Violations and/or Terminations .........................................................................5
8
Program Hierarchy, Complaints, and the Appeals Process
8.1
Test Results’ Appeals and Dispute Resolution .............................................................5
8.2
Test Procedure Revisions .............................................................................................5
8.2.1
Program Steps ....................................................................................5
9
Proper Use of the AHRI Certification Mark and Claims to Certification .............................6
Appendices and Forms
Appendix A
Form DHE-DS1 ......................................................................................................7
Appendix B
Sample Manufacturer’s Decision Forms ................................................................8
DHE OM – JANUARY 2012
1. Program Overview
1.1
Applicable Rating Standard. It is mandatory for program Participants to comply with the
provisions of the Department of Energy (DOE) Home Heating Equipment Test Procedures as published in
the latest edition of the Code of Federal Regulations, 10 CFR Part 430. A copy of the CFR is available
for download from the U.S. Government Printing Office website, GPO Access, at
http://www.gpoaccess.gov/index.html.
1.2
Product Definitions.
1.2.1
Direct Heating Equipment (DHE). A product which is either a gas-fired or oil-fired
Direct Heating Equipment. “Vented home heating equipment” or “vented heater” means a call of
home heating equipment, not including central furnaces, designed to furnish warmed air to the
living space of a residence, directly from the device, without duct connections (except with boots),
not to exceed 10 inches beyond the casing may be permitted: vented wall furnaces, vented floor
furnace, and vented room heaters.

Vented Wall Furnace. A self-contained vented heater complete with grilles or
the equivalent, designed for incorporation in, or permanent attachment to, a
wall or a residence and furnishing heated air circulated by gravity or by a fan
directly into the space to be heated through openings in the casing.

Vented Floor Furnace. A self-contained vented heater suspended from the
floor of the space heated, taking air for combustion from outside the space.
The Vented Floor Furnace supplies heated air, circulated by gravity or by a fan,
directly into the space to be heated through openings in the casing.

Vented Room Heater. A self-contained, free standing, non-recessed, vented
heater for furnishing warmed air to the space in which it is installed. The
Vented Room Heater supplies heated air, circulated by gravity or by a fan,
directly into the space to be heated through openings in the casing.
1.2.1.1
Residential Gas-Fired Direct Heating Equipment.
equipment utilizes natural gas or propane as its fuel source.
Direct Heating
1.2.1.2
Residential Oil-Fired Direct Heating Equipment.
equipment utilizes heating oil as its fuel source.
Direct Heating
1.3
Program Scope. This program applies to all Production Models of Direct Heating Equipment
defined in Section 1.2.
1.4
Intended Market. The Intended Market for this certification program, where the Standard applies,
includes all products defined in Section 1.3 that are sold for use in the U.S. and Canada (U.S., U.S.
Territories and Canada).
1.5
Basic Model Groups (BMGs). Each Participant's listing shall be grouped by BMG. A BMG is a
family of models of the same type (as defined in Section 1.2.1) which have identical ratings for Input,
Output Heating Capacity, and Annual Fuel Utilization Efficiency (AFUE).
1.6
Certify-All Policy. All products that fall within the program scope and the intended market shall be
required to be AHRI certified.
2. Qualification Process
2.1
Original Equipment Manufacturer (OEM) Applicants. With the additions noted below, the OEM
qualification process shall proceed according to the AHRI General Operations Manual, Section 4.
1
DHE OM – JANUARY 2012
STEP 2.1.1 Certification Application Package. In addition to the Application for AHRI Certification
and Annual Sales Volume Form noted in the AHRI General Operations Manual, Section 4, STEP
4.1, Applicants shall submit the following documentation to AHRI:



Form DHE-DS1,
One test report for each BMG supporting the claimed ratings; and
An Applicant requesting AHRI to submit data to CEC, DOE, and FTC shall
submit third-party authorization, compliance forms and other necessary
information.
Electronic forms shall be obtained from AHRI.
STEP 2.1.2 Processing Application Package.
STEP 2.1.2.1 Performance Certification Agreement for Original Equipment
Manufacturer (OEM Agreement). No further action required beyond that listed in
Section 4, STEP 4.2 of the AHRI General Operations Manual.
STEP 2.1.2.2 Participation and Licensing Fee Invoice.
Payment of the
Participation and Licensing Fee is due within 30 calendar days of the invoice issue
date. Testing shall not be conducted until the invoice is paid in full. No further action
required beyond that listed in Section 4, STEP 4.2 of the AHRI General Operations
Manual.
STEP 2.1.3 Selection and Acquisition of Test Samples.
STEP 2.1.3.1 Number of Qualification Tests. 30% of an Applicant’s BMGs shall be
tested, with a minimum of two (2) models. Fractional numbers shall be rounded to the
nearest whole number using traditional rounding methods.
STEP 2.1.3.2 Acquisition of Qualification Test Samples/Selection Criteria. Within
30 calendar days of a request from AHRI, the Applicant shall have samples available
for selection. Samples shall be acquired in accordance with Section 3 of this manual.
STEP 2.1.4 Qualification Testing. AHRI shall supply the Independent Third-party Laboratory
Contracted by AHRI (Laboratory) with the Published Ratings. The Laboratory shall conduct the
testing of the samples in accordance with the Standard, against the Published Ratings.
STEP 2.1.4.1 Successful Completion of All Qualification Tests. If all qualification
tests pass, proceed to STEP 2.1.5.
STEP 2.1.4.2 First Sample Qualification Test Failure. Refer to Section 4, STEP
4.4.2 of the AHRI General Operations Manual for details regarding the first sample
qualification failure options:
STEP 2.1.4.3 Second Sample Qualification Test Failure. Refer to Section 4, STEP
4.4.3 of the AHRI General Operations Manual for details regarding the second
sample qualification failure options.
STEP 2.1.5 Welcome to the Program. No further action required beyond that listed in Section 4,
STEP 4.5 of the AHRI General Operations Manual.
2.2
Private Brand Marketer (PBM) Applicants. With the additions noted below, the PBM qualification
process shall proceed according to the AHRI General Operations Manual, Section 5.
PBM Applicants are not required to undergo qualification testing. PBM product certification is contingent
upon the certification of the associated OEM product.
2
DHE OM – JANUARY 2012
STEP 2.2.1 Certification Application Package.
In addition to the Application for AHRI
Certification Form noted in the AHRI General Operations Manual, Section 5, STEP 5.1,
Applicants shall submit the following documentation to AHRI:


Certified product data sheets noting PBM/OEM equipment match-ups
An Applicant requesting AHRI to submit data to CEC, DOE, and FTC shall
submit third-party authorization, compliance forms and other necessary
information.
STEP 2.2.2 Processing Application Package.
STEP 2.2.2.1 Performance Certification Agreement for Private Brand Marketer
(PBM Agreement). No further action required beyond that listed in Section 5, STEP
5.2.1 of the AHRI General Operations Manual.
STEP 2.2.2.2 OEM Agreement on Behalf of the PBM Applicant. No further action
required beyond that listed in Section 5, STEP 5.2.2 of the AHRI General Operations
Manual.
STEP 2.2.2.3 Licensing Fee Invoice. Payment of the Licensing Fee is due within
30 calendar days of the invoice issue date.
STEP 2.2.3 Welcome to the Program. No further action required beyond that listed in Section 5,
STEP 5.3 of the AHRI General Operations Manual.
3. Equipment Selection and Testing
3.1
Annual Testing Requirement. 20% of a Participant's BMGs shall be tested annually, with a
minimum of two (2) models. Fractional numbers shall be rounded to the nearest whole number using
traditional rounding methods.
3.2
Location of Tests. Testing shall be performed at the Laboratory.
3.3
Selection of Test Samples. Selections shall be made based on data contained in the Directory.
AHRI shall inform the Participant, in writing, of the sample(s) selected for test.
3.4
Methods for Acquiring Test Samples. The Laboratory personnel shall make a Random Sample
Selection of a sample from the Participant’s stock inventory, or production lines within 30 calendar days of
a selection by AHRI. Selected samples shall be shipped to the Laboratory accompanied by the
Participant’s published installation instructions in printed or electronic format. Refer to Section 9 of the
AHRI General Operations Manual.
3.5
Sample Acquisition Timeframe. The Participant shall deliver the selected sample(s) to the
Laboratory within 14 calendar days of the Random Sample Selection by the Laboratory personnel.
3.6
Sample Installation and Start-Up. Installation and start-up of the sample shall be in accordance
with the Participant’s published installation instructions in printed or electronic format.
3.7
Damaged Samples. Samples received at the Laboratory which are damaged, produce more than
400 parts per million (ppm) air free CO (sample taken at steady state following the procedure described in
ANSI Z21.86) at normal input, or otherwise cannot be tested, shall be deemed a Damaged Sample.
3.7.1
Disposition of Damaged Samples. All Damaged Samples shall be returned, with all
costs associated with the Damaged Sample borne by the Participant. Time limitation on the
acquisition of a new sample shall be the same as Section 3.4.
3.8
Certified Data. At conditions specified in the DOE vented home heater test procedures as
published in the latest edition of 10 CFR Part 430, the following certified ratings are verified, by test:
3
DHE OM – JANUARY 2012


Annual Fuel Utilization Efficiency, %
Output Heating Capacity, Btu/h
3.9
Tolerances. The Standard Rating shall be such that any Direct Heating Equipment selected and
tested in accordance with the Standard has an AFUE and an Output Heating Capacity not less than 95%
of the Standard Ratings.
3.10
Test Failures.
3.10.1
Options Following First Sample Failure. When the Participant is notified of a first
sample certified rating failure, it has seven (7) calendar days to select one (1) of the following
options:




Claim the sample Defective, as described in the AHRI General Operations
Manual, Section 9;
Re-rate all models in the BMG proportionate to the failed test’s results. The
failed model shall be re-rated to the nearest 0.10% for AFUE and the nearest
thousand Btu/h of the Output Heating Capacity, and no better than the test
results. Other models in the BMG shall be re-rated in accordance with the
percentage by which the tested unit failed.
Test second sample of the same model (sample shall be available within 30
calendar days following notification of failure).
Obsolete the model, which also obsoletes all models within the corresponding
BMG.
3.10.2
Options Following 2nd Sample Failure. When the Participant is notified of a second
sample certified rating failure, it has seven (7) calendar days to select one (1) of the following
options:




Claim the sample Defective, as described in the AHRI General Operations
Manual, Section 9;
Re-rate all models in the BMG proportionate to the failed test’s results. The
failed model shall be re-rated to the nearest 0.10% for AFUE and the nearest
thousand Btu/h of the Output Heating Capacity, and no better than the test
results. Other models in the BMG shall be re-rated in accordance with the
percentage by which the tested unit failed.
Test additional units of the same model per 3.10.2.1;
Obsolete the model, which also obsoletes all models within the corresponding
BMG.
3.10.2.1
Additional Unit Testing for the Same Model. In an effort to preserve
the Published Ratings for the failed model, the Participant may opt to test up to 20
additional samples of the model that failed. If possible, the samples should be
selected from different production runs. The final rating shall be the average of the
1st sample, 2nd sample, and all tests requested by the Participant.
If a Participant exercises this option, testing of additional sample shall be completed
within six (6) months of the second sample test.
3.11
Clarification in Running of the Test Procedure. The AHRI DHE Test Procedure Guideline shall be
used to help standardize running of the DOE test procedures. Such guidelines shall not revise or modify
the basic DOE test procedure, but shall seek to provide uniformity in interpretation of terms,
measurements, and application of procedures.
3.12
Consequences for Improper Ratings.
3.12.1
Double Selection Mode Requirements.
Operations Manual.
4
Refer to Section 9 of the AHRI General
DHE OM – JANUARY 2012
3.12.2
Manual.
Probation Mode Requirements. Refer to Section 9 of the AHRI General Operations
3.12.3
Manual.
Penalty Mode Requirements. Refer to Section 9 of the AHRI General Operations
4. Challenge Tests
Refer to Section 10 of the AHRI General Operations Manual.
5. AHRI Directory of Certified Product Performance
All certified products shall be listed in the Directory, www.ahridirectory.org. Certification shall not be
implied or claimed for any product not listed in the Directory. Except as noted below, the Participant shall
follow the steps outlined in Section 11 of the AHRI General Operations Manual.
5.1
Publication of Ratings in Certified Directory. For each certified model, the Directory lists:











AHRI Certified Reference Number
Name of Manufacturer
Model Status
Trade/Brand Name of Model
Model Number(s) or Designation(s)
Fuel type (gas or oil)
Model Number(s) or Designation(s)
Input, MBH
Output Heating Capacity, Btu/h
Annual Fuel Utilization Efficiency,% (AFUE)
Equipment Type
Additional data may be shown for products sold in areas requiring further product information or ratings.
5.2
Data Forms. Each Participant shall list its products by BMG. OEM and PBM Participants shall
submit/edit product data via the Directory or data submittal sheets, as applicable.
6. Assessment and Payment of Certification Fees
6.1
Equipment Delivery/Disposal Fees. The Participant is responsible for the delivery and expenses
associated with shipping test samples to and from the Laboratory. Following the completion of the test,
the Participant shall provide instruction to the Laboratory regarding the disposal/shipment of the
sample(s). The Laboratory shall invoice the Participant for expenses associated with the
disposal/shipment of the sample from the Laboratory’s facility to a location designated by the Participant.
7. Issuance of Violations and/or Termination
Refer to Section 14 of the AHRI General Operations Manual.
8. Program Hierarchy, Complaints, and the Appeals Process
Except as noted below, the Program hierarchy, complaints and the appeals process shall proceed
according to the AHRI General Operations Manual, Section 15.
5
DHE OM – JANUARY 2012
8.1
Test Results’ Appeals and Dispute Resolution. The test results’ appeal process shall proceed
according to the AHRI General Operations Manual, Section 15.
8.2
Test Procedure Revisions. The DOE Test Procedure upon which the program is based cannot
be changed without proposed amendments being published in the Code of Federal Regulations by DOE
and giving interested parties at least 60 days to present oral and written views. See Section 323(b)(2) of
the Energy Policy and Conservation Act, 42 USC 6293(b)(2). As a possible step prior to petitioning DOE
to amend its Test Procedure, the AHRI Certification Program for Direct Heating Equipment offers an
opportunity to first have a proposed amendment developed by industry experts that perhaps can achieve
industry consensus on needed changes and can be submitted to DOE as a Program-recommended
amendment.
8.2.1
Program Steps. Requests from Program Participants for either revisions of basic test
procedures being used or modifications that would affect only certain models may be sent to
AHRI to be processed as follows:
STEP 1
AHRI shall distribute request to AHRI’s Direct Heating Section
Compliance Committee for a recommendation of whether the
request is of obvious merit and without controversy and can be sent
out for review and comment. If it can be so recommended, a petition
shall be forwarded to DOE immediately by AHRI as provided for
below.
STEP 2
Alternatively, the Direct Heating Section Compliance Committee can
recommend that AHRI distribute the request for comment to all
Participants in the AHRI Certification Program.
STEP 3
Comments shall then be reviewed by the Direct Heating Section
Compliance Committee, which, together with the party requesting the
modification, shall attempt to agree whether the request has



Adequate consensus support,
Inadequate consensus support, or
Possible consensus support if modified.
STEP 4
The Direct Heating Section Compliance Committee shall make a
recommendation on the requests as presented (or modified with the
approval of the requesting party) which, together with a tabulation of
responses and pertinent comments resulting from distribution of the
request as noted above, shall be included in a Letter Ballot to be
sent to all Program Participants for approval by 80% of the
Participants.
STEP 5
If a Federal test procedure is involved, AHRI shall petition the
Federal government to revise or modify the Federal test procedure in
order to reflect any revision or modification recommended by the
AHRI Certification Program.
9. Proper Use of the AHRI Certification Mark and Claims to Certification
Refer to the AHRI Brand Usage Manual.
6
DHE OM – JANUARY 2012
APPENDIX A: Form DHE-DS1
7
DHE OM – JANUARY 2012
APPENDIX B:
Sample Manufacturer’s Decision Forms
MANUFACTURER’S DECISION FORM –
FIRST SAMPLE QUALIFICATION TEST FAILURE NOTIFICATION
AHRI CERTIFICATION PROGRAM FOR
DIRECT HEATING EQUIPMENT
<Date>
Dear Certification Program Applicant:
Please be advised that the following sample, when tested under the AHRI Certification Program for Direct Heating Equipment,
failed to perform in accordance with the latest edition of AHRI Testing Standard Method to Determine Efficiency of Direct Heating
Equipment, as referenced in the Code of Federal Regulations, 10 CFR Part 430. Test data is attached to this notification.
Manufacturer:
Model:
AHRI Test #:
Date of Test:
Per program rules, following notification of a qualification test failure the Applicant has seven (7) calendar days to elect one of the
following options. If a completed Manufacturer’s Decision Form is not received by AHRI within seven (7) calendar days, the
Applicant forfeits the opportunity for further testing and all models within the Basic Model Group (BMG) shall be re-rated
proportionate to the failed test’s results.
FOLLOWING A FAILURE, PLEASE CHOOSE ONE (1) OF THE FOLLOWING OPTIONS. THE OPTION CHOSEN SHALL
CORRESPOND TO THE OPTION AVAILABLE PER THE AHRI GENERAL OPERATIONS MANUAL AND THE DIRECT HEATING
EQUIPMENT CERTIFICATION PROGRAM OPERATIONS MANUAL.
Defective Failure. The Applicant claims that defective part(s) and/or assemblies caused the test failure. Within 30
calendar days of returning this Manufacturer’s Decision Form to AHRI, the Applicant shall provide AHRI with a detailed
defect report stating the reason for the defective part(s) and/or assemblies. If AHRI agrees that the program’s definition of
a defect has been met, AHRI shall notify the Applicant to supply new part(s) and/or assemblies, to replace only those that
have been deemed defective, to the Independent Third-party Laboratory Contracted by AHRI (Laboratory). These new
part(s) and/or assemblies shall be supplied to the Laboratory within 14 calendar days of AHRI’s request to the Applicant to
supply replacement parts. Failure to provide a defect report and/or new part(s) and/or assemblies by their respective
deadlines shall forfeit the Applicant’s opportunity for a replacement test, thus automatically re-rating the model to the failed
test sample’s results.
The Applicant may send its own representative to install the replacement part(s) and/or assemblies or may request the
Laboratory to perform the replacement. If the Applicant chooses to have the Laboratory install the replacements part(s)
and/or assemblies, the Applicant may not claim improper installation of the part(s) and/or assemblies by the test lab.
Upon receipt of payment for the replacement test, the sample shall be re-tested with the replacement part(s) and/or
assemblies installed. If the sample passes, the Applicant shall not be issued a first sample test failure. If the sample fails,
the Applicant shall be issued a first sample failure and shall have the option to re-rate the sample or perform a second
sample test.
The Applicant is responsible for the costs associated with the installation of the replacement parts or assemblies, as well
as the cost to re-test the sample. The Laboratory shall directly invoice the Applicant for the costs associated with the
replacement part installation. Prior to conducting the re-test, AHRI shall invoice the Applicant for the cost of the test.
Payment shall be received within 30 calendar days from date of invoice. Failure to make payment within that timeframe
shall forfeit the Applicant’s opportunity to claim defective, thus automatically re-rating all models within the BMG
proportionate to the failed test’s results.
Re-rate. All models within the BMG shall be re-rated proportionate to the failed test’s results. These re-rates shall be
reflected in the AHRI Directory of Certified Product Performance.
Within 14 calendar days of this failure notification, the Applicant is required to advise AHRI of the steps being taken to
correct advertising literature, specifications, software, etc.
8
DHE OM – JANUARY 2012
Within 60 calendar days of this failure notification, the Applicant is required to have withdrawn all known advertising
literature, specifications, software, etc. and to have submitted corrected publications/software to AHRI, distributors,
dealers, and all other affected parties. The draft public notification of corrections, a copy of the distribution list of those to
receive the notification and corrections, as well as a copy of the corrected publication(s)/software, shall be reviewed by
AHRI prior to dissemination to the public.
Failure to comply with program rules regarding publication/software correction shall result in a program violation.
2nd Sample (Following 1st Sample Failure). The Applicant shall have a 2nd sample available for selection within 30
calendar days from the date of this failure notification. Failure to present samples for selection within this timeframe shall
forfeit the Applicant’s opportunity for a 2nd sample test, thus automatically re-rating all models within the BMG
proportionate to the failed test’s results.
nd
AHRI shall invoice the Applicant for the 2 sample test prior to conducting the test. Payment shall be received within 30
calendar days from date of invoice. Failure to make payment within that timeframe shall forfeit the Applicant’s opportunity
to conduct a 2nd sample test, thus automatically re-rating all models within the BMG proportionate to the failed test’s
results.
To ensure the opportunity to preserve this BMG, please return this completed Manufacturer’s Decision Form via email or
fax within seven (7) calendar days to the certification engineer noted below. More details on the above options can be found
in the AHRI General Operations Manual and the Direct Heating Equipment Certification Program Operations Manual. The
engineer can address any questions regarding the available options.
Marc Neufcourt, Manager, Certification
Phone: (703) 524-8800, x329
Email: mneufcourt@ahrinet.org
Fax: (703) 562-1942
Thank you for your participation in the AHRI Certification Program.
(Please complete all fields)
Company:
Date:
Submitted by:
Email:
Print
Fax:
Signature:
Phone:
Title:
9
DHE OM – JANUARY 2012
MANUFACTURER’S DECISION FORM –
SECOND SAMPLE QUALIFICATION TEST FAILURE NOTIFICATION
AHRI CERTIFICATION PROGRAM FOR
DIRECT HEATING EQUIPMENT
<Date>
Dear Certification Program Applicant:
Please be advised that the following sample, when tested under the AHRI Certification Program for Direct Heating Equipment,
failed to perform in accordance with the latest edition of AHRI Testing Standard Method to Determine Efficiency of Direct Heating
Equipment, as referenced in the Code of Federal Regulations, 10 CFR Part 430. Test data is attached to this notification.
Manufacturer:
Model:
AHRI Test #:
Date of Test:
Per program rules, following notification of a qualification test failure the Applicant has seven (7) calendar days to elect one of the
following options. If a completed Manufacturer’s Decision Form is not received by AHRI within seven (7) calendar days, the
Applicant forfeits the opportunity for further testing and all models within the Basic Model Group (BMG) shall be re-rated
proportionate to the failed test’s results.
FOLLOWING A FAILURE, PLEASE CHOOSE ONE (1) OF THE FOLLOWING OPTIONS. THE OPTION CHOSEN SHALL
CORRESPOND TO THE OPTION AVAILABLE PER THE AHRI GENERAL OPERATIONS MANUAL AND THE DIRECT HEATING
EQUIPMENT CERTIFICATION PROGRAM OPERATIONS MANUAL.
Defective Failure. The Applicant claims that defective part(s) and/or assemblies caused the test failure. Within 30
calendar days of returning this Manufacturer’s Decision Form to AHRI, the Applicant shall provide AHRI with a detailed
defect report stating the reason for the defective part(s) and/or assemblies. If AHRI agrees that the program’s definition of
a defect has been met, AHRI shall notify the Applicant to supply new part(s) and/or assemblies, to replace only those that
have been deemed defective, to the Independent Third-party Laboratory Contracted by AHRI (Laboratory). These new
part(s) and/or assemblies shall be supplied to the Laboratory within 14 calendar days of AHRI’s request to the Applicant to
supply replacement parts. Failure to provide a defect report and/or new part(s) and/or assemblies by their respective
deadlines shall forfeit the Applicant’s opportunity for a replacement test, thus automatically re-rating the model to the failed
test sample’s results.
The Applicant may send its own representative to install the replacement part(s) and/or assemblies or may request the
Laboratory to perform the replacement. If the Applicant chooses to have the Laboratory install the replacements part(s)
and/or assemblies, the Applicant may not claim improper installation of the part(s) and/or assemblies by the test lab.
Upon receipt of payment for the replacement test, the sample shall be re-tested with the replacement part(s) and/or
assemblies installed. If the sample passes, the Applicant shall not be issued a second sample test failure. If the sample
fails, the Applicant shall be issued a second sample failure and shall have the option to re-rate the sample.
The Applicant is responsible for the costs associated with the installation of the replacement parts or assemblies, as well
as the cost to re-test the sample. The Laboratory shall directly invoice the Applicant for the costs associated with the
replacement part installation. Prior to conducting the re-test, AHRI shall invoice the Applicant for the cost of the test.
Payment shall be received within 30 calendar days from date of invoice. Failure to make payment within that timeframe
shall forfeit the Applicant’s opportunity to claim defective, thus automatically re-rating all models within the BMG
proportionate to the failed test’s results.
Re-rate. All models within the BMG shall be re-rated proportionate to the failed test’s results. These re-rates shall be
reflected in the AHRI Directory of Certified Product Performance.
Within 14 calendar days of this failure notification, the Applicant is required to advise AHRI of the steps being taken to
correct advertising literature, specifications, software, etc.
Within 60 calendar days of this failure notification, the Applicant is required to have withdrawn all known advertising
literature, specifications, software, etc. and to have submitted corrected publications/software to AHRI, distributors,
dealers, and all other affected parties. The draft public notification of corrections, a copy of the distribution list of those to
10
DHE OM – JANUARY 2012
receive the notification and corrections, as well as a copy of the corrected publication(s)/software, shall be reviewed by
AHRI prior to dissemination to the public.
Failure to comply with program rules regarding publication/software correction shall result in a program violation.
Additional Sample Testing for the Same Model. The Applicant may opt to test up to 20 additional samples of the
model that failed. If possible, the samples should be selected from different production runs. The final rating shall be the
average of the 1st sample, 2nd sample, and all tests requested by the Participant.
If a Applicant exercises this option, testing of additional sample shall be completed within six (6) months of the second
sample test.
AHRI shall invoice the Applicant for the additional sample tests prior to conducting the tests. Payment shall be received
within 30 calendar days from date of invoice. Failure to make payment within that timeframe shall forfeit the Applicant’s
opportunity to conduct additional testing, thus automatically re-rating all models within the BMG proportionate to the failed
test’s results.
To ensure the opportunity to preserve this BMG, please return this completed Manufacturer’s Decision Form via email or
fax within seven (7) calendar days to the certification engineer noted below. More details on the above options can be found
in the AHRI General Operations Manual and the Direct Heating Equipment Certification Program Operations Manual. The
engineer can address any questions regarding the available options.
Marc Neufcourt, Manager, Certification
Phone: (703) 524-8800, x329
Email: mneufcourt@ahrinet.org
Fax: (703) 562-1942
Thank you for your participation in the AHRI Certification Program.
(Please complete all fields)
Company:
Date:
Submitted by:
Email:
Print
Fax:
Signature:
Phone:
Title:
11
DHE OM – JANUARY 2012
MANUFACTURER’S DECISION FORM –
FIRST SAMPLE TEST FAILURE NOTIFICATION
AHRI CERTIFICATION PROGRAM FOR
DIRECT HEATING EQUIPMENT
<Date>
Dear Certification Program Participant:
Please be advised that the following sample, when tested under the AHRI Certification Program for Direct Heating Equipment
failed to perform in accordance with AHRI Testing Standard Method to Determine Efficiency of Direct Heating Equipment, as
referenced in the Code of Federal Regulations, 10 CFR Part 430. Test data is attached to this notification.
Manufacturer:
Model:
AHRI Reference #:
AHRI Test #:
Date of Test:
Per program rules, following notification of a test failure the Participant has seven (7) calendar days to elect one of the following
options. If a completed manufacturer’s decision form is not received by AHRI within seven (7) calendar days, the Participant
forfeits the opportunity for further testing and all models and derivatives within the Basic Model Group (BMG) shall be re-rated
proportionate to the failed test’s results.
FOLLOWING A FAILURE, PLEASE CHOOSE ONE OF THE FOLLOWING OPTIONS. THE OPTION CHOSEN SHALL
CORRESPOND TO THE OPTIONS AVAILABLE PER THE AHRI GENERAL OPERATIONS MANUAL AND THE DIRECT
HEATING EQUIPMENT CERTIFICATION PROGRAM OPERATIONS MANUAL.

Defective Failure. The Participant claims that defective part(s) and/or assemblies caused the test failure. Within seven
(7) calendar days of returning this manufacturer’s decision form to AHRI, the Participant shall provide AHRI with a detailed
defect report stating the reason for the defective part(s) and/or assemblies. If AHRI agrees that the program’s definition of
a defect has been met, AHRI shall notify the Participant to supply new part(s) and/or assemblies, to replace only those
that have been deemed defective, to the Independent Third-party Laboratory Contracted by AHRI (Laboratory). These
new part(s) and/or assemblies shall be supplied to the testing Laboratory within 14 calendar days of AHRI’s request to the
Participant to supply replacement parts. Failure to provide a defect report and/or new part(s) and/or assemblies by their
respective deadlines shall forfeit the Participant’s opportunity for a replacement test, thus automatically re-rating the
model to the failed test sample’s results.
The Participant may send its own representative to install the replacement part(s) and/or assemblies or may request the
testing Laboratory to perform the replacement. If the Participant chooses to have the testing Laboratory install the
replacements part(s) and/or assemblies, the Participant may not claim improper installation of the part(s) and/or
assemblies by the test lab.
Upon receipt of payment for the replacement test, the sample shall be re-tested with the replacement part(s) and/or
assemblies installed. If the sample passes, the Participant shall not be issued a first sample test failure. If the sample fails,
the Participant shall be issued a first sample failure and shall have the option to re-rate the sample or perform a second
sample test.
The Participant is responsible for the costs associated with the installation of the replacement parts or assemblies, as well
as the cost to re-test the sample. The testing Laboratory shall directly invoice the Participant for the costs associated with
the replacement part installation. Prior to conducting the re-test, AHRI shall invoice the Participant for the cost of the test.
Payment shall be received within 30 calendar days from date of invoice. Failure to make payment within that timeframe
shall forfeit the Participant’s opportunity to claim defective, thus automatically re-rating all models within the BMG
proportionate to the failed test’s results.

Re-rate. All models and derivatives within the BMG shall be re-rated proportionate to the failed test’s results. These rerates shall be reflected in the AHRI Directory of Certified Product Performance.
2nd Sample (Following 1st Sample Failure) of the same model. The Participant shall have a 2nd sample available for
selection within the timeframe allotted by the product-specific operations manual from the date of this failure notification.
12
DHE OM – JANUARY 2012
Failure to present samples for selection within this timeframe shall forfeit the Participant’s opportunity for a 2nd sample
test, thus automatically re-rating all models within the BMG proportionate to the failed test’s results.
nd
AHRI shall invoice the Participant for the 2 sample test prior to conducting the test. Payment shall be received within 30
calendar days from date of invoice. Failure to make payment within that timeframe shall forfeit the Participant’s
nd
opportunity to conduct a 2 sample test, thus automatically re-rating all models within the BMG proportionate to the failed
test’s results.
st
Obsolete (following 1 sample failure). Obsolete Models are those that the manufacturer stops producing following an
AHRI test failure. Obsolete is mandatory when a sample fails to meet minimum EPACT requirements. If obsolete is
chosen, all models within the BMG shall be obsolete. Obsolete models, with their correct ratings, are shown in the AHRI
Directory of Certified Product Performance for six (6) months.
Changes to Literature (for Re-Rate and Obsolete):
Within 14 calendar days of this failure notification, the Participant is required to advise AHRI of the steps being taken to
correct its advertising literature, specifications, software, etc.
Within 60 calendar days of this failure notification, the Participant is required to have withdrawn all known advertising
literature, specifications, software, etc. and to have submitted corrected publications/software to AHRI, distributors,
dealers, and all other affected parties. The draft public notification of corrections, a copy of the distribution list of those to
receive the notification and corrections, as well as a copy of the corrected publication(s)/software, shall be reviewed by
AHRI prior to dissemination to the public.
Failure to comply with program rules regarding publication/software correction shall result in a program violation.
To ensure the opportunity to preserve this BMG, please return this completed Manufacturer’s Decision Form via email or
fax within seven (7) calendar days to the certification engineer noted below. More details on the above options can be found
in the AHRI General Operations Manual and the Direct Heating Equipment Certification Program Operations Manual. The
engineer can address any questions regarding the available options.
Marc Neufcourt, Manager, Certification
Phone: (703) 524-8800, x329
Email: mneufcourt@ahrinet.org
Fax: (703) 562-1942
Thank you for your participation in the AHRI Certification Program.
(Please complete all fields)
Company:
Date:
Submitted by:
Email:
Print
Fax:
Signature:
Phone:
Title:
13
DHE OM – JANUARY 2012
MANUFACTURER’S DECISION FORM –
SECOND SAMPLE TEST FAILURE NOTIFICATION
AHRI CERTIFICATION PROGRAM FOR
DIRECT HEATING EQUIPMENT
<Date>
Dear Certification Program Participant:
Please be advised that the following sample, when tested under the AHRI Certification Program for Direct Heating Equipment
failed to perform in accordance with AHRI Testing Standard Method to Determine Efficiency of Direct Heating Equipment, as
referenced in the Code of Federal Regulations, 10 CFR Part 430. Test data is attached to this notification.
Manufacturer:
Model:
AHRI Reference #:
AHRI Test #:
Date of Test:
Per program rules, following notification of a test failure the Participant has seven (7) calendar days to elect one of the following
options. If a completed manufacturer’s decision form is not received by AHRI within seven (7) calendar days, the Participant
forfeits the opportunity for further testing and all models and derivatives within the Basic Model Group (BMG) shall be re-rated
proportionate to the failed test’s results.
FOLLOWING A FAILURE, PLEASE CHOOSE ONE OF THE FOLLOWING OPTIONS. THE OPTION CHOSEN SHALL
CORRESPOND TO THE OPTIONS AVAILABLE PER THE AHRI GENERAL OPERATIONS MANUAL AND THE DIRECT
HEATING EQUIPMENT CERTIFICATION PROGRAM OPERATIONS MANUAL.

Defective Failure. The Participant claims that defective part(s) and/or assemblies caused the test failure. Within seven
(7) calendar days of returning this manufacturer’s decision form to AHRI, the Participant shall provide AHRI with a detailed
defect report stating the reason for the defective part(s) and/or assemblies. If AHRI agrees that the program’s definition of
a defect has been met, AHRI shall notify the Participant to supply new part(s) and/or assemblies, to replace only those
that have been deemed defective, to the Independent Third-party Laboratory Contracted by AHRI (Laboratory). These
new part(s) and/or assemblies shall be supplied to the testing Laboratory within 14 calendar days of AHRI’s request to the
Participant to supply replacement parts. Failure to provide a defect report and/or new part(s) and/or assemblies by their
respective deadlines shall forfeit the Participant’s opportunity for a replacement test, thus automatically re-rating the
model to the failed test sample’s results.
The Participant may send its own representative to install the replacement part(s) and/or assemblies or may request the
testing Laboratory to perform the replacement. If the Participant chooses to have the testing Laboratory install the
replacements part(s) and/or assemblies, the Participant may not claim improper installation of the part(s) and/or
assemblies by the test lab.
Upon receipt of payment for the replacement test, the sample shall be re-tested with the replacement part(s) and/or
assemblies installed. If the sample passes, the Participant shall not be issued a second sample test failure. If the sample
fails, the Participant shall be issued a second sample failure and shall have the option to re-rate the sample or obsolete
the model and its corresponding models within the BMG.
The Participant is responsible for the costs associated with the installation of the replacement parts or assemblies, as well
as the cost to re-test the sample. The testing Laboratory shall directly invoice the Participant for the costs associated with
the replacement part installation. Prior to conducting the re-test, AHRI shall invoice the Participant for the cost of the test.
Payment shall be received within 30 calendar days from date of invoice. Failure to make payment within that timeframe
shall forfeit the Participant’s opportunity to claim defective, thus automatically re-rating all models within the BMG
proportionate to the failed test’s results.

Re-rate. All models and derivatives within the BMG shall be re-rated proportionate to the failed test’s results. These rerates shall be reflected in the AHRI Directory of Certified Product Performance.
2nd Sample (Following 1st Sample Failure) of the same model. The Participant shall have a 2nd sample available for
selection within the timeframe allotted by the product-specific operations manual from the date of this failure notification.
14
DHE OM – JANUARY 2012
Failure to present samples for selection within this timeframe shall forfeit the Participant’s opportunity for a 2nd sample
test, thus automatically re-rating all models within the BMG proportionate to the failed test’s results.
nd
AHRI shall invoice the Participant for the 2 sample test prior to conducting the test. Payment shall be received within 30
calendar days from date of invoice. Failure to make payment within that timeframe shall forfeit the Participant’s
nd
opportunity to conduct a 2 sample test, thus automatically re-rating all models within the BMG proportionate to the failed
test’s results.
st
Obsolete (following 1 sample failure). Obsolete Models are those that the manufacturer stops producing following an
AHRI test failure. Obsolete is mandatory when a sample fails to meet minimum EPACT requirements. If obsolete is
chosen, all models within the BMG shall be obsolete. Obsolete models, with their correct ratings, are shown in the AHRI
Directory of Certified Product Performance for six (6) months.
Additional Sample Testing for the Same Model. The Participant may opt to test up to 20 additional samples of the
model that failed. If possible, the samples should be selected from different production runs. The final rating shall be the
average of the 1st sample, 2nd sample, and all tests requested by the Participant.
If a Participant exercises this option, testing of additional sample shall be completed within six (6) months of the second
sample test.
AHRI shall invoice the Participant for the additional sample tests prior to conducting the tests. Payment shall be received
within 30 calendar days from date of invoice. Failure to make payment within that timeframe shall forfeit the Participant’s
opportunity to conduct additional testing, thus automatically re-rating all models within the BMG proportionate to the failed
test’s results.
Changes to Literature (for Re-Rate and Obsolete):
Within 14 calendar days of this failure notification, the Participant is required to advise AHRI of the steps being taken to
correct its advertising literature, specifications, software, etc.
Within 60 calendar days of this failure notification, the Participant is required to have withdrawn all known advertising
literature, specifications, software, etc. and to have submitted corrected publications/software to AHRI, distributors,
dealers, and all other affected parties. The draft public notification of corrections, a copy of the distribution list of those to
receive the notification and corrections, as well as a copy of the corrected publication(s)/software, shall be reviewed by
AHRI prior to dissemination to the public.
Failure to comply with program rules regarding publication/software correction shall result in a program violation.
To ensure the opportunity to preserve this BMG, please return this completed Manufacturer’s Decision Form via email or
fax within seven (7) calendar days to the certification engineer noted below. More details on the above options can be found
in the AHRI General Operations Manual and the Direct Heating Equipment Certification Program Operations Manual. The
engineer can address any questions regarding the available options.
Marc Neufcourt, Manager, Certification
Phone: (703) 524-8800, x329
Email: mneufcourt@ahrinet.org
Fax: (703) 562-1942
Thank you for your participation in the AHRI Certification Program.
(Please complete all fields)
Company:
Date:
Email:
Submitted by:
Print
Fax:
Signature:
Phone:
Title:
15