AHRI OM 210 User manual

UNITARY SMALL AIR-CONDITIONERS
AND AIR-SOURCE HEAT PUMPS
(INCLUDES MIXED-MATCH COILS)
(RATED BELOW 65,000 BTU/H)
CERTIFICATION PROGRAM
2111 Wilson Blvd, Suite 500
Arlington, Virginia 22201
[phone]
AHRI OM 210/240 –JANUARY 2017
Sponsored and administered by:

Printed in U.S.A. Copyright 2017, by Air-Conditioning, Heating,
and Refrigeration Institute
Registered United States Patent and Trademark Office
PREFACE
The following manual outlines the procedures and policies of the Performance Certification Program for
AHRI Unitary Small Air-Conditioners (including mixed-match coils) (USAC) and the AHRI Unitary Small Air-
Source Heat Pumps (including mixed-match coils) (USHP) operated by the Air-Conditioning, Heating, and
Refrigeration Institute (AHRI). This manual is to be used in conjunction with the AHRI General Operations
Manual for AHRI Certification Programs. Where the AHRI 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 AHRI General Operations Manual, can be accessed through the AHRI website, www.ahrinet.org.
The USAC and USHP Certification Program by AHRI provides for independent verification of the USAC
and USHP manufacturers’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 USAC and USHP Certification Marks hereinafter referred
to as the “Marks”. The Marks are 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 manufacturer
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 license 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.
This certification program complies with requirements of the ISO/IEC Standard 17065:2012, General
Requirements for Bodies Operating Product Certification Systems.
Note:
This manual supersedes the AHRI Unitary Small Air-Conditioners (including mixed-match coils) and AHRI
Unitary Small Air-Source Heat Pumps (including mixed-match coils) Certification Program Operations
Manual, USE OM March 2015.

USAC (INCLUDING MIX-MATCH COILS) AND USHP (INCLUDING MIX-MATCH
COILS) CERTIFICATION PROGRAM OPERATIONS MANUAL
TABLE OF CONTENTS
SECTION PAGE
1 Program Overview
1.1 Applicable Rating Standard ..........................................................................................1
1.2 Product Definitions........................................................................................................1
1.2.1 Air-Source Unitary Heat Pump............................................................1
1.2.2 Independent Coil Manufacturer (ICM) ................................................1
1.2.3 Indoor Unit...........................................................................................1
1.2.4 Outdoor Unit........................................................................................1
1.2.5 Single Packaged System....................................................................1
1.2.6 Split System........................................................................................1
1.2.7 System Manufacturer..........................................................................1
1.2.8 Unitary Air-Conditioner........................................................................1
1.3 Program Scopes ...........................................................................................................1
1.3.1 Unitary Small Air-Conditioner (and Mix-Matched Coils)
Certification Program (USAC).............................................................1
1.3.2 Unitary Small Air-Source Heat Pumps (and Mix-Matched Coils)
Certification Program (USHP).............................................................2
1.3.3 Program Distinction.............................................................................2
1.3.4 Exceptions...........................................................................................2
1.4 Intended Market............................................................................................................2
1.5 Basic Model Groups (BMGs)........................................................................................2
1.5.1 System Manufacturer BMG Criteria....................................................2
1.5.1.1 Determination of BMGs for Calculating the
Number of Tests (System Manufacturer)..................2
1.5.2 ICM BMG Criteria................................................................................2
1.5.2.1 Determination of ICM BMG Coil Capacity Range
for Calculating the Number of Tests.........................2
1.6 NAECA Compliance......................................................................................................2
2 Qualification Process
2.1 Original Equipment Manufacturer (OEM) Applicants....................................................3
STEP 2.1.1 Certification Application Package .......................................................3
STEP 2.1.2 Processing Application Package ........................................................3
STEP 2.1.2.1 Performance Certification Agreement for Original
Equipment Manufacturer (OEM Agreement)............3
STEP 2.1.2.2 Participation and Licensing Fee Invoice...................3
STEP 2.1.3 Selection and Acquisition of Test Samples.........................................3
STEP 2.1.3.1 Number of Qualification Tests ..................................3
STEP 2.1.3.2 Acquisition of Qualification Test
Samples/Selection Criteria .......................................4
STEP 2.1.4 Qualification Testing ...........................................................................4
STEP 2.1.4.1 Operating Tests ........................................................4
STEP 2.1.4.2 Successful Completion of All Qualification Tests .....4
STEP 2.1.4.3 First Sample Qualification Test Failure.....................4
STEP 2.1.4.4 Second Sample Qualification Test Failure................4
STEP 2.1.5 Welcome to the Program....................................................................4

2.2 Private Brand Marketer (PBM) Applicants....................................................................4
STEP 2.2.1 Certification Application Package .......................................................5
STEP 2.2.2 Processing Application Package ........................................................5
STEP 2.2.2.1 Performance Certification Agreement for Private
Brand Marketer (PBM Agreement)...........................5
STEP 2.2.2.2 OEM Agreement on Behalf of the PBM Applicant....5
STEP 2.2.2.3 Licensing Fee Invoice...............................................5
STEP 2.2.3 Welcome to the Program....................................................................5
3 Equipment Selection and Testing
3.1 Annual Testing Requirement ........................................................................................5
3.1.1 System Manufacturers........................................................................5
3.1.1.1 Basis for System Manufacturer Test Selections.......5
3.1.2 ICM......................................................................................................5
3.1.2.1 Basis for ICM Test Selections...................................5
3.1.2.2 Additional ICM Testing..............................................5
3.2 Location of Test.............................................................................................................6
3.2.1 Duties of Third-Party Laboratory Personnel .......................................6
3.2.2 LEAP Requirement.............................................................................6
3.3 Selection of Test Samples............................................................................................6
3.3.1 Selection Requirements for Annual Testing .......................................6
3.4 Methods for Acquiring Test Samples............................................................................6
3.4.1 Selecting Three Additional Units.........................................................6
3.5. Sample Acquisition Timeframe.....................................................................................6
3.6 System Manufacturer’s Required Equipment Provisions..............................................7
3.7 ICM’s Required Equipment Provisions .........................................................................7
3.8 Break-in Operation of Test Units...................................................................................7
3.9 Certified Data................................................................................................................7
3.9.1 Unitary Small Air-Conditioners (Systems and Mixed-Match Coils),
Air-Cooled under 65,000 Btu/h [19,000 W].........................................7
3.9.2 Unitary Small Air-Conditioners (Systems and Mixed-Match Coils),
Water Cooled and Evaporatively Cooled
under 65,000 Btu/h [19,000 W]...........................................................7
3.9.3 Unitary Small Air-Source Heat Pumps
(Systems and Mixed-Match Coils), Air-Cooled
under 65,000 Btu/h [19,000 W]...........................................................7
3.10 Tests, Air-Conditioning (Systems and Mix-Matched Coils)...........................................8
3.11 Tests, Heat Pumps (Systems and Mix-Matched Coils) ................................................8
3.12 EERAVerification Test ..................................................................................................8
3.13 IEER Test......................................................................................................................8
3.14 Default Factors –Systems............................................................................................8
3.15 DOE “C” and “D” Tests..................................................................................................8
3.16 High Temperature Heating Cyclic Test.........................................................................8
3.17 Outdoor Unit Qualification for ICM Testing...................................................................8
3.17.1 Definitions ...........................................................................................8
3.17.1.1 Qualified Unit ............................................................8
3.17.1.2 Unqualified Unit.........................................................8
3.17.1.3 Disqualified Unit........................................................9
3.17.2 Qualified Units Testing........................................................................9
3.17.3 Challenging a Qualified Condenser/Non-Qualified Condenser ..........9
3.17.4 Fees....................................................................................................9
3.18 Test Failures .................................................................................................................9
3.18.1 Certified Rating Test Failures –Systems ...........................................9
3.18.1.1 First Sample Certified Rating Test Failure................9
3.18.1.2 Option to Save HSVTC and Remaining
BMG Ratings.............................................................9
3.18.1.3 Test Sampling Plan Failure.....................................10
3.18.2 Certified Rating Test Failures –ICMs...............................................10

3.18.2.1 First Sample Certified Rating Test Failure..............10
3.18.2.2 Test Sampling Plan Failure.....................................10
3.18.2.3 Alternate Outdoor Unit Failures ..............................10
3.18.3 Test Additional Samples Option .......................................................11
3.18.3.1 Following a First Sample Failure ............................11
3.18.3.1.1 Statistical Analysis Procedure ......12
3.18.4 Re-Rate Following Test Additional Sample ......................................12
3.18.4.1 Re-Rate Following First Additional Test
“Second Sample” ....................................................12
3.19 NAECA and Energy Policy Act (EPACT) Re-rating Requirements. ...........................13
3.20 Test Sample Refrigerant Charge ................................................................................13
3.21 Consequences for Improper Ratings ..........................................................................13
3.21.1 Double Selection Mode Requirements .............................................13
3.21.2 Probation Mode Requirements.........................................................13
3.21.3 Penalty Mode Requirements.............................................................13
4 Challenge Tests
4.1 System Manufacturer Challenges...............................................................................13
4.2 ICM Challenges...........................................................................................................13
4.2.1 Test the System HSVTC...................................................................13
4.2.1.1 Acquiring Challenge Units ......................................13
4.2.1.2 System Challenge Test Pass..................................13
4.2.1.3 System Challenge Test Failure...............................14
4.2.2 Test the ICM Match...........................................................................14
4.2.2.1 ICM Challenge Test Pass.......................................14
4.2.2.2 ICM Challenge Test Failure....................................14
4.3 Test Challenge Fees...................................................................................................14
4.3.1 Final Outcome System Challenge Test Failure................................14
4.3.2 Final Outcome ICM Challenge Test Failure......................................14
4.3.3 Final Outcome ICM Challenge Test Pass.........................................14
5 AHRI Directory of Certified Product Ratings Data Listings
5.1 Publication of Ratings in Certified Directory ...............................................................15
5.2 Data Forms .................................................................................................................15
5.2.1 Making Changes to Submissions .....................................................15
5.3 NAECA Requirements ................................................................................................15
5.4 DOE Approved Alternate Rating Method....................................................................16
5.4.1 ARM Ratings and Test Report Submission......................................16
5.4.2 Minimum Requirements of Test Reports Submitted to
AHRI by Participants.........................................................................16
5.5 Designation of Highest Sales Volume Tested Combination (HSVTC) .......................16
5.5.1 Single-Speed, Split System Air-Conditioner Requirements..............16
5.5.2 Split System Heat Pumps.................................................................16
5.5.3 Challenge of HSVTC Designation ....................................................16
5.6 ICM Listing Requirements...........................................................................................16
5.6.1 Heat Pump Listing Requirements.....................................................17
5.7 Identical Coil Ratings ..................................................................................................17
5.8 Listing Equipment with Enhancement Components ...................................................17
5.9 ICM Notice of Revised System HSVTC and/or Baseline Rating ................................17
5.9.1 Test Locked Ratings .........................................................................17
5.10 Specific Indoor Coil Data ............................................................................................17
5.11 Condenser Curve Coefficients....................................................................................17

5.12 Rating Screening for ICMs..........................................................................................17
5.12.1 6% Screen.........................................................................................17
5.12.1.1 Entering Data Above 6% Screen............................18
5.12.2 Coil Geometry Screening..................................................................18
5.12.3 Internal Refrigerant Volume (IRV) Screening...................................18
5.13 DOE Regional Standard Requirements......................................................................18
5.13.1 Air-Conditioner Regional Label Requirement...................................18
5.13.2 Condenser Characteristics................................................................19
5.13.2.1 Regional Standards for Single Line Add/Edits........19
5.13.2.2 Regional Standards for Mass Upload Add/Edits ....19
5.13.2.3 Regional Efficiency Range......................................19
6 Assessment and Payment of Certification Fees
6.1 Equipment Delivery/Disposal Fees.............................................................................19
7 Issuance of Violations and/or Termination................................................................................19
8 Program Hierarchy, Complaints, and the Appeals Process ....................................................19
9 Proper Use of the AHRI Certification Mark and Claims to Certification .................................19
Tables
Table B1 AHRI Submittal Requirements for High or Single Stage ......................................22
Table B2 AHRI Submittal Requirements for Low Stage ......................................................23
Table B3 DOE HSV Test Data.............................................................................................25
Table B4 Simulation Inputs for High or Single Stage...........................................................25
Table B5 Simulation Inputs for Low Stage...........................................................................26
Table E1 ICM BMG Definitions............................................................................................37
Table E2 ICM BMG Bucket –Coil Capacity.........................................................................38
Figures
Figure B1 Equation Coefficients............................................................................................24
Figure B2 Typical Condenser Capacity Curve......................................................................27
Figure B3 Typical Condenser Power Curves........................................................................27
Figure C1 Use of Provisionally Qualified Outdoor Units for ICM Testing..............................28
Figure C2 Use of Unqualified Outdoor Units for ICM Testing ...............................................29
Figure D1 Selection and Testing Process.............................................................................30
Figure D2 System Manufacturer First Test Failure Options..................................................31
Figure D3 ICM First Test Failure Options..............................................................................32
Figure D4 ICM Second Sample Test.....................................................................................33
Figure D5 Test Additional Samples Process.........................................................................34
Figure D6 System Manufacturer Test Additional Samples Failure Options..........................35
Figure D7 ICM or System Manufacturer First or Additional Sample Failure Options............36
Figure G1 Part 1 of the ORNL Flowchart ..............................................................................41
Figure G2 Part 2 of the ORNL Flowchart ..............................................................................42
Figure G3 Part 3 of the ORNL Flowchart ..............................................................................43

Appendices and Forms
Appendix A Requirements for Certification of ICM Heat Pump Ratings..................................20
Appendix B Condenser Curve Information ..............................................................................22
Appendix C Condensing Units for Coil Only Certification ........................................................28
Appendix D Compliance Program Flow Charts........................................................................30
Appendix E Independent Coil Manufacturer BMG Definitions.................................................38
Appendix F Setup, Commissioning and Operating Checklist for Laboratory Personnel .........39
Appendix G Coil Geometry Screening .....................................................................................40
Appendix H Uniform Test Method for Measuring the Energy Consumption of
Central Air Conditioners and Heat Pumps –Normative.......................................44
APPENDIX I Secondary Capacity Check Requirements...........................................................67

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1. Program Overview
1.1 Applicable Rating Standard. It is mandatory for program Participants to comply with the provisions
of the latest edition of AHRI Standard 210/240 Performance Rating of Unitary Air-Conditioning & Air-Source
Heat Pump Equipment (Standard). A copy of the Standard is available for download from the AHRI website,
www.ahrinet.org.
1.2 Product Definitions.
1.2.1 Air-Source Unitary Heat Pump. One or more factory-made assemblies which normally
include conditioning coil(s), compressors(s), and outdoor coil(s), including means to provide a
heating function. When such equipment is provided in more than one assembly, the separated
assemblies shall be designed to be used together, and the requirements of rating outlined in the
Standard are based upon the use of matched assemblies.
1.2.2 Independent Coil Manufacturer (ICM). Any Participant in the program that
manufactures only the Indoor Unit in an Air-Source Unitary Heat Pump and/or Unitary Air-
Conditioner.
1.2.3 Indoor Unit. A component of a Split System central air-conditioner or heat pump that
is designed to transfer heat between refrigerant and heat sink inside the conditioned space.
1.2.4 Outdoor Unit. A component of a Split System central air-conditioner or heat pump that
is designed to transfer heat between refrigerant and heat sink outside the conditioned space.
1.2.5 Single Packaged System. Any Unitary Air-Conditioner or Air-Source Unitary Heat
Pump that has the means for air circulation and heat removal, air cleaning, and the controls thereof,
in the same cabinet.
1.2.6 Split System. Any Unitary Air-Conditioner or Air-Source Unitary Heat Pump that has
one or more of the major assemblies separated from the others.
1.2.7 System Manufacturer. Any Participant in the program that manufactures all the major
assemblies in an Air-Source Unitary Heat Pump and/or Unitary Air-Conditioner.
1.2.8 Unitary Air-Conditioner. One or more factory-made assemblies which normally include
an evaporator or cooling coil(s), compressor(s), and condenser(s). Where such equipment is
provided in more than one assembly, the separated assemblies are to be designed to be used
together, and the requirements of rating outlined in the Standard are based upon the use of these
assemblies in operation together.
1.3 Program Scopes.
1.3.1 Unitary Small Air-Conditioner (and Mix-Matched Coils) Certification Program (USAC).
This program applies to Production Models of 50 and 60 Hz Unitary Air-Conditioners below 65,000
Btu/h cooling, as defined in Section 1.2 and as listed below:
Unitary Air-Conditioners;
Single Packaged System;
Split Systems; and
Air-conditioning coils (and air-handling products with air-conditioning coils) that
an ICM rates as a system with other System Manufacturer’s Outdoor Units.

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1.3.2 Unitary Small Air-Source Heat Pump (and Mix-Matched Coils) Certification Program
(USHP). This program applies to the Production Models of 50 and 60 Hz Air-Source Unitary Heat
Pumps below 65,000 Btu/h cooling, as defined in Section 1.2 and as listed below:
Air-Source Unitary Heat Pumps;
Single Packaged System;
Split Systems; and
Heat pump coils (and air-handling products with heat pump coils) that an ICM
rates as a system with other System Manufacturer’s Outdoor Units.
1.3.3 Program Distinction. The Unitary Small Air-Conditioner (USAC) and the Unitary Small
Air-Source Heat Pump (USHP) Certification Program are two separate programs. This also does
not apply to products within the scope of AHRI Standard 390.
1.3.4 Exceptions. Effective July 1, 2016, both new 60 Hz single-phase and new three-phase
dry charge R-22 production models below 65,000 Btu/h are not within the scope of the certification
program in U.S. and Canada. All existing “active” listings will be changed to “discontinued.” All the
remaining “discontinued” listings will be “Archived” 12 months after the effective date.
1.4 Intended Market. The Intended Market for both Certification Programs, where the Standard
applies, includes all products defined in Section 1.3 that are sold for use in the U.S. (including U.S.
Territories) and Canada.
1.5 Basic Model Groups (BMGs). A Participant’s listing shall be grouped by BMG.
1.5.1 System Manufacturer BMG Criteria. A Split System BMG consists of products with the
same Outdoor Unit used with several Indoor Unit combinations (i.e. horizontal, vertical, A-coil, etc.).
Same Outdoor Unit refers to models with the same or comparable compressor, used with the same
outdoor coil surface area and the same outdoor air quantity.
1.5.1.1 Determination of BMGs for Calculating the Number of Tests (System
Manufacturer). When calculating the number of tests for a Participant’s annual testing
requirement, AHRI shall take the number of active BMGs at the time of selection. The
number of tests shall be reviewed again at a later date to determine if additional tests
are required. This number of active BMGs shall determine the thresholds for Probation
and Penalty Modes.
1.5.2 ICM BMG Criteria. An ICM BMG consists of coils (Indoor Units) with matching capacity
ranges of 6,000 Btu/h and the following identical geometry parameters: air-handler, evaporator fan
type, evaporator number of rows, type of equipment (air-cooled, water-cooled or evaporatively-
cooled), evaporator tube centers, evaporator fin types, evaporator fins/inch, evaporator tube OD,
evaporator expansion device, fin length per slab, fin height per slab, number of slabs in the coil, fin
material type, tube material type, and total number of active tubes (refer to Table E1).
1.5.2.1 Determination of ICM BMG Coil Capacity Range for Calculating the
Number of Tests. Number of test selections shall be based on a Participant’s total
number of 6,000 Btu/h capacity buckets (BMG Buckets) rated in the AHRI Directory of
Certified Product Ratings (Directory) as shown on Table E2. For example, if a
Participant builds Indoor Units in Btu/h increments from 6,000 to 65,000 Btu/h’s and
offers all the variations of Coil Type and AHRI Type, the Participant would have 40
BMG Buckets. This number of BMG Buckets shall determine the thresholds for
Probation and Penalty Modes.
1.6 NAECA Compliance. Only products meeting or exceeding ratings set by the Department of Energy
(DOE) in the National Appliance Energy Conservation Act (NAECA) are eligible for certification through the
AHRI certification program, where applicable.

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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.
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 USAC_System_OEM-DS1;
Form USAC_ICM_OEM-DS2;
Form USHP_System_OEM-DS3;
Form USHP_ICM_OEM-DS4;
Form SinglePackageChars-DS5;
Form Condenser-DS6;
Form Evaporator-DS7;
Form VSMSAC_OEM-DS8;
Form VSMSHP_OEM-DS9;
Form VSMS_Condenser-DS10;
Form VSMS_Evaporator-DS11;
One test report for each BMG (refer to Section 5.4.2) showing how each rating
was developed;
An Applicant requesting AHRI to submit data to CEC, DOE, FTC, and NRCan
shall submit third-party authorization, compliance forms and other necessary
information;
Provide the DOE approval letter for their ARM (Alternate Rating Method), if
applicable; and
Additional information may be needed to meet EPA ENERGY STAR® program
requirements.
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.
System Manufacturers. 30% of an Applicant’s BMGs shall be
tested, with a minimum of two (2) models for the USAC and/or
the USHP Certification Programs, as applicable. Fractional
numbers shall be rounded to the nearest whole number using
traditional rounding methods.
ICM. 30% of an Applicant’s BMG Buckets (refer to Section
1.5.2.1) shall be tested, with a minimum of two (2) models for
the USAC and/or the USHP Certification Programs, as
applicable. Fractional numbers shall be rounded up to the
nearest whole number. If the Applicant has ratings that were

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filtered via the Rating Screening for ICMs process (refer to
Section 5.12) but still wish to certify them, then there shall be up
to an additional three (3) models tested from those filtered
models. If a Participant does not have ratings that were filtered
out, they are not subject to this additional testing.
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 3.4 of this manual.
All samples shall be provided with the equipment listed in Sections 3.6 and 3.7 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 Operating Tests. In addition to the tests noted in Section 3.10 or 3.11,
the following Operating Tests shall be conducted for all qualification tests:
Maximum Operating Conditions (MOC);
Voltage Tolerance (VT);
Insulation Efficiency;
Low Temperature Operation; and
Condensate Disposal.
If any of these units fail any of the Operating Tests, the second sample selected shall
pass in order to qualify into the program. If the second sample does not pass, then
that model and BMG shall not be entered into the Directory and the Applicant shall
cease production and sale of the failed model and BMG in order to qualify into the
certification program. A new sample shall be selected and tested to continue the
qualification process.
STEP 2.1.4.2 Successful Completion of All Qualification Tests. If all qualification
tests pass proceed to STEP 2.1.5.
STEP 2.1.4.3 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 2.1.4.4 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.

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STEP 2.2.1 Certification Application Package.In addition to the Application for AHRI Certification
Forms 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, FTC, and NRCan
shall submit third-party authorization, compliance forms and other necessary
information,
Additional information may be needed to meet EPA ENERGY STAR® program
requirements.
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.
3.1.1 System Manufacturers. 20% of a Participant’s BMGs shall be tested annually, with a
minimum of two (2) models for the USAC and/or the USHP Certification Programs, as applicable.
Fractional models shall be rounded up to the nearest whole number. The number of tests required
of the Participant shall be reviewed by AHRI throughout the year.
3.1.1.1 Basis for System Manufacturer Test Selections. The selection of units
for test are based on 1/3 at random, 1/3 for cause, and 1/3 Highest Sales Volume
Tested Combination (HSVTC).
3.1.2 ICM. 20% of a Participant’s BMG Buckets in the Directory shall be tested annually,
with a minimum of two (2) models for the USAC and/or the USHP Certification Programs, as
applicable. Fractional numbers shall be rounded up to the nearest whole number.
3.1.2.1 Basis for ICM Test Selections. Each model(s) shall be selected from
a different BMG Bucket.
3.1.2.2 Additional ICM Testing. If the Participant has ratings that were filtered
via the Rating Screening (Section 5) for ICMs process, but was approved by AHRI to
be listed in the Directory, then AHRI shall select up to three (3) additional models from
those filtered models for test. If a Participant does not have ratings that were filtered
out, they are not subject to this additional testing. The number of tests required of the
Participant shall be reviewed by AHRI throughout the year.

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3.2 Location of Test. Testing shall be performed at the Laboratory and samples shall be installed in
the test facility in accordance with the Participant’s published installation instructions.
3.2.1 Duties of Third-Party Laboratory Personnel. The Laboratory is responsible for
installing and starting the sample per the Participant’s supplied instructions, and testing the sample
in accordance with the Standard. The Laboratory shall also set up the sample according to the
setup checklist in Appendix F. The Laboratory shall inform the Participant when it intends to test
the sample at least two (2) weeks prior to the sample’s installation. The Laboratory shall notify the
Participant once the test is about to occur. In the event of a failure, the Laboratory shall notify both
AHRI and the Participant immediately after the completion of the test. For items not deserving the
manufacturer and/or AHRI’s immediate attention (i.e not affecting the validity and/or the completion
of the test) proper communication shall be made via email. For items deserving Participant and/or
AHRI’s immediate attention (i.e affecting the validity and/or the completion of the test) proper ways
of communication shall be via phone with an email to follow-up.
3.2.2 LEAP Requirement. The Laboratory shall perform the Laboratory Evaluation and
Adjustment Plan (LEAP) process for each facility that tests USE equipment once every 12 months
on a continuous basis (refer to Appendix H).
3.3 Selection of Test Samples. Selections shall be made based on active and discontinued data
contained in the Directory. AHRI shall inform the Participant, in writing, of the sample(s) selected for test.
3.3.1 Selection Requirements for Annual Testing. During the selection process, the
Participant shall provide at least 50% of their selections within 45 calendar days of AHRI’s
notification. Within 90 calendar days of AHRI’s notification, 100% of the selections shall be
provided. Selections shall be complete systems; the Participant’s shall choose which systems are
provided first. (The USAC and USHP certification programs are treated separately. For example,
if a Participant receives notification of AHRI selections on January 1st for both USAC and USHP,
within 45 calendar days the Participant must provide at least 50% of their selections for both
programs. The Participant may not provide 100% of their USAC selections and 0% of their USHP
selections.)
3.4 Methods for Acquiring Test Samples. AHRI or the Laboratory personnel shall make at least 50%
of the Participant’s Random Sample Selections or Random Component Selections from the Participant’s
stock inventory within 45 calendar days of a selection by AHRI. AHRI or the Laboratory personnel shall
make 100% of the Participant’s Random Sample Selections or Random Component Selections from the
Participant’s stock inventory within 90 calendar days of a selection by AHRI.
For Random Component Selection, the sample shall be comprised of a minimum set of three (3) of each
major component, Indoor Unit coil, Outdoor Unit coil and compressor. Selected samples shall be shipped
to the Laboratory accompanied by the Participant’s published installation instructions in printed or electronic
format. The Two Sample Supply Option also applies. Refer to Section 9 of the AHRI General Operation
Manual.
Discontinued and custom made models may be acquired from the distribution chain. Expenses for this
option are borne by the Participant. If a discontinued model cannot be supplied for testing, then that model’s
listing shall be archived in the Directory.
3.4.1 Selecting Three Additional Samples. At the time of a sample selection, the Participant
has the option to select three (3) additional samples of the same sample to be on hold at a
Participant’s facility in case the first sample test fails. These samples would be submitted to the
Laboratory if the Test Sampling Plan Option is chosen.
3.5 Sample Acquisition Timeframe. The Participant shall deliver the selected sample(s) to the
Laboratory within 14 calendar days of Random Sample Selection or Random Component Selection by
Laboratory personnel.

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3.6 System Manufacturer’s Required Equipment Provisions. The System Manufacturer shall provide
a complete system, consisting of the following:
Outdoor Unit;
Indoor coil;
Expansion device;
Air-moving equipment (if required);
Other listed system enhancement devices; and
Published installation instructions.
The Participant shall be responsible for shipping all necessary equipment and parts to the Laboratory in
order to ensure that the sample functions properly and test(s) can be performed in accordance with the
Standard.
3.7 ICM’s Required Equipment Provisions. The ICM manufacturer shall provide the following:
Indoor coil;
Expansion device;
Air-moving equipment (if required);
Other listed system enhancement devices;
Published installation instructions.
The Participant is responsible for shipping all necessary equipment and parts to the Laboratory in order to
ensure that the sample functions properly and test(s) can be performed in accordance with the Standard.
3.8 Break-in Operation of Test Units. A Participant, at its expense, shall have the Laboratory operate
the equipment for a specified time prior to testing. The break-in request should be listed in the comments
section of the Directory.
3.9 Certified Data. In accordance with the Standard, the following certified ratings are verified by test:
3.9.1 Unitary Small Air-Conditioners (Systems and Mixed-Match Coils), Air-Cooled under
65,000 Btu/h [19,033 W].
Standard Rating Cooling Capacity, Btu/h [W];
Energy Efficiency Ratio (EER), Btu/(W·h); and
Seasonal Energy Efficiency Ratio (SEER), Btu/(W·h).
3.9.2 Unitary Small Air-Conditioners (Systems and Mixed-Match Coils), Water-Cooled and
Evaporatively Cooled under 65,000 Btu/h [19,033 W].
Standard Rating Cooling Capacity, Btu/h [W]
Energy Efficiency Ratio (EER), Btu/(W·h)
Integrated Energy Efficiency Ratio (IEER), Btu/(Wh)
3.9.3 Unitary Small Air-Source Heat Pumps (Systems and Mixed-Match Coils), Air-Cooled
under 65,000 Btu/h [19,033 W].
Standard Rating Cooling Capacity, Btu/h [W]
Energy Efficiency Ratio (EER), Btu/(W·h)
Seasonal Energy Efficiency Ratio (SEER), Btu/(W·h)
High Temperature Heating Standard Rating Capacity, Btu/h [W]
Region IV Heating Seasonal Performance Factor (HSPF) Minimum Design
Heating Requirement, Btu/(W·h)

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3.10 Tests, Air-Conditioning (Systems and Mix-Matched Coils). All Unitary Air-Conditioning equipment
shall be tested with the DOE “A” and “B” cooling tests as described in the Standard. Standard Rating tests
shall be conducted using the nameplate rated voltage and frequency specified in the Standard. For dual
nameplate voltage ratings (other than NAECA equipment), tests shall be conducted at 230V.
3.11 Tests, Heat Pumps (Systems and Mix-Matched Coils). All Air Source Unitary Heat Pump
equipment shall be tested with the DOE “A” and “B” cooling tests, High and Low Temperature Heating, and
Frost Accumulation tests as described in the Standard. Standard Rating tests shall be conducted using the
nameplate rated voltage and frequency specified in the Standard. For dual nameplate voltage ratings (other
than NAECA equipment), tests shall be conducted at 230V.
3.12 EERATest. EERAis calculated from the DOE “A” test conditions by dividing the capacity by the
total system power. The calculated EERAshall be within 95% of the rated value. For multi-stage systems,
the highest rated capacity is used to determine EERA. EERAratings shall be given for all Single Packaged
Systems and all combinations of Split Systems which the manufacturer intends to be used together.
3.13 IEER Test. The calculated IEER shall be within 90% of the rated value. IEER ratings shall be
given for all Water-Cooled and Evaporatively Cooled Unitary Small Air-Conditioners.
3.14 Default Factors –Systems. At the completion of DOE “A” and “B” tests, the Laboratory calculates
the SEER using the Cyclic-Degradation Coefficient (CD) default factor 0.25 even if the sample is certified
with a lower CD, not less than zero.
For heat pumps, at the completion of heating mode and frost accumulation tests, the Laboratory calculates
the HSPF with CDdefault factor 0.25.
3.15 DOE “C” and “D” Tests. If the calculated SEER is less than 95% of the certified SEER, the sample
may proceed through the DOE “C” and “D” tests at the Participant’s option and expense to obtain a tested
CDvalue. The tested CDvalue shall be lower than the default CDfor it to be used to calculate SEER.
Even if the requirements are met using a default CDvalue of 0.25, the Participant may opt for “C” and “D”
tests to be performed at his expense. If the tested CD is higher than the default value, the default value is
to be used to calculate SEER and HSPF.
AHRI may require, at the expense of the Program, “C” and “D” tests to be performed on systems to assure
sufficient qualified condensing units for ICM tests.
3.16 High Temperature Heating Cyclic Test. For heat pumps whose calculated HSPF is less than 95%
of the certified HSPF, the model may, at the Participant’s option and expense, undergo High Temperature
Heating Cyclic Test to obtain a tested CDvalue. The tested CDvalue shall be lower than the default CDfor
it to be used to calculate HSPF.
Even if the requirements are met using a default CDvalue of 0.25, the Participant may, at his expense, opt
to perform the High Temperature Heating Cyclic Test.
AHRI may require, at the expense of the Program, the High Temperature Heating Cyclic Test to be
performed on systems to assure sufficient qualified condensing units for ICM tests.
3.17 Outdoor Unit Qualification for ICM Testing:
3.17.1 Definitions:
3.17.1.1 Qualified Unit. An Outdoor Unit that is provided from a certified system
that passes all certified values.
3.17.1.2 Unqualified Unit. An Outdoor Unit that does not pass all certified
values.

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3.17.1.3 Disqualified Unit. An Outdoor Unit that is provided from a certified
system that:
odid not pass all certified values;
owas a previously Qualified Unit that has been used for testing
more than three (3) test years.)
3.17.2 Qualified Units Testing. ICM tests shall be performed with Qualified Units. If a Qualified
Unit is not available, the ICM test may be performed using a Provisionally Qualified Unit following
the procedure defined in Figure C1 of Appendix C. If neither a Qualified or Provisionally Qualified
Unit is available, the ICM test may be performed using an Unqualified Unit following the procedure
defined in Figure C2 of Appendix C.
3.17.3 Challenging a Qualified Condenser/Non-Qualified Condenser. The performance of a
condenser may be challenged by the ICM . The Participant shall provide a detailed report stating
the reason the Participant believes the condenser is not performing correctly. If AHRI agrees with
the report, a new Outdoor Unit with the same model number shall be obtained for the test.
3.17.4 Fees. Costs of tests to further Qualify Provisionally Qualified or Unqualified Outdoor
Units as required by Appendix C shall be borne by the Program. Costs of ICM tests, where the
condenser was determined to be the cause of the failure, shall be borne by the Program. Costs of
valid ICM tests shall be borne by the Participant.
3.18 Test Failures.
3.18.1 Certified Rating Test Failures –Systems.
3.18.1.1 First Sample Certified Rating Test Failure. When the Participant is
notified of a first sample certified rating failure, the Participant has seven (7) calendar
days to select one (1) of the following options:
Re-rate all models within the failed sample’s BMG proportionate
to the failed test’s results;
Re-test the same sample if the sample has operated less than
16 hours including any break-in running time. After 16 hours of
operation, the Participant may request a second DOE “A” and
“B” test, all at the Participant’s expense. This re-test shall
establish whether the first test is a pass or fail.
Test additional samples (up to 3) to determine if the test results
meet the certified ratings. The Participant shall need to
establish the number of additional samples that shall be tested
at the time of choosing this option. All additional samples shall
need to be provided at the same time within 30 days; otherwise
the Participant forfeits this option.
HSVTC Sample Option. Following failures from the additional
sample option, the Participant can elect to save the HSVTC and
the rest of the BMG from a re-rate by testing the HSVTC sample
and another sample from the same BMG (refer to Section
3.18.1.2).
Obsolete the model, which also obsoletes all models within the
corresponding BMG.
3.18.1.2 Option to Save HSVTC and Remaining BMG Ratings. If the failed
system is not the HSVTC, the Participant may, at his expense and within seven (7)
calendar days after notification of test results, request the HSVTC be tested. If the
HSVTC passes the test, then the Participant has the option to have another sample
selected for test by AHRI from the same BMG to save the rest of the BMG. If the other

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sample fails, the entire BMG other than the HSVTC is re-rated to the latest test results.
For a BMG with multiple HSVTCs, the highest rated (SEER/HSPF or capacity) HSVTC
shall be tested.
3.18.1.3 Test Sampling Plan Failure. When the Participant is notified of a Test
Sampling Plan failure, the Participant has seven (7) calendar days to select one (1) of
the following options for each sample that fails.
For ENERGY STAR®failures, refer to Section 16 of the AHRI General Operations
Manual.
3.18.2 Certified Rating Test Failures –ICMs.
3.18.2.1 First Sample Certified Rating Test Failure. If an ICM Participant’s coil
fails with a given System Manufacturer’s Outdoor Unit, then the ICM has seven (7)
calendar days to decide to choose one of the following options:
Re-rate all models within the failed sample’s BMG proportionate
to the failed test’s results;
Test additional samples (up to 3) to determine if the test results
meet the certified ratings. The Participant shall need to
establish the number of additional samples that shall be tested
at the time of choosing this option. All additional samples shall
need to be provided at the same time within 30 days; otherwise
the Participant forfeits this option. Additional tests shall not
count toward the number of tests that a qualified condenser can
be used. (refer to Section 3.18.1.3)
Second Sample (utilizing same model coil and different System
Manufacturer condenser). Direct AHRI to select and test a new
sample coil with an Outdoor Unit from a different System
Manufacturer. The coil shall be rated with the Outdoor Unit
selected. Expenses for obtaining another Outdoor Unit and
testing shall be paid for by the Participant.
oIf the combination passes, only the combination that failed
shall be re-rated.
oIf the combination fails, then re-rate that combination and
all the other combinations in that BMG.
Obsolete the model, which also obsoletes all models within the
corresponding BMG.
3.18.2.2 Test Sampling Plan Failure. When the Participant is notified of a Test
Sampling Plan failure, the Participant has seven (7) calendar days to select one (1) of
the following options .
3.18.2.3 Alternate Outdoor Unit Failures. Any ICM test selections made by
AHRI using an HSVTC alternate Outdoor Unit that fails certified ratings per Figure C2
(Appendix C) shall be incremental to the OEM’s yearly selection. The test’s results
shall be credited to the OEM’s following year’s selection and the test failure shall follow
the current operations manual procedure. The re-rate shall apply immediately, but
shall contribute to the following year’s consequence for improper ratings.

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3.18.3 Test Additional Samples Option.
3.18.3.1 Following a First Sample Failure. The Participant shall identify the
maximum number of additional tests requested up to a maximum of three (3).
1. The first additional test shall be performed; this sample is
considered the “second sample” test.
a. If all of the first additional test’s descriptors result in a
rating greater or equal to 95% of the certified rating,
testing shall halt and unused equipment shall be shipped
back to the manufacturer, the original rating shall remain
and no re-rates shall be needed.
b. If any descriptor rating falls below 95% of the certified
rating, the first sample and the second sample shall be
evaluated using the Statistical Analysis Procedure (refer
to Section 3.18.3.1.1) with a Tvalue of 3.078.
c. Following the Statistical Analysis Procedure performed in
1.b., if all descriptors result in a rating greater or equal to
95% of the certified rating, testing shall halt and unused
equipment shall be shipped back to the Participant, the
original rating shall remain and no re-rates shall be
needed.
d. If any descriptor rating falls below 95% of the certified
rating, the Participant may choose to continue testing in
the plan or to concede to a re-rate to the second sample’s
test results. In the later case the first additional test
statistic shall stand.
2. If any descriptor still falls below the 95% threshold a second
additional test shall be performed, the first, second and third
samples shall be evaluated using the Statistical Analysis
Procedure with a Tvalue of 1.886.
a. If all descriptors result in a rating greater or equal to 95%
of the certified rating, testing shall halt and unused
equipment shall be shipped back to the Participant, the
original rating shall remain and no re-rates shall be
needed.
b. If any descriptor rating falls below 95% of the certified
rating the Participant may choose to continue testing in
the plan or to concede to a re-rate. In the latter case, the
product shall be re-rated to the rating from the above
procedure.
3. If any descriptor still falls below the 95% threshold a third and
final additional test shall be performed, the first, second, third
and fourth sample shall be evaluated using the Statistical
Analysis Procedure with a Tvalue of 1.638.

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a. If all descriptors result in a rating greater or equal to 95%
of the certified rating, the original rating shall remain and
no first test failure statistic shall be considered.
b. If a descriptor falls below 95% then the product shall be
considered non compliant and the product shall be re-
rated to the rating from the above procedure.
4. At any time in the above procedure the Participant may concede
to a re-rate and testing shall cease and the rating shall be
revised to the most recent multi sample rating determined
above.
3.18.3.1.1 Statistical Analysis Procedure. AHRI shall perform a
statistical analysis based on the number of samples tested.
Mean (x) 



Standard Deviation (s) 󰇛󰇜


Standard Error (sx)

Lower Confidence Limit (LCL) 
Statistical Rating 

For 2 Test Samples, T= 3.078
For 3 Test Samples, T= 1.886
For 4 Test Samples, T= 1.638
The Tvalue used shall be based on the number of samples tested
with a 90% confidence limit. To derive at the statistical rating, LCL is
divided by 0.95. The lower of either the mean or statistical rating is
used to compare against the certified rating. If the analysis shows that
the product rates above 95% of the Participant’s rating, the rating shall
pass, if it does not, then the rating fails. The statistical analysis
calculations are taken from the Code of Federal Regulations (CFR)
Title 10, Part 429, Subpart B, §429.16 Central air conditioners and
heat pumps.
3.18.4 Re-Rate Following Test Additional Sample. Following the decision to Test Additional
Samples, if the Participant concedes to re-rate their rating or it has been determined that the rating
is non-compliant through the statistical analysis, the model combination will be re-rated based on
the DOE Rating Procedures, 10 CFR Part 429, Subpart B, §429.16. Furthermore, all models within
the failed sample’s BMG will be re-rated the same proportionately.
3.18.4.1 Re-Rate Following First Additional Test “Second Sample”.If the
Participant concedes to re-rate their rating after the first additional test or “second sample”,
the model combination will be re-rated to the second sample test results.