(ASRAC)
The Parker Ranch installation in Hawaii
Appliance Standards and Rulemaking Federal Advisory Committee
(ASRAC)
Commercial HVAC, WH, and Refrigeration Working Group
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
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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 Definition
 AEDM 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
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high-efficiency HVAC equipment)
How often
By whom
When (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)
 Enforcement
 Enforcement Testing -Witness
 Enforcement Sample Size and Tolerance
 Verification
 DOE Verification
 Voluntary 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*
6
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Equipment Type
Commercial Warm Air Furnaces
PTACs and PTHPs
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
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12
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Commercial water heaters (all others types)
Small commercial packaged boilers (≤2.5 million Btu/h)
Self-Contained CRE with solid or transparent doors
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VRFs
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)
15
18
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*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; and
For 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 Tolerances
Equipment
Commercial Warm-Air Furnaces
Commercial Refrigeration Equipment
Applicable Tolerance & Associated Metric
5% on Thermal Efficiency
5% on Daily Energy Consumption
Variable Refrigerant Flow ACs and HPs
Air-Cooled, Split and Packaged ACs and
HPs less than 65 MBtu/h Cooling
Capacity (3-Phase)
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
Water-Cooled, Split and Packaged ACs
and HPs, All Cooling Capacities
5% on EER and COP and 10% on IEER
5% on SEER and HSPF and 10% on EER
Water-Source HPs, All Capacities
Single Package Vertical ACs and HPs
Packaged Terminal ACs and HPs
5% on EER and COP and 10% on IEER
5% on EER and COP
5% on EER and COP
5% on EER and COP and 10% on IEER
5% on EER and COP and 10% on IEER
AEDM - Consequences for Invalid Rating
Number of Invalid Certified
Ratings from the same AEDM**
within a rolling 24 month period†
Required Manufacturer Actions
2
Submit 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.
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Conduct 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).
Conduct the minimum number of validation tests for the validation classes to which the
AEDM is applied; And
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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).
>=8
Manufacturer 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 Definitions
 All 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 (watercooled and evaporatively-cooled); very large commercial package airconditioning and heating equipment (water-cooled and evaporativelycooled):
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 Definitions
 Variable 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
 Steam/Hydronic Heat Options.
 Ventilation Energy Recovery System
 Hot Gas Reheat.
(VERS).
 Powered Exhaust/Powered Return Air.
 Coated Coil(s).
 Hot Gas Bypass
 Process Heat Recovery/Reclaim
 Sound Traps/Sound Attenuator.
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).
 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:
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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 Watthour(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 aircooled, 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 Watthour(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
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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 - Witness
 Enforcement Sample Size and Tolerance
 Verification
 DOE Verification
 Voluntary Industry Programs