10 C.F.R. § 430 app D1 to Subpart F of Part 431
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)
CPi ,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 CPi,Adj.
CPi ,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 CPi,STI.
CPMax = 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)
NPVi = 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. |
10 C.F.R. 430 app D1 to Subpart F of Part 431